Instructions and disclaimers

Instructions and disclaimers

General:The announcement and report shall be submitted via mail to ASC in Excel if not specified differently: [email protected]

If you would like to register a problem or issue with the document or wish to leave feedback and suggestions for improvements, please contact: [email protected]

All fields must be visible in Excel format and no field shall be omitted or deleted. ASC reserves the right to refuse to publish incomplete and low quality reports.

Only fully completed forms are accepted by the ASC. Incomplete forms may lead to a delay in the certification process.In case the audit report template for Multi-site and Group-certification does not contain enough site rows for the amount of sites applicable for a specific applicant, please contact [email protected]

How to use this document

This document layout is formatted into tables for data entry and questions to record answers and evidence.

You can adjust the width of the columns to display all information.

Users shall not delete any rows or columns.Data filled out in the audit announcement (form 3) sheet, will be automatically populated in the audit report itself.Be aware that there are 3 different types of audit report templates: 1. Single-site, 2. Multi-site and 3. Group certification. Next to these 3 templates, there is the Audit Report Template V2.0 Confidential Annex, applicable to the 3 different versions of the audit report template.

What if changes are made?

Link to all the sheets Audit Announcement (Form3) 1) General, client-CAB info

2) Audit Information3) Site information4) Harvest witnessing

5) Stakeholder engagement

6) MS option 1, AR

7) MS option 2, AR

8) IMS Auditor

9) Social Audit

10) Traceability assessment

11) UoC volumes&Audit Closing

12) Open & Extended NCs

13) BEIA-PSIA checklist

Audit findings ''species''

Data restrictions & conditional formattingThis audit report template contains a lot of fields with data validation and data restriction fields, allowing for only a certain type of data to be filled out in the specific field (For example, date fields, picklists, numbers etc.). Please ONLY fill out the requested type of data. If not filled out correctly, an error message will pop up, giving guidance to enter the correct type of data. The audit report template also contains a lot of fields with conditional formatting, meaning that cells or field will be highlighted, based on the type of data filled out. Some cells are highlighted with red, these will change to blue when data is entered into the cell. This makes it easier to detect fields that are not filled out, but shall be filled out. Please note that all fields are required and shall be filled out.

This document has been developed in collaboration with the ASC Programme Assurance team and Standards & Science team for ASC single-site, multi-site and group certification farm audits. A copy of all documents (Audit reports templates, confidential annexes etc.) are uploaded on to the ASC website and are publicly available.

For a lot of the fields in the announcement and audit report, a guidance field pops up as soon as the field is selected.Some fields are marked with a red triangle in the corner, meaning that the field contains a guidance comment.

All fields in the announcement and audit report are mandatory and shall be filled out and will be made publicly available. However, should the client or CAB desire to submit certain data confidentially (e.g.. for GDPR or commercial sensitivity reasons), this data can be entered in the confidential annexes, which are provided in a separate document than this audit report template. Please BE AWARE that confidential Annex-3 is always mandatory to be filled out and shall be submitted to the ASC, together with the audit report. Confidential annexes will NOT be made publicly available.

Confidential information - Data protection and publication of reports

Comments or guidance

If changes were made e.g. from the announcement to the audit report or when an updated report is submitted to ASC, ALL cells containing changes shall be highlighted in yellow for transparency reasons, and as far as possible a clear statement on the update shall be made in the respective field.

Document type - PDF conversion - GuidanceAlways save your document as a macro-enabled spreadsheet (click on ''File'', ''Save As'' and make sure the document type is saved as ''Excel Macro-Enabled Workbook'').If your audit team plans to work on a shared online document - ensure the platform app supports macro-enabled functionality.Please do not delete any rows, columns, fields or sheets (except for irrelevant species sheets). As the template is running multiple macros and formulas in the background, it is NOT possible to take out any sheets and copy paste them back in.

To safe the full excel document as a pdf, please follow these steps: 1. Click on ''File'', ''Save As''2. Select PDF as document type and click on ''more options''3. Click on ''options'' in the box that shows up4. Set ''page range'' to All and set ''publish what'' to Entire workbook and click on ''ok''5. Click on ''Save'' and the entire document will be saved as a PDF document in the correct formatExtra note:The page layout is selected in a way that all tables are visible in the PDF.Tables may appear small, however it is possible to read them by using the PDF zoom function.

Spelling CheckHow to run the excel spell check in this document? - This can be enabled with the following key combination: Ctrl + Shift + S.- This opens the spell-check dialogue box, cycling through all the recognised spelling mistakes.- After the last recognised mistake is address - the dialogue closes and the worksheet is automatically locked again. - If there are no mistakes the dialogue box does not open.- This then needs to be repeated for each worksheet with audit data.(The spell check ignores capitalised abbreviations - but will still identify mix abbreviations as mistakes e.g. UoC)

1.1 Document Type1.2 Document language1.3 Second document language1.4 Unit of certification type

1.4.1 Company name

1.4.2 UoC name

1.5 Country where UoC is located1.6 ASC Standard1.7 Standard version1.8 Certification process is subject to CAR version

1.9 Name of the Conformity assessment body (CAB)

Client contact person - from the UoC1.15 First name1.16 Surname

1.17Position in the UoC (Job title)

1.18 Email address1.19 Phone number1.20 Other means of contact e.g. Skype

2.1 ASC standard principles covered by the audit2.1.1 Principle 1 Covered2.1.2 Principle 2 Covered2.1.3 Principle 3 Covered2.1.4 Principle 4 Covered2.1.5 Principle 5 Covered2.1.6 Principle 6 Covered2.1.7 Principle 7 Covered2.1.8 Principle 8 Covered

2.2 Activities covered under the scope of the certification and under the scope of the audit.Activities in the table apply to final product only.

Activity Under scope of certification Under Scope of this audit Notes

2.2.1 Stocking Covered Covered

2.2.2 Nursing Not Covered Not Covered

2.2.3 Growing Out Covered Covered2.2.4 Transferring Not Covered Not Covered

2.2.5 Harvest Covered Covered

2.2.6 Vaccination Covered Covered

2.2.7 Fallowing Covered Covered

2.2.8 Transportation Covered Covered

2.2.9 Storage (if present at farm) Not Covered Not Covered

2.2.10 Processing (if present at farm) Not Covered Not Covered

2.2.11 Packing (if present at farm) Not Covered Not Covered

2.2.12 Other (Please describe) Not Covered Not Covered

2.3 Certification cycle2.4 Audit type2.5 Audit number in certification cycle2.6 Will harvesting be witnessed during audit?

2.6.1 If harvest is NOT witnessed, please justify:2.7 Audit conducted (On-site/Remote):

Please indicate the hours assigned to the different audit activities in the table below, separated by the hours spend on the activities by the environmental- and social auditor(s):2.8 2.9 2.10Time assigned to audit activities Social Auditor(s) Environmental auditor(s)Off-site activities 16 32On-site activities 16 16Total man days 4 6

2.11 2.12 2.13 2.14 2.15Surname First name Role Expertise needed for the audit

(required for technical experts only)

Person on-site or remote?

Ogawa　小川 Naoya　直也 Audit team leader - On-siteOgawa　小川 Naoya　直也 Social Auditor - On-siteHanazato　花里 Tadashi　匡史 Technical experts (specify

activities)Environmental Surveys　環境調査 On-site

Koketsu　纐纈 Wataru 渉 Technical Auditor - On-site

3.2 3.3 3.4 3.6 3.13 3.14 3.15 3.16 3.17 3.18Site name Ownership Primary culture species Cycle duration Latitude (N, S)

(00.000000)*Longitude (E,W) (00.000000)*

Production system* Number of production units

Start date of audit End date of audit

Urata Suisan Co., Ltd.浦田水産株式会社

OwnedJapanese seabream (Pagrus major)

Long-cycle species (>6 months) 32.372857 130.408522 Cages 24 17/03/2021 18/03/2021

4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8 4.9 4.10Name of Company/ Organisation if applicable Contact person - First

nameContact person - Surname Country where stakeholder is

basedEmail address of contact person/ stakeholder

Stakeholder type If stakeholder type "other" was selected what type?

Contact date stakeholder

Did the stakeholder submit comments?

Stakeholder comments relate to what ASC standard indicator

Local people 地域住民 - - Japan - Communities - 3/03/2021 - -Local authorities 地方自治体 - - Japan - Authorities - 3/03/2021 - -

Akiyuki　昭幸

Kanabo　金棒Research and Development Office Manager & Processing Section Sales Manager　研究開発室

室長　兼　加工課営業課長

[email protected]

(+81)0969-72-1221

2. Audit information

3. Site information

4. Stakeholder engagement

Yes

Audit team and other involved persons

1Initial audit

1

-On-site

ASC standard principles

AMITA Corporation

Audit Announcement (Form 3)

Please note that all data entered in this audit announcement sheet will be automatically populated to the specific fields in the sheets of the audit report itself.SiteID(s) is/are provided by ASC in the confirmation email of the publication of this Form 3.

Audit announcementEnglish

1. General, client/CAB information

Multi Site option 1 - no Internal management systemJapanese

JapanSeabass, Seabream, Meagre

1.12.2

Kumamoto-ken Kaisui Yoshoku Gyogyo Kyodo Kumiai　熊本県海水養殖漁業協同組合

Urata Suisan Co., Ltd.　浦田水産株式会社

1.1 Document Type

1.2 Document language1.3 Second document language1.4 Unit of certification type

1.4.1 Company name1.4.2 UoC name

1.5 Country where UoC is located1.6 ASC Standard1.7 Standard version1.8 Certification process is subject to CAR version

1.9 Name of the Conformity assessment body (CAB)

Client contact person - from the UoC1.15 First name1.16 Surname

1.17Position in the UoC (Job title)

1.18 Email address1.19 Phone number1.20 Other means of contact e.g. Skype

AMITA Corporation

Akiyuki　昭幸Kanabo　金棒Research and Development Office Manager & Processing Section Sales Manager　研究開発室室長　兼　加工課営業課長[email protected](+81)0969-72-1221

2.2

1. General, client/CAB information

Audit announcementEnglishJapaneseMulti Site option 1 - no Internal management system

JapanSeabass, Seabream, Meagre1.1

Kumamoto-ken Kaisui Yoshoku Gyogyo Kyodo KumiaiUrata Suisan Co., Ltd.　浦田水産株式会社

2) Audit information Announcement and audit report

Date - Audit announcement published on ASC website

Date - Draft report published on ASC websiteDate - Final report submitted to ASC

Audit ID

ASC standard principles covered by the audit

Principle 1 Covered

Principle 2 CoveredPrinciple 3 CoveredPrinciple 4 CoveredPrinciple 5 CoveredPrinciple 6 CoveredPrinciple 7 CoveredPrinciple 8 Covered

Activities covered under the scope of the certification and under the scope of the audit.Activities in the table apply to final product only.

Activity Under scope of certification Under Scope of this audit Notes

2.6.1 Stocking Covered Covered

2.6.2 Nursing Not Covered Not Covered

2.6.3 Growing Out Covered Covered

2.6.4 Transferring Not Covered Not Covered

2.6.5 Harvest Covered Covered

2.6.6 Vaccination Covered Covered

2.6.7 Fallowing Covered Covered

2.6.8 Transportation Covered Covered

2.6.9 Storage (if present at farm) Not Covered Not Covered

2.6.10 Processing (if present at farm) Not Covered Not Covered

2.6.11 Packing (if present at farm) Not Covered Not Covered

2.6.12 Other (Please describe) Not Covered Not Covered

Certification cycle

Audit type

Audit number in certification cycle

Will harvesting be witnessed during audit?If harvest is NOT witnessed, please justify:Audit conducted (On-site/Remote):

Please indicate the hours assigned to the different audit activities in the table below, separated by the hours spend on the activities by the environmental- and social auditor(s):

2.12.1 2.12.2 2.12.3

Time assigned to audit activities Social Auditor(s) Environmental auditor(s)

Off-site activities 16 32On-site activities 16 16Total man days 4 6

2.13 2.14 2.15 2.16 2.17Surname First name Role Expertise needed for the

audit (required for technical experts only)

Person on-site or remote?

Ogawa　小川 Naoya　直也 - On-siteOgawa　小川 Naoya　直也 Social Auditor - On-site

Hanazato　花里Tadashi　匡史 Technical experts (specify

activities)Environmental Surveys　環境調査

On-site

Koketsu　纐纈 Wataru 渉 Technical Auditor - On-site

Audit team and other involved persons

provided by ASC with publication confirmation

1

1

Yes

Initial audit

-On-site

4/121

List all sites here, that are included in the certificate.

Yes

3.1 3.2 3.3 3.4 3.5 3.13 3.14 3.15 3.16 3.17 3.18 3.19 3.20 3.21 3.22 3.22.1 3.22.2 3.23 3.23.1 3.24 3.25 3.26 3.26.1 3.27 3.28 3.29 3.30 3.31 3.32Site ID - provided by ASC with publication confirmation of audit announcement.

Site name Ownership Primary culture species Secondary species (choose multiple species as relevant)

Latitude (N, S) (00.000000)*

Longitude (E,W) (00.000000)*

Production system Number of production units

Production type production method

Date of inclusion into the UoC (for scope extension/group/multi-site)

Start date of audit End date of audit First date of juvenile stocking for the current

production cycle

Estimated Number of months post audit to peak biomass/ first

harvest

Status at the time of the current audit

List of other certificates (choose multiple options as relevant)

List of other certificates: If 3.23 is ''Other'', please list the certificates:

Is the site partially certified?

If partially certified, which part is not in the UoC and why?

The volumes indicated in the fields 3.27-3.30 apply to the following full calendar year:

Type of volumes indicated in 3.27-3.30

ASC-certified production volume (in Kg)

Non ASC-certified production volume (in Kg)

Dispatched or sold as ASC-certified Volume (in Kg)

Dispatched or sold as non ASC-certified Volume (in Kg)

For Bivalve/Abalone:Volumes indicate in 3.27 - 3.30 are given in live weight equivalent or volume without shell

Note/ Other information


Member - in case cooperative

Japanese seabream (Pagrus major) 32.372857 130.408522 Cages 24.000000 Monoculture Intensive 17/03/2021 18/03/2021 11/4/2019 8 Other MEL 2021

Estimated volume

100800 215600

3. Site information

GIS, polygon data and map on site level validated by auditor?

4.1 4.2 4.3 4.4 4.5 4.6 4.7 4.8Site ID - provided by ASC with publication confirmation of audit announcement.

Site name Date of witnessed harvest:

Production unit ID:

Volume harvested (in Kg):

Average weight of animals (in g)

Partial harvest / full harvest:

Note/ Other information


18/03/2021 2175.2 1720

Partial harvest

4. Harvest witnessing

For more information please read our privacy policy, which can be found here:

ASC Privacy policy

Provide stakeholder comments including CAB response, please use the confidential Annex-2 in case of any confidential data not to be published.

This table collects all the information relevant to stakeholders consulted during the audit process. Each stakeholder should be entered into a separate row, ever where from the same company/organization

5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8 5.9 5.10 5.11 5.12 5.13 5.14Name of Company/ Organisation if applicable

Contact person - First name

Contact person - Surname Country where stakeholder is based

Email address of contact person/ stakeholder

Stakeholder type If stakeholder type "other" was selected what type?

Contact date stakeholder Did the stakeholder submit comments?

Stakeholder comments relate to what ASC standard indicator number?

Brief summary of points raised by stakeholder or complete submission

Date stakeholder submission was received

Date CAB responded to stakeholder

Actual changes made due to stakeholder comment?

Local people 地域住民 - - Japan - Communities - 3/03/2021 Yes - no complain, good communications, locally contributing

18/03/2021 18/03/2021

Local authorities 地方自治体 - - Japan - Authorities - 3/03/2021 Yes - no complain, good communications, properly managing

18/03/2021 18/03/2021

ASC takes data protection very seriously. ASC will only use any personal information you give us in connection with the audit report.

5. Stakeholder engagement

https://www.asc-aqua.org/privacy/

This sheet is only required for Multi-site clients without IMSClients to use below tables for self assessment - Auditor to verify

6.1 6.2 6.3 6.4

Requirements Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation

decision

1.1 The multi-site client shall be a legal entity.

Compliant

1.2 The multi-site client shall have a legally binding link(i.e. direct ownership, or contract) with all sites within the UoC .

1.2 Multi-site applicants must have a legally binding connection with all UoC sites (direct ownership or contract). Urata Fisheries, the only aquaculture company, is a member of the Kumamoto Seawater Aquaculture Fisheries Cooperative and has legal ties. Compliant

1.3 All sites in the UoC shall:a) Operate within the same jurisdiction or within neighbouring jurisdictions that share relevant common regulations;b) Have the same or similar production system;c) Be subject to the same species standard;d) Comply with the relevant ASC Farm Standard Requirements.

1.3 All sites with certification units; a) Operating in the same jurisdiction of legal authority or in the jurisdiction of adjacent legal authority to which the same relevant regulations apply. b) Have the same or similar production system. c) Subject to the same fish species standards. d) Each site meets the criteria. a) Urata Fisheries operates in the same jurisdiction of legal authority or in the jurisdiction of adjacent legal authority to which the same relevant regulations apply. b) Urata Fisheries has a unified aquaculture system. c) For Urata Fisheries, only red sea bream is the target fish species. d) There is only one site and it meets the standards.

Compliant

1.4 Subcontracted farms may be included in the unit of certification if all the following apply:If the ASC farm standard being audited to contains indicator(s) for contract farming, the below requirements (1.4.1 - 1.4.6) shall not apply.

1.4 Contract farms may be included in the certification unit if all of the following are true: If the criteria include indicators for contract farms, the following requirements (1.4.1-1.4.6) do not apply. There is no contract farm.

Compliant

There is no contract farm.

1.4.1 All of the operations of the farm are subject to the same procedures as the rest of the unit of certification.

1.4.1 All farm operations follow the same procedures as the rest of the certification unit. N/A There is no contract farm.

1.4.2 The product produced by the subcontractor is owned by the certificate holder.

1.4.2 The products produced at the contract farm are owned by the certified person. N/A There is no contract farm.

1.4.3 The central office has the same oversight and right to control over the operations of subcontractors as it has for the client’s own operations.

1.4.3 The Multisite Headquarters has the same oversight and control authority over the operations of the contract farm as it does for the operations of the customer himself.N/A There is no contract farm.

1.4.4 All of the operations of the subcontracted farms shall be included in the multi-site certificate.

1.4.4 All operations of the contract farm are included in the multi-site certification. N/A There is no contract farm.

1.4.5 The contract shall be transparent, mutually accepted by both parties and include the above provisions (1.4.1-1.4.4).

The 1.4.5 contract is transparent, is based on mutual agreement and includes the above conditions (1.4.1-1.4.4).N/A There is no contract farm.

1.4.6 Contract farming arrangements with subcontracted farms should follow the FAO “Guiding principles for responsible contract farming operations” .

1.4.6 Contracted aquaculture contracts with contracted farms should follow the Food and Agriculture Organization of the United Nations (FAO) Guidelines for Responsible Contracted Aquaculture.N/A There is no contract farm.

1.5 The multi-site client shall have a central office that is responsible for the management of and conformity to ASC requirements for the UoC.

1.5 Applicant has multi-site headquarters responsible for managing certification units and for certification units to meet ASC requirements. The Kumamoto Prefecture Seawater Aquaculture Cooperative has a manager and is responsible for meeting the ASC requirements for Urata Fisheries, the only aquaculture operator.

Compliant

1.6 The multi-site client shall conform to the following documented procedures:

Compliant

1.6.1 Procedure for managing complaints submitted to management by stakeholders and staff members as specified in the applicable ASC Farm Standard.

1.6.1 Procedures for handling complaints submitted to management by

interested parties and staff members as set forth in applicable standards.

Grievance procedures have been established. No complaints have been

confirmed at this time in field reviews and stakeholder interviews.

Compliant

1.6.2 Procedures for identifying and segregating all products within each site, among sites within the unit of certification, and products that are not included in the unit of certification.

1.6.2 Procedures for identifying and sorting all products within a site, all

products between sites within a certification unit, and products not included in a

certification unit

Procedures are in place to identify and segregate all products within the site,

all products between sites within the certification unit, and products not

included in the certification unit.

Compliant

These procedures shall describe:1.6.2.1 How certified products are identified and segregated to prevent mixing with non-certified before the start of the MSC/ASC certified chain of custody.

1.6.2.1 This procedure must explain how certified products are identified and

sorted to prevent contamination of non-certified products in the process

leading up to the initiation of MSC / ASC CoC certification.

Describes how to identify and separate non-certified products to prevent

contamination. The mechanism of physical identification and sorting was

confirmed. It was confirmed in the seedling history, aquaculture management

record, shipping record, etc.

Compliant

1.6.2.2 The conditions under which products must be segregated, and measure to prevent mixing directly or indirectly.

1.6.2.2 This procedure must describe the conditions under which the product

must be sorted and the measures to prevent contamination directly or

indirectly.

The procedure manual describes the conditions for sorting, and has a

mechanism to prevent contamination.

Compliant

1.6.3 The procedures and associated records shall allow products to be traced back from the start of the MSC/ASC certified chain of custody back to the production unit (i.e. cage/net/pen/pond/tank/ raceway).

1.6.3 This procedure and related records shall allow the product to be traced

back from the starting point of MSC / ASCCoC certification to the production

area (cat cages, nets, enclosures, ponds, tanks, waterways).

The product could be traced back from the starting point of CCoC certification

to the production area (coves, nets, enclosures, ponds, tanks, waterways). The

traceability test has been completed properly.

Compliant

1.6.4 The multi-site client shall implement effective documented procedures to trace inputs (e.g. feed) used for each site as specified in the applicable ASC Farm standard. 1.6.4 Applicants must implement effective documented procedures to track the

inputs used at each site (eg feed) as specified in the applicable standards. not.

There is only one site of Urata Fisheries.

The records in the introduced feeding diary IT system (software) confirmed that

the inputs used within the site could be tracked.

Compliant

6. Multisite UoC without IMS (option 1): CAR 17.1.3.2-17.1.3.3

This sheet is only necessary for Multi-site clients with IMSClients to use below tables for self assessment - Auditor to verify

7.1 7.2 7.3

Requirements Audit Evidence Indicator evaluation

1.1 The multi-site client shall be a legal entity.1.2 The multi-site client shall have a legally binding link(i.e. direct ownership, or contract) with all sites within the UoC .1.3 The multi-site client shall be responsible for the oversight and implementation of the organisation’s internal management system1.4 All sites in the UoC shall:a) Operate within the same jurisdiction or within neighbouring jurisdictions that share relevant common regulations;b) Have the same or similar production system;c) Handle the same species, and this species shall be under the scope of an applicable ASC Farm Standard.

1.5 Subcontracted farms may be included in the unit of certification if all the following apply:If the ASC farm standard being audited to contains indicator(s) for contract farming, the below requirements (1.5.1 - 1.5.6) shall not apply.1.5.1 All of the operations of the farm are subject to the same procedures as the rest of the unit of certification.1.5.2 The product produced by the subcontractor is owned by the certificate holder.1.5.3 The central office has the same oversight and right to control over the operations of subcontractors as it has for the client’s own operations.1.5.4 All of the operations of the subcontracted farms shall be included in the multi-site certificate.1.5.5 The contract shall be transparent, mutually accepted by both parties and include the above provisions (1.5.1-1.5.4).1.5.6 Contract farming arrangements with subcontracted farms should follow the FAO “Guiding principles for responsible contract farming operations” .1.6 The multi-site client shall have a central office that is responsible for the management of and conformity to ASC requirements for the UoC.The central office shall also :1.6.1 Have the authority to require compliance of all sites and operations included in the unit of certification.

1.6.2 Demonstrate its ability to collect and analyse data from all sites, operations and the central office included, in the unit of certification including:A. Data required to demonstrate conformity with ASC requirements, andB. Implementation of corrective and preventive actions.

1.6.3 Demonstrate its ability to implement organisational change if required.1.6.4 Notify the CAB of any non-conformities against applicable local regulations that are relevant to the ASC scope of certification within three (3) days of detection.Internal Audit1.7 The Multisite client shall conduct an internal audit of the IMS against the applicable ASC CAR requirements on each site and against the applicable ASC standard at least annually.For initial audits, the internal audits shall be completed before the external audit by the CAB.

1.7.1 The outcome of the internal audit shall demonstrate conformity against the ASC multi-site requirements and the applicable ASC Farm Standard Requirements.1.7.2 Some social requirements may be excluded from internal audits to maintain worker confidentiality, if requirements are excluded justifications shall be recorded.1.7.2.1 Social indicator exclusion justifications shall have a valid and acceptable rationale.1.8 The multi-site client shall conform to the following documented procedures:1.8.1 Document control procedure.1.8.2 Record keeping and retention procedure.1.8.3 Procedure for managing changes to ASC requirements.1.8.4 Procedure for conducting annual management reviews.1.8.5 Procedure for managing complaints submitted to management by stakeholders and staff members as per specified in the applicable ASC Farm Standard.1.8.6 Procedure for the evaluation and implementation of corrective and preventive actions.1.8.7 Procedure for conducting root cause analyses for nonconformities, and for addressing identified root causes.1.8.8 Procedures to ensure compliance with legal requirements.1.8.9 Procedures for conducting an annual internal audit, covering ASC requirements.1.8.10 Procedures for planning for and evaluation of the results of internal audits.1.8.11 Procedures for the scheduled reporting of performance of management systems and sites.1.8.12 Procedures for identifying and segregating all products within each site, among sites within the unit of certification, and products that are not included in the unit of certification.The procedures shall describe:1.8.12.1 How certified products are identified and segregated to prevent mixing with non-certified before the start of the MSC/ASC certified chain of custody.

1.8.12.2 The conditions under which products must be segregated, and measure to prevent mixing directly or indirectly.1.8.13 The procedures and associated records shall allow products to be traced back from the start of the MSC/ASC certified chain of custody back to the production unit (i.e. cage/net/pen/pond/tank/ raceway).1.8.14 The multi-site client shall implement effective documented procedures to trace inputs (e.g. feed) used for each site as specified in the applicable ASC Farm standard.Management Review1.9 The central office shall be subject to an annual management review.Competency Requirements1.10 Internal auditors shall be competent in ASC requirements as described in Annex B. (Refer to tab 8 of this Audit Report Template)

Risk evaluationBelow table is to be filled out by the Auditor

Risk Level

ThreatThresholds for determining

level of riskRisk Level

Sample size (Sites)

Sample size (Employees)

E9.2 Explanation of sample selection

Threat

1. Management system weakness2. Weakness of client’s internal site checklist

Additional risks identified by the CAB (E7.1.1.i, 7.2.2, 8.1.1.i)

3. Internal audit weakness4. Staff training weakness

12. Country risk assessment score

E2. The CAB shall add the list of additional threats (Annex E, E4.2.1.ii) to this table and provide its risk category and an explanation to support it to this table.

5. Multiple management systems

8. Use of resources7. Subcontractors including subcontracted farms and subcontracted services

6. Records management weakness

11. Traceability weakness10. Complaints resolution weakness9. Record of NCs raised by the ASC CAB and response

How many employees does the client or operation have?

Table E1 - ASC sample size calculator for sites and staff interviews in multi-site certification

Is this the initial audit of the client or operation?

How many sites does the client or operation have?

How many sites has the client or operation ADDED since the last audit?

8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.10 8.11 8.12 8.13 8.14 8.15 8.16 8.17 8.18

Req. No Requirement Topic Requirement Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation

decisionDate of NC detection Deadline for NC close-out Actual date of close-out NC Status VR submitted VR used Notes

Root cause analysis

NC correctionNC Corrective

actionExtension justification

New deadline for NC close-out

G1 Education

G1 The individual shall have at

least a post-high school

diploma

G2Knowledge/ understanding of

organisational situations

G2a The individual shall have

knowledge of general business

processes and shall understand

the workings of organisations in

relation to size, structure,

function and relationships.G2b The individual shall

understand the social,

economic and cultural

relationships in worker

communities.

G3

Knowledge/ understanding of

management systems and

reference documents

G3 The individual shall have a

general knowledge of

management systems standards

(such as ISO 9001), applicable

procedures or other

management systems

documents used as audit

criteria.

G4 Audit/ Inspection training


successfully completed an

Internal Auditor training course

based on ISO 19011 principles

that has a minimum duration of

sixteen (16) hours. The

certificate must specify the

course content and duration.

Successful completion must be

indicated on the certificate. The

course provider shall be

accredited by the International

Register of Certified Auditors

(IRCA) or equivalent. OR The

individual shall have

successfully completed an

Internal Auditor and Inspector

training course that has been

approved by ASC. OR The

individual shall have

successfully completed a

training of at least 16 hours by G4b The individual shall have

been trained on the ASC

applicable standard.G4c The individual shall have

successfully completed a

training course on ASC

certification requirements for

Group certificationG4d The individual shall have

undertaken and successfully

completed the ‘ASC Farm

Traceability’ online training

module.G4e The individual shall be

trained on the farm traceability

module by a qualified (internal)

auditor.G4f The individual shall

complete the ASC training for

new requirements as specified

by the ASC and training on

changes to legislation, codes,

relevant labour conventions as

appropriate.G4g The individual shall

complete the ASC training for

new requirements and changes

to legislation, codes, relevant

labour conventions as

appropriate, by a qualified

(internal) auditor.

G5 Work experience

G5 The individual shall have

experience relevant to the

business being audited or site

being inspected.

G6 Audit/ Inspection Experience


undertaken at least two audits

or inspections in the last 2 years

against any other aquaculture

certification scheme as an

acting auditor or inspector,

shadowed and signed off by a

competent internal auditor or

inspector.G6b The individual shall have an

internal audit/inspection

witnessed by a qualified ASC

internal auditor/inspector no

less than once in each two (2)

year period.

G7 Writing skills

G7 The individual will produce

clear and accurate reports on

audit/inspection findings.

G8 Oral presentation skills


good oral communication skills,

which makes him/her

understood by the intended

audience.

G9 Organisational skills


good organisational and time

management skills.

G10 Facilitation skills


skills to ensure effective

communication between

themselves and other people.

G11 Interviewing skills

G11 The individual shall be

experienced in different types

of interviewing techniques.

G12 Language skills

G12 Unless accompanied by an

independent interpreter, the

individual shall be a fluent

speaker and reader of the

language(s) used by managers,

administrators and workers of

the organisation being audited

or inspected.

G13 Detection skills


knowledge and skills to detect

and document evidence of non‐

conformities.

G14 Listening

G14 The individual shall

understand and interpret verbal

and non-verbal communication.

G15 Numeracy


understand and interpret

number systems and their

significance.

G16 Reading


understand and interpret

written material related to the

topics of audit/inspection.

G17 Versatile

G17 The individual will be able

to adjust readily to different

situations and to effectively

resolve conflict and arrive at

consensus agreement as far as

possible.

G18 Ethical

G18a The individual will be fair,

truthful, unbiased, sincere,

discreet, trustworthy and

honest.G18b The individual will possess

a high level of integrity,

particularly in relation to

bribery and corrupt practices.

Annex B3 – Competence requirements for Group internal auditors and inspectors.Important note: please do not mention any names in the evidence. Be aware of confidential information, which can be indicated in the confidential annex.

8. Internal Auditors and Inspectors Requirements

10/121

1) General, Client and CAB informationAnnouncement and audit reportMeans of transportation between office and site(s) and between sites within UoCEstimated travel time between office and site(s) and between sites within UoCNumber of complaints received from stakeholders over past 12 monthsNumber of resolved complaintsAverage time to resolve complaints (days)Last Social Impacts Assessment (SIA) conducted in (year)

Name of nearby communities, Indigenous or not and the distance of the UoC to the nearest neighbouring community/-ies or neighbours (in km)

Name of nearby

community

Indigenous

9.6.19.6.29.6.39.6.49.6.59.6.6

Social audits performed at UoC Standard Certified since (Date)

Certified until(Date)

Date of last audit (Date)

9.7.1 SA80009.7.2 BSCI N/A N/A9.7.3 SMETA N/A N/A9.7.4 ISO 450009.7.5 ASC9.7.6 Others (specify)

Subcontractors Name of Place of work Areas of work/processes9.8.19.8.29.8.39.8.49.8.59.8.6

Distance of the UoC to the nearest neighbouring community/-ies or neighbours

(in km)

11/121

Please note that auditor training on farm traceability is also covered in the MSC farm traceability module.

10.1 Activity Under scope of certification

10.1.1 Stocking Covered

10.1.2 Nursing Not Covered

10.1.3 Growing Out Covered

10.1.4 Transferring Not Covered

10.1.5 Harvest Covered

10.1.6 Vaccination Covered

10.1.7 Fallowing Covered

10.1.8 Transportation Not Covered

10.1.9 Storage (if present at farm) Not Covered

10.1.10 Processing (if present at farm) Not Covered

10.1.11 Packing (if present at farm) Not Covered

10.1.12 Other (Please describe) Not Covered

10.2

10.2.1 a) Partial Certification no10.2.210.2.3

10.2.4 b) Similar appearance species produced in the UoC no10.2.510.2.6

10.2.710.2.8

10.2.9

c) Average % of products produced as non-ASC in the UoC per year

全部ASC認証、非ASCとして生産された製品の年間平均割合0%

10.2.1010.2.11 Physical identification yes10.2.1210.2.13

10.2.14 Segregation systems for non-ASC product yes10.2.1510.2.16

10.2.17 Traceability records identification no10.2.1810.2.19

10.2.2010.2.21

10.2.22 Do the traceabil ity systems mitigate the mixing and substitution risks? yes10.2.2310.2.24

10.3

10.3.1 a) Non-ASC farms of the same or similar species l imiting with the UoC no10.3.210.3.3

10.3.4 b) Non-ASC Neighbour farms owned or related to the same UoC no10.3.510.3.6

10.3.7 c) Non-ASC products from other farms handled in the UoC no10.3.8

10.3.9

10.3.1010.3.11 Physical barriers no10.3.1210.3.13

10.3.14 Physical identification no10.3.1510.3.16

10.3.17 Segregation systems for non-ASC product no10.3.1810.3.19


10.3.2310.3.2410.3.25 Do the traceabil ity systems mitigate the mixing and substitution risks? yes10.3.2610.3.27

10.4

10.4.1 a) Company uses subcontracted services for harvesting, processing, packing or labell ing no

10.4.210.4.3

10.4.4 b) Company uses subcontracted services providers for storage or transportation no

10.4.510.4.6

10.4.710.4.8 Subcontractors are CoC certified no10.4.910.4.10

10.4.11 Contract and/or agreements in place including traceability conditions no10.4.1210.4.13


10.4.1710.4.1810.4.19 Do the traceabil ity systems mitigate the mixing and substitution risks? yes10.4.2010.4.21

10.5

10.5.1 Risk Level

10.5.2 a) n/a10.5.310.5.410.5.5 b) n/a10.5.610.5.710.5.8 c) n/a10.5.910.5.1010.5.11 d) Traceabil ity and segregation systems available for the risks above no10.5.1210.5.13

10.5.14 Do the traceabil ity systems mitigate the mixing and substitution risks? no10.5.1510.5.16

10.5.17

10.5.18 Product Identification Code ID 2-7 10.5.19

10.6 Production stage Description Date Description of how codes or documents l ink product at each stage.10.6.1 A)　Shipment from farm to COC starting point

養殖場からCOCスタート地点への出荷shipment出荷

shipping bill出荷伝票

27/10/2020 cageID, date, amount生簀ID　日付　数量 10.6.14

10.6.2 B)　Moving and deviding of cages in the farm養殖場の中での生簀移動・分養

moving and devideing移動・分養

productive record生産記録

3/12/2019 cageID, date生簀ID　日付 10.6.15

10.6.3 C)　stocking of purchased fingerling購入した種苗の活け込み

stocking活け込み

productive record生産記録

26/6/2019 cageID, date生簀ID　日付 10.6.16

10.6.4 D)　shipping in and purchasing of fingerling種苗の購入および搬入

purchasing fingerling種苗購入

fingerling certificate種苗履歴

25/6/2019 species, amount, date魚種　数量　日付

10.6.1710.6.5 E) 10.6.1810.6.6 F) 10.6.1910.6.7 G) 10.6.2010.6.8 H) 10.6.2110.6.9 I) 10.6.2210.6.10 J) 10.6.2310.6.11 K) 10.6.2410.6.12 L) 10.6.2510.6.13 M) メモ；梱包、加工、洗浄と

仕分け、輸送、収穫、成長、苗床、ストックなど。様々な生産ステップの詳細をそれぞれ記述した製品の流れ（input からoutput）部分認証の場合は、分別方法も

メモ；売上請求書、送り状、生産記録、保管記録、input記録、サイト間または生産ユニット間の移動記録。

10.6.26

10.7 Traceability test(s) successfully conducted yes10.8 Traceability Information allows to link each stage of handling certified products yes

10.9The traceability and segregation systems in the operation are sufficient to ensure all products identified and sold as certified by the operation originate from the unit of certification yes

10.10 The traceability and segregation systems are not sufficient and a separate chain of custody certification is required for the operation before products can be sold as ASC-certified or can be eligible to carry the ASC logo. CoC not needed

10.1110.11.1

10.12 Entity name CoC code

10.12.1 Kumamot-ken Kaisui Yoshoku Gyogyo Kyodo Kumiai, Sumot fishery process factory熊本県海水養殖漁業協同組合　栖本水産加工場

to be certified取得予定

10.12.210.12.310.12.410.12.510.12.610.12.710.12.8

10.13 From transportation from the UoC to the first point of sale or handling.

7.13.1There are no storage, processing or shipping facilities. Urata Fisheries will ship to the sales destination by live fishing boat. ASC target fish will be sold through the Sumoto Fisheries Processing Plant of the Kumamoto Prefecture Seawater Aquaculture Cooperative. The processing plant of the Kumamoto Prefecture Seawater Aquaculture and Fisheries Cooperative is scheduled to acquire CoC certification, and until it is handed over to it, it will be subject to this farm certification. The place of delivery will be the starting point of COC.A COC ID code was also created at the Sumoto Fisheries Processing Plant of the Kumamoto Prefecture Seawater Aquaculture Cooperative.

保管、加工、出荷施設はない。浦田水産からは活漁船で販売先まで出荷する。ASC対象魚は熊本県海水養殖漁業協同組合の栖本水産加工場を通して販売される予定である。熊本県海水養殖漁業協同組合の加工場はCoC認証を取得予定であり、そこにひき渡すまでが本養殖場認証の対象となる。引き渡した場所がCOCのスタートポイントとなる。熊本県海水養殖漁業協同組合の栖本水産加工場においてCOCのIDコードも作成された。

Similar appearance species:

10. ASC CAR 17.6.1-2 Substitution risk assessment

Activities covered under the scope of the certification and under the scope of the audit

1. Possibi l ity of mixing or substitution of certified and non-certified product, including product of the same or similar appearance species, produced within the same operation.

Reason for partial certification:

部分認証；非該当 not applicable

【その他、実施されているその他のトレーサビリティシステム】

類似種なし no similar apperance species

Production units or batches excluded from the certification scope

認証範囲から除外される生産単位またはバッチ；カキ筏以外は除外all cages are within the scope

d) Traceabil ity and segregation systems

Description

【物理的な識別】認証と非認証のマダイの水揚げを同時に行わないことで、混在のリスクを防ぐ。By not landing certified and uncertified red sea bream at the same time, the risk of mixing is prevented.

Description

【非認証製品の分別】認証と非認証のマダイの水揚げを同時に行わないことで、混在のリスクを防ぐ。By not landing certified and uncertified red sea bream at the same time, the risk of mixing is prevented.

Description

【トレーサビリティ記録の識別】全ての生簀にIDが付けられており、生簀の配置図の最新情報がデータ管理されている。給餌、収穫、輸送の工程も生簀ごとで識別されている。ASC認証生簀も非認証生簀も全てASC基準に適合している飼料を使っているため、給餌のエラーもない。生簀ごとで水揚げの船が異なる。認証と非認証のマダイの水揚げを同時に行わないことで、混在のリスクが防がれている。水揚げされた時の容器の色もASC認証と非認証とで異なる。混在できない仕組みとなっている。IDs are attached to all cages, and the latest information on the layout of the cages is managed as data. Feeding, harvesting and transport processes are also identified by cage.Since both ASC certified cages and non-certified cages use feed that conforms to ASC standards, there are no feeding errors.The landing boat is different for each cage. By not landing certified and uncertified red sea bream at the same time, the risk of mixing is prevented. The color of the container when landed is also different between ASC certified and non-certified. It is a mechanism that cannot be mixed.

Other traceability systems in place:

d) 分別システム【物理的バリア】

Rationale【トレーサビリティシステムは、混合・置換リスクを軽減しているか？】全ての生簀にIDが付けられており、生簀の配置図の最新情報がデータ管理されている。給餌、収穫、輸送の工程も生簀ごとで識別されている。ASC認証生簀も非認証生簀も全てASC基準に適合している飼料を使っているため、給餌のエラーもない。生簀ごとで水揚げの船が異なる。認証と非認証のマダイの水揚げを同時に行わないことで、混在のリスクが防がれている。水揚げされた時の容器の色もASC認証と非認証とで異なる。混在できない仕組みとなっている。IDs are attached to all cages, and the latest information on the layout of the cages is managed as data. Feeding, harvesting and transport processes are also identified by cage.Since both ASC certified cages and non-certified cages use feed that conforms to ASC standards, there are no feeding errors.The landing boat is different for each cage. By not landing certified and uncertified red sea bream at the same time, the risk of mixing is prevented. The color of the container when landed is also different between ASC certified and non-certified. It is a mechanism that cannot be mixed.

2. Possibi l ity of mixing or substitution of certified and non-certified product, including product of the same or similar appearance or species, present during production, harvest, transport, storage, or processing activities.

Description of neighbour farms

a) 同種／類似種がUoCで制限されている非認証養殖場？【近隣の養殖場】

If yes, Name of farms in case are related to the client.

b) 同一のUoCが所有／関連する近隣の非認証養殖場yesの場合は、養殖場の名前

Stage(s) when the non-ASC products are handled in the UoCNote: If non-ASC products or products from other farms are handled in the UoC a CoC certification is

c) UoCで取り扱う他養殖場からの非認証製品【非認証製品がUoCで取り扱われる段階】

d) Segregation systems

Description

Description

Description

【物理的識別】

Description

【非認証製品の分別システム】

Description

【トレーサビリティ記録の識別】

Others systems:

Rationale【トレーサビリティシステムは、混合・置換リスクを軽減しているか？】

3. Possibi l ity of subcontractors being used to handle, transport, store, or process certified products.

a) 収穫、加工、梱包、ラベル付けのために下請けサービスを利用している？

Descriptionb) 保管または輸送のために下請けのサービス業者を利用している？

c) Traceabil ity and segregation systems

Descriptionc) トレーサビリティと分別システム【下請け業者はCoC認証を取得している】

Description【トレーサビリティーの条件を含む契約/合意書が締結されている】

Description【トレーサビリティ記録の識別】

Others systems:

Rationale

Rationale【トレーサビリティシステムは、混合・置換リスクを軽減しているか？】

4. Any other opportunities where certified product could potential ly be mixed, substituted, or mislabelled with non-certified product before the point where product enters the chain of custody.

Description

Description

Description

Description

d) 上記のリスクに対して利用可能なトレーサビリティと分別システム

ASC CAR 17.6.10.2 The point from which chain of custody is required to begin

【トレーサビリティシステムは、混合・置換リスクを軽減しているか？】

ASC CAR 17.6.3-5 Product flow, traceability and segregationPlease describe the product flow within the UoC

[Product flow in UoC] * Conduct traceability tests on harvested products. For partial certification, traceability tests will be conducted on ASC and non-ASC products.

There are no storage, processing or shipping facilities. Urata Fisheries will ship to the sales destination by live fishing boat. ASC target fish will be sold through the Sumoto Fisheries Processing Plant of the Kumamoto Prefecture Seawater Aquaculture Cooperative. The processing plant of the Kumamoto Prefecture Seawater Aquaculture Cooperative is scheduled to acquire CoC certification, and until it is handed over to it, it will be subject to this farm certification.Harvesting is done in cage units, and the harvested red sea bream is placed in a tight basket and transported by basket and live fishing boat. In front of the Kumamoto Prefecture Seawater Aquaculture Cooperative's Sumoto Fisheries Processing Plant, there is a cage for shipping that is temporarily stored on the surface of the sea and is transported there. The shipping cages are also divided by the original cage unit, and fish from other cages are not mixed.The shipping slip states that it is an ASC certified product, and a shipping record remains.A COC ID code was also created at the Sumoto Fisheries Processing Plant of the Kumamoto Prefecture Seawater Aquaculture Cooperative.

【UoC内の製品の流れ】※収穫された製品のトレーサビリティー試験を実施する。部分認証の場合、ASC製品と非ASC製品のトレーサビリティー試験を実施する。

保管、加工、出荷施設はない。浦田水産からは活漁船で販売先まで出荷する。ASC対象魚は熊本県海水養殖漁業協同組合の栖本水産加工場を通して販売される予定である。熊本県海水養殖漁業協同組合の加工場はCoC認証を取得予定であり、そこにひき渡すまでが本養殖場認証の対象となる。収穫は生簀単位で行われ、収穫されたマダイはしきりのついたかごに入れられ、かごと活漁船で運搬される。熊本県海水養殖漁業協同組合の栖本水産加工場前に一時的に海面で保管する出荷用の生簀があり、そこに運搬される。出荷用生簀も元の生簀単位で分けられており、他の生簀の魚が混ぜられることはない。出荷伝票にはASC認証製品であることが記載され、出荷記録が残る。熊本県海水養殖漁業協同組合の栖本水産加工場においてCOCのIDコードも作成された。

Conduct a traceability test of harvested products. In Case of partial certification perform a traceability test for ASC and non-ASC products.

ASC CAR 17.6.6.1-2 Traceability determination

Rationale for the decision[Judgment regarding traceability]The traceability system is sufficient because the risk of non-certified red sea bream being mixed in from landing to arrival at the processing destination is well controlled, and the shipping slip clearly states that it is an ASC certified product at the time of shipment. .. Therefore, no separate COC certification is required.

【トレーサビリティに関する判断】水揚げしてから、加工先に到着するまで、非認証マダイが混入するリスクは十分管理されており、出荷時にもASC認証製品であることが出荷伝票で明記されるため、トレーサビリティシステムは十分である。よって、別のCOC認証は必要ない。

ASC CAR 17.6.10.1 Point of First sale / handling

Details of Documentation Reviewed

Please indicate the correct volumes of the applicable quarter and year.

Quarter of the year: Quarter 1 Quarter 2 Quarter 3 Quarter 411.1 The volumes indicated in

this table apply to the following year:

2021 2021 2021 2021

11.1.1 Type of volumes indicated in 11.2 - 11.5

Estimated volume

Estimated volume

Estimated volume

Estimated volume

11.2 ASC-certified production volume (in Kg)

0 0 28800 72000

11.3 Non ASC-certified production volume (in Kg)

0 0 0 0

11.4 Dispatched or sold as ASC-certified Volume (in Kg)

154000 176000 168120 114800

11.5 Dispatched or sold as non ASC-certified Volume (in Kg)

0 0 0 0

11.6 Certification decision11.7 Certificate valid from11.8 Certificate valid till11.9 Eligibility date

Confidential Annexes11.10 Annex-1 Interviewee

information11.11 Annex-2 Stakeholder

comments11.12 Annex-3 Social information11.13 Annex-4 Volume data Yes Yes

Annex submitted to ASC?Yes

Yes

Yes

11. UoC volumes & Audit Closing

Yes

Yes

Yes

Annex filled in?

Volume reporting for complete UoC

●/05/2021●/05/2021

●/05/2021●/05/2024

Decision

Open and Extended Non-conformities from previous audit

12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8 12.9

Indicator Number

Indicator evaluation in previous audit

Last day of previous audit

NC detected for sites

(List site ID's)

Deadline for NC close-out,

determined in previous audit

NC Status in previous audit

NC Status in current audit

Actual deadline for NC close-out

Notes/additional evidence

Please indicate in the table below ONLY the non-conformities detected in the previous audit, which had the status: open or extended in the previous final audit report.This table is to evaluate the closure of the open/extended non-conformities from the previous audit.Add rows to the tables as needed.

12. Open & Extended NCs

13. B-EIA & p-SIA checklist

B-EIA checklistValidated by

auditor?Notes p-SIA checklist

Validated by auditor?

Notes

13.1 1. Quality of the B‐EIA process (e.g., was it participatory and transparent?). B‐EIA carried out by a valid expert in accordance with requirements lined out in the ASC standards.

13.231. Quality of the p‐SIA process (e.g., is itparticipatory and transparent).

13.2 (b) The B‐EIA was publicly (locally) communicated with sufficient timefor interested parties to participate and/or get informed.

13.24 (a) The intent to conduct a p‐SIA is locallypublicly communicated with sufficient time for interestedparties to participate and/or get informed.

13.3 (c) Stakeholders are listed and impact descriptions are documentedand in preparation of the final B‐EIA report, meetings with the listedstakeholders (or by stakeholders chosen representatives) have takenplace.

13.25(b) In listing stakeholders, in making impactdescriptions, and in preparation of a final p-SIA report‐document meetings with the listed stakeholders (or by stakeholders chosen representatives) have taken place.

13.4 (d) These meetings have been recorded and the minutes are attachedto the final report; names and contact details of participatingstakeholders included.

13.26 (c) These meetings have been minuted andthese records are attached to the final report; names andcontact details of participating stakeholders are included.

13.5 (e) Evidence is provided that draft and final B‐EIA reports have beensubmitted to local government representatives and, if requested bystakeholders, a legally registered civil organization chosen by thesestakeholders.

13.27(d) Evidence is provided that draft and final p‐SIA reports have been submitted to a local government representative and, if stakeholders so desire, to a (by stakeholders chosen) legally registered civil organization.

13.6 (f) Evidence is provided that the final B‐EIA reports have beensubmitted and reviewed by a specialist with appropriate expertise onbiodiversity issues.

13.28(e) B‐EIA done and completed according toguidance in the ASC standards (appropriate accreditation and consultation).

13.7(g) B‐EIA completed according to guidance on B‐EIA and pSIArelationship (transparency and consultation).

13.29 2. The risks and actual (past and present) impacts of the current or intended farm and at least two alternatives (one of these is the “no farm or no expansion” scenario). Concepts to cover include:

13.8 2. Risk analysis: actual (past and present) impacts of the currentfarms, or potential impacts of the intended farm or expansion ofexisting farm and at least two alternatives (one of these is the “nofarm or no expansion” scenario). Concepts to cover include:

13.30

(a) Economic aspects (influence onemployment opportunities, influence on other livelihoods in community).

13.9(a) The type of farming, possible alternatives and a summary ofactivities likely to affect biodiversity.

13.31(b) Natural resource access and use (land andwater tenure, influence on quality and availability of natural resources including water).

13.10 (b) An analysis of opportunities and constraints for biodiversity (include“no net biodiversity loss” or “biodiversity restoration” alternatives).

13.32(c) Human assets (food security, health andsafety, education, indigenous knowledge).

13.11 (c) Expected biophysical changes (in soil, water, air, flora and fauna)resulting from proposed or existing activities or induced by anysocioeconomic changes.

13.33(d) Physical infrastructure (access to roads,electricity, telephone, housing, wastedisposal systems).

13.12(d) Spatial and temporal scale of influence, identifying effects onconnectivity between ecosystems, and potential cumulative effects.

13.34 (e) Social and cultural aspects(indigenous/traditional/customary rights and beliefs, social exclusion/inclusion, gender equity, changes in age composition of the community, local informal institutions andorganizations).

13.13

(e) Available information on baseline conditions and any anticipatedtrends in biodiversity in the absence of the proposal.

13.35 (f) Governance aspects (influence ofaquaculture on norms, taboos, regulations, laws, conflict management and whether these changes add up to more or less transparency, accountability and participation in decision making.

13.14

(f) Likely biodiversity impacts associated with the proposal or currentoperations in terms of composition, structure and function of surrounding ecosystems

13.36 3. Research and report probable impacts that are likely to be most important. In doing this, it is important to arrange meetings with stakeholders to let them prioritize and to let them express how they assess/view/feel; identify both positive and negative risksand impacts.

13.15 (g) Biodiversity services and values identified in consultation withstakeholders and anticipated magnitude, direction and timeline ofchanges in these (highlight any irreversible impacts).

13.374. Do deeper investigations into priority impacts with a focus on the question: “What changes will lead to if theyindeed come about?” These include:

13.16 (h) Possible measures to avoid, minimize or compensate for significantbiodiversity damage or loss, making reference to any legalrequirements. Information required to support decision making and summary of important gaps.

13.38

(a) Physical effects to man‐made and naturalstructures and processes.

13.17(j) Proposed IA methodology and timescale.

13.39 (b) Likely adaptations and the social andeconomic effects of making such adaptations.

13.18 3. Impact statement is available and contains all of the requirements listed above along with a clear indication of authors and affiliations.

13.40(c) How these effects and indirect effectswould compare to having no intervention.

13.19 4. Review process, reviewers (decision makers), and decisions clearly documented.

13.41(d) How effects may or might be cumulative.

13.205. Clear understanding as to how options for mitigation and offsetting were determined and how avoidance actions were prioritized over compensation

13.42 5. Make recommendations to maximize the positive and minimize the negative, with consideration to compensation options for those lands and people impacted. Also include recommendations on how to avoid these issues with the intended farm or farm development.

13.21 6. Names, affiliations and experience of the reviewing specialist aredocumented and clear understanding of how affected groupswere involved and how balanced consideration was given toconservation vs. development goals in the peer review.

13.436. Propose a mitigation plan assuming the farm development will take place or continue (in an adapted form if that seems appropriate); include a “closure andreclamation plan” explaining how repair or restoration will take place after farm closure or bankruptcy

13.227. Clear articulation of a biodiversity management system including targets and monitoring strategies for mitigation.

13.44 7. Develop and approve with all stakeholders a monitoring plan and indicators on both positive and negative risks and impacts (make use of FDG and/or PRA methodologies in this step).

13.45 8. A summary with recommendations and conclusions is made available to all involved in the process and, through local publicnotices, made accessible to all members of the local community.

Biodiversity-inclusive Environmental Impact Assessment Participatory Social Impact Assessment

Checklist and guideline for auditors on a complete B-EIA & p‐SIA process and report. Please find all requirements for B-EIA and p-SIA in the ASC standards.

Summary of Certification & Accreditation Requirement (CAR) Non Conformities (NC) NC Type 6) MS option 1, AR 7) MS option 2, AR 8) IMS Auditor NC Totals

Standard: Seabass, Seabream, Meagre Major 0 0 0 0Standard version: 1.1 Minor 0 0 0 0CAR version: 2.2 Total 0 0 0 0

Note: Unique NC codes can be entered in column A - All other data fields in this summary worksheet populate automatically

6) MS option 1, AR - NC Summary

NC Code Requirements Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation

decisionDate of NC detection

Deadline for NC close-out

Actual date of close-out NC Status VR submittedStatus of

submitted VRVR used

Root cause analysis

NC correction

NC Corrective



Notes

7) MS option 2, AR - NC Summary

NC Code Requirements Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation



Actual date of close-out NC Status VR submittedStatus of

submitted VRVR used

Root cause analysis

NC correction

NC Corrective



Notes

8) IMS Auditor - NC Summary

NC Code Requirement Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation



Actual date of close-out NC Status VR submitted VR used Notes

Audit findings Salmon Corresponds to Salmon Standard v.1.3

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Salmon standard version 1.3 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22

Proposed by UoC and accepted by CAB



Indicator Number

Indicator Text Audit EvidenceOverall Indicator

evaluation

Description, justification and conclusion for the

evaluation decision

Date of NC detection

Minor NC detected for sites

(List site ID's)

Major NC detected for sites

(List site ID's)


Actual date of close-out

NC Status VR submittedStatus of

submitted VRVR used

Q&A submitted/used

Root cause analysis

NC correction NC Corrective action Auditor evaluation Extension justificationNew deadline for NC close-out

Notes

1.1.1

Indicator: Presence of documents demonstrating compliance with local and national regulations and requirements on land and water use

Requirement: Yes

Applicability: All

Compliant

1.1.2

Indicator: Presence of documents demonstrating compliance with all tax laws

Requirement: Yes

Applicability: All

Compliant

1.1.3

Indicator: Presence of documents demonstrating compliance with all relevant nation and local labour laws and regulations

Requirement: Yes

Applicability: All

Compliant

1.1.4

Indicator: Presence of documents demonstrating compliance with regulations and permits concerning water quality impacts

Requirement: Yes

Applicability: All

Compliant

2.1.1

Indicator: Redox potential or (5) sulphide levels in sediment outside of the Allowable Zone of Effect (AZE) (6), following the sampling methodology outlined in Appendix I of the Salmon standard v.1.3

Requirement: Redox potential > 0 mVorSulphide ≤ 1,500 μMol/L

Applicability: All farms except; Closed production systems that can demonstrate that they collect and responsibly dispose of > 75% of solid nutrients from the production system are exempt from standards under Criterion 2.1. See Appendix VI for requirements on transparency for 2.1.1, 2.1.2

Compliant

2.1.2

Indicator: Faunal index score indicating good (7) to high ecological quality in sediment outside the AZE, following the sampling methodology outlined in Appendix I of the Salmon standard v.1.3

Requirement: AZTI Marine Biotic Index (AMBI)(8) score ≤ 3.3, orShannon-Wiener Index score > 3, orBenthic Quality Index (BQI) score ≥ 15, orInfaunal Trophic Index (ITI) score ≥ 25


Compliant

2.1.3

Indicator: Number of macrofaunal taxa in the sediment within the AZE, following the sampling methodology outlined in Appendix I of the Salmon standard v.1.3

Requirement: ≥ 2 highly abundant (9) taxa that are not pollution indicator species


Compliant

2.1.4

Indicator: Definition of a site-specific AZE based on a robust and credible (10) modelling system (11)

Requirement: Yes


Compliant

2.2.1

Indicator: Weekly average percent saturation (16) of dissolved oxygen (DO) (17) on farm, calculated following methodology in Appendix I of the Salmon standard v.1.3

Requirement: ≥ 70% (18)

Applicability: All farms. An exception to this standard shall be made for farms that can demonstrate consistency with a reference site in the same water body.

Compliant

2.2.2

Indicator: Maximum percentage of weekly samples from 2.2.1 that fall under 2 mg/L DO

Requirement: 5%

Applicability: All

Compliant

2.2.3

Indicator: For jurisdictions that have national or regional coastal water quality targets (19), demonstration through third-party analysis that the farm is in an area recently (20) classified as having “good” or “very good” water quality (21)

Requirement: Yes (22)

Applicability: All farms except, Closed production systems that can demonstrate the collection and responsible disposal of > 75% of solid nutrients as well as > 50% of dissolved nutrients (through biofiltration, settling and/or other technologies) are exempt from standards 2.2.3 and 2.2.4.

Compliant

2.2.4

Indicator: For jurisdictions without national or regional coastal water quality targets, evidence of monitoring of nitrogen and phosphorous (23) levels on farm and at a reference site, following methodology in Appendix I of the Salmon standard v.1.3

Requirement: Consistency with reference site

Applicability: All farms, except, Closed production systems that can demonstrate the collection and responsible disposal of > 75% of solid nutrients as well as > 50% of dissolved nutrients (through biofiltration, settling and/or other technologies) are exempt from standards 2.2.3 and 2.2.4.

Compliant

2.2.5

Indicator: Demonstration of calculation of biochemical oxygen demand (BOD)(24) of the farm on a production cycle basis

Requirement: Yes

Compliant

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2.2.6

Indicator: Appropriate controls are in place that maintains good culture and hygienic conditions on the farm which extends to all chemicals, including veterinary drugs, thereby ensuring that adverse impacts on environmental quality are minimised

Requirement: Yes

Applicability: All

Compliant

2.3.1

Indicator: Percentage of fines (25) in the feed at point of entry to the farm (26) (calculated following methodology in Appendix I of the Salmon standard v.1.3)

Requirement: < 1% by weight of the feed

Applicability: All farms except; To be measured every quarter or every three months. Samples that are measured shall be chosen randomly. Feed may be sampled immediately prior to delivery to farm for sites with no feed storage where it is not possible to sample on farm. Closed production systems that can demonstrate the collection and responsible disposal of > 75% of solid nutrients and > 50% of dissolved nutrients (through biofiltration, settling and/or other technologies) are

Compliant

2.4.1

Indicator: Evidence of an assessment of the farm’s potential impacts on biodiversity and nearby ecosystems that contains at a minimum the components outlined in Appendix I-3

Requirement: Yes

Compliant

2.4.2

Indicator: Allowance for the farm to be sited in a protected area (27) or High Conservation Value Areas(28) (HCVAs)

Requirement: None (29)

Applicability: All, The following exceptions shall be made;• For protected areas classified by the International Union for the Conservation of Nature (IUCN) as Category V or VI (these are areas preserved primarily for their landscapes or for sustainable resource management).• For HCVAs if the farm can demonstrate that its environmental impacts are compatible with the conservation objectives of the HCVA designation. The burden of proof would be placed on the farm to demonstrate that it is not negatively impacting the core reason an area has been identified as a HCVA.• For farms located in a protected area if it was designated as such after the farm was already in operation and provided the farm can demonstrate that its environmental impacts are compatible with the conservation objectives of the protected area and it is in compliance with any relevant conditions or regulations placed on the farm as a result of the formation/designation of the protected area. The burden of proof would be placed on the farm to demonstrate that it is not negatively impacting the core reason an area has been protected.

Compliant

2.5.1

Indicator: Number of days in the production cycle when acoustic deterrent devices (ADDs) or acoustic harassment devices (AHDs) were used

Requirement: 0

Applicability: All

Compliant

2.5.2

Indicator: Number of mortalities (32) of endangered or red-listed (33) marine mammals or birds on the farm

Requirement: 0 (zero)

Applicability: All

Compliant

2.5.3

Indicator: Evidence that the following steps were taken prior to lethal action (34) against a predator:1. All other avenues were pursued prior to using lethal action2. Approval was given from a senior manager above the farm manager3. Explicit permission was granted to take lethal action against the specific animal from the relevant regulatory authority


Applicability: All. except cases where human safety is endangered' Exception to these conditions may be made for a rare situation where human safety is endangered. Should this be required, post-incident approval from a senior manager

Compliant

2.5.4

Indicator: Evidence that information about any lethal incidents on the farm has been made easily publicly available (36)

Requirement: Yes

Applicability: All

Compliant

2.5.5

Indicator: Maximum number of lethal incidents (37) on the farm over the prior two years

Requirement: < 9 lethal incidents, (38) with no more than two of the incidents being marine mammals

Applicability: All

Compliant

2.5.6

Indicator: In the event of a lethal incident, evidence that an assessment of the risk of lethal incident(s) has been undertaken and demonstration of concrete steps taken by the farm to reduce the risk of future incidences

Requirement: Yes

Applicability: All

Compliant

3.1.1

Indicator: Participation in an Area-Based Management (ABM) scheme for managing disease and resistance to treatments that includes coordination of stocking, fallowing, therapeutic treatments and information-sharing. Detailed requirements are in Appendix II of the Salmon standard v.1.3

Requirement: Yes

Applicability: All except farms that release no water; Farm sites for which there is no release of water that may contain pathogens into the natural (freshwater or marine) environment are exempt from the standards under Criterion

Compliant

3.1.2

Indicator: A demonstrated commitment (42) to collaborate with NGOs, academics and governments on areas of mutually agreed research to measure possible impacts on wild stocks

Requirement: Yes


Compliant

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3.1.3

Indicator: Establishment and annual review of a maximum sea lice load for the entire ABM and for the individual farm as outlined in Appendix II of the Salmon standard v.1.3

Requirement: Yes


Compliant

3.1.4

Indicator: Frequent (43) on-farm testing for sea lice, with test results made easily publicly available (44) within seven days of testing

Requirement: Yes


Compliant

3.1.5

Indicator: In areas with wild salmonids, (45) evidence of data (46) and the farm’s understanding of that data, around salmonid migration routes, migration timing and stock productivity in major waterways within 50 kilometres of the farm

Requirement: Yes

Applicability: All farms operating in areas with wild salmonids except farms that release no water; Farm sites for which there is no release of water that may contain pathogens into the natural (freshwater or marine) environment are exempt from the standards under Criterion

Compliant

3.1.6

Indicator: In areas of wild salmonids, monitoring of sea lice levels on wild out-migrating salmon juveniles or on coastal sea trout or Arctic char, with results made publicly available. See requirements in Appendix III of the Salmon standard v.1.3

Requirement: Yes

Applicability: All farms operating in areas with wild salmonids except farms that release no water; Farm sites for which there is no release of water that may contain pathogens into the natural (freshwater or marine) environment are exempt from the standards under Criterion 3.1.

Compliant

3.1.7

Indicator: In areas of wild salmonids, maximum on-farm lice levels during sensitive periods for wild fish (47). See detailed requirements in Appendix II of the Salmon standard v.1.3

Requirement: 0.1 mature female lice per farmed fish

Applicability: All farms operating in areas with wild salmonids except farms that release no water; Farm sites for which there is no release of water that may contain pathogens into the natural (freshwater or marine) environment are exempt from the standards under Criterion

Compliant

3.2.1

Indicator: If a non-native species is being produced, demonstration that the species was widely commercially produced in the area by the date of publication of the ASC Salmon standard


Applicability: All farms. Exceptions shall be made for production systems that use 100 percent sterile fish or systems that demonstrate separation from the wild by effective physical barriers that are in place and well-maintained to ensure no escapes of reared specimens or biological material that might survive and subsequently reproduce.

Compliant

3.2.2

Indicator: If a non-native species is being produced, evidence of scientific research (50) completed within the past five years that investigates the risk of establishment of the species within the farm’s jurisdiction and these results submitted to ASC for review (51)


Applicability: All

Compliant

3.2.3

Indicator: Use of non-native species for sea lice control for on-farm management purposes

Requirement: None

Applicability: All

Compliant

3.3

Indicator: Use of transgenic (54) salmon by the farm

Requirement: None

Applicability: All

Compliant

3.4.1

Indicator: Maximum number of escapees (57) in the most recent production cycle

Requirement: 300 (58)

Applicability: All farm. A rare exception to this standard may be made for an escape event that is clearly documented as being outside the farm’s control. Only one such exceptional episode is allowed in a 10-year period for the purposes of this standard. The 10- year period starts at the beginning of the production cycle for which the farm is applying for certification. The farmer must demonstrate that there was no reasonable way to predict the events that caused the episode. See auditing guidance for additional

Compliant

3.4.2

Indicator: Accuracy (59) of the counting technology or counting method used for calculating stocking and harvest numbers

Requirement: ≥ 98%

Applicability: All

Compliant

3.4.3

Indicator: Estimated unexplained loss (60) of farmed salmon is made publicly available

Requirement: Yes

Applicability: All

Compliant

3.4.4

Indicator: Evidence of escape prevention planning and related employee training, including: net strength testing; appropriate net mesh size; net traceability; system robustness; predator management; record keeping and reporting of risk events (e.g., holes, infrastructure issues, handling errors, reporting and follow up of escape events); and worker training on escape prevention and counting technologies

Requirement: Yes

Compliant

4.1.1

Indicator: Evidence of traceability, demonstrated by the feed producer, of feed ingredients that make up more than 1% of the feed (63)

Requirement: Yes

Applicability: All

Compliant

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4.2.1

Indicator: Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in Appendix IV of the Salmon standard v.1.3)

Requirement: < 1.2

Applicability: All

Compliant

4.2.2

Indicator: Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in Appendix IV of the Salmon standard v.1.3), or,Maximum amount of EPA and DHA from direct marine sources (65)(calculated according to Appendix IV of the Salmon standard v.1.3)

Requirement: FFDRo < 2.52or(EPA + DHA) < 30 g/kg feed

Applicability: All

Compliant

4.3.1

Indicator: Timeframe for all fishmeal and fish oil used in feed to come from fisheries(66) certified under a scheme that is an ISEAL member (67) and has guidelines that specifically promote responsible environmental management of small pelagic fisheries

Requirement: Not required

Applicability: N/A

Compliant

4.3.2

Indicator: Prior to achieving 4.3.1, the FishSource score (65, 68) for the fishery(ies) from which all marine raw material in feed is derived

Requirement: All individual scores ≥ 6, and biomass score ≥ 6

Applicability: All

Compliant

4.3.3

Indicator: Prior to achieving 4.3.1, demonstration of third-party verified chain of custody and traceability for the batches of fishmeal and fish oil which are in compliance with 4.3.2

Requirement: Yes

Compliant

4.3.4

Indicator: Feed containing fishmeal and/or fish oil originating from by-products (69) or trimmings from IUU (70) catch or from fish species that are categorized as vulnerable, endangered or critically endangered, according to the IUCN Red List of Threatened Species(71), whole fish and fish meal from the same species and family as the species being farmed


Applicability: All, For species listed as “vulnerable” by IUCN, an exception is made if a regional population of the species has been assessed to be not vulnerable in a National Red List process that is managed explicitly in the same science-based way as IUCN. In cases where a National Red List doesn’t exist or isn’t managed in accordance with IUCN guidelines, an exception is allowed when an assessment is conducted using IUCN’s methodology and demonstrates that

Compliant

4.3.5

Indicator: Presence and evidence of a responsible sourcing policy for the feed manufacturer for marine ingredients that includes a commitment to continuous improvement of source fisheries (73)

Requirement: Yes

Applicability: All

Compliant

4.4.1

Indicator: Presence and evidence of a responsible sourcing policy for the feed manufacturer for feed ingredients that comply with recognized crop moratoriums(76) and local laws(77)

Requirement: Yes

Applicability: All

Compliant

4.4.2

Indicator: Percentage of soya or soya-derived ingredients in the feed that are certified by the Roundtable for Responsible Soy (RTRS) or equivalent (78)

Requirement: 100%

Applicability: All

Compliant

4.4.3

Indicator: Evidence of disclosure to the buyer(79) of the salmon of inclusion of transgenic(80) plant raw material, or raw materials derived from transgenic plants, in the feed

Requirement: Yes, for each individual raw material containing > 1% transgenic content (81)

Applicability: All

Compliant

4.5.1

Indicator: Presence and evidence of a functioning policy for proper and responsible(83) treatment of non-biological waste from production (e.g., disposal and recycling)

Requirement: Yes

Applicability: All

Compliant

4.5.2

Indicator: Evidence that non-biological waste (including net pens) from grow-out site is either disposed of properly or recycled

Requirement: Yes

Applicability: All

Compliant

4.6.1

Indicator: Presence of an energy use assessment verifying the energy consumption on the farm and representing the whole life cycle at sea, as outlined in Appendix V of the Salmon standard v.1.3

Requirement: Yes, measured in kilojoule/t fish produced/production cycle

Applicability: All

Compliant

4.6.2

Indicator: Records of greenhouse gas (GHG(85)) emissions(86) on farm and evidence of an annual GHG assessment, as outlined in Appendix V of the Salmon standard v.1.3

Requirement: Yes

Compliant

4.6.3

Indicator: Documentation of GHG emissions of the feed(87) used during the previous production cycle, as outlined in Appendix V of the Salmon standard v.1.3

Requirement: Yes

Applicability: All

Compliant

20/121


4.7.1

Indicator: For farms that use copper-treated nets(90), evidence that nets are not cleaned(91) or treated in situ in the marine environment

Requirement: Yes

Applicability: All farms. Closed production systems that do not use nets and do not use antifoulants shall be considered exempt from standards under Criterion 4.7.

Compliant

4.7.2

Indicator: For any farm that cleans nets at on-land sites, evidence that net-cleaning sites have effluent treatment (92)

Requirement: Yes


Compliant

4.7.3

Indicator: For farms that use copper nets or copper-treated nets, evidence of testing for copper level in the sediment outside of the AZE, following methodology in Appendix I of the Salmon standard v.1.3

Requirement: Yes


Compliant

4.7.4

Indicator: Evidence that copper levels(93) are < 34 mg Cu/kg dry sediment weight,or,in instances where the Cu in the sediment exceeds 34 mg Cu/kg dry sediment weight, demonstration that the Cu concentration falls within the range of background concentrations as measured at three reference sites in the water body

Requirement: Yes


Compliant

4.7.5

Indicator: Evidence that the type of biocides used in net antifouling are approved according to legislation in the European Union, or the United States, or Australia

Requirement: Yes


Compliant

5.1.1

Indicator: Evidence of a fish health management plan for the identification and monitoring of fish diseases, parasites and environmental conditions relevant for good fish health, including implementing corrective action when required

Requirement: Yes

Applicability: All

Compliant

5.1.2

Indicator: Site visits by a designated veterinarian(95) at least four times a year, and by a fish health manager(96) at least once a month

Requirement: Yes

Applicability: All

Compliant

5.1.3

Indicator: Percentage of dead fish removed and disposed of in a responsible manner

Requirement: 100% (97)

Applicability: All

Compliant

5.1.4

Indicator: Percentage of mortalities that are recorded, classified and receive a post-mortem analysis


Applicability: All

Compliant

5.1.5

Indicator: Maximum viral disease-related mortality(99) on farm during the most recent production cycle

Requirement: ≤ 10%

Applicability: All

Compliant

5.1.6

Indicator: Maximum unexplained mortality rate from each of the previous two production cycles, for farms with total mortality > 6%

Requirement: ≤ 40% of total mortalities

Applicability: All farms with > 6% total mortality in the most recent complete production cycle

Compliant

5.1.7

Indicator: A farm-specific mortalities reduction program that includes defined annual targets for reductions in mortalities and reductions in unexplained mortalities

Requirement: Yes

Applicability: All

Compliant

5.2.1

Indicator: On-farm documentation that includes, at a minimum, detailed information on all chemicals(101) and therapeutants used during the most recent production cycle, the amounts used (including grams per ton of fish produced), the dates used, which group of fish were treated and against which diseases, proof of proper dosing, and all disease and pathogens detected on the site

Requirement: Yes

Applicability: All

Compliant

5.2.2

Indicator: Allowance for use of therapeutic treatments that include antibiotics or chemicals that are banned(102) in any of the primary salmon producing or importing countries (103)

Requirement: None

Applicability: All

Compliant

5.2.3

Indicator: Percentage of medication events that are prescribed by a veterinarian

Requirement: 100%

Applicability: All

Compliant

5.2.4

Indicator: Compliance with all withholding periods after treatments

Requirement: Yes

Applicability: All

Compliant

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5.2.5

Indicator: The farm shall publicly report (via Appendix of the Salmon standard v.1.3) the: 1. Weighted Number of Medicinal Treatments (see Appendix VII) for each production cycle

2. The parasiticide load for each agent over the production cycle

3. The benthic parasiticide residue levels

Requirement: Yes

Applicability: All

Compliant

5.2.6

Indicator: The Weighted Number of Medicinal Treatments shall be at or below the country Entry Level (see Appendix VII of the Salmon standard v.1.3

Requirement: Yes

Applicability: All

Compliant

5.2.7

Indicator: The farm shall reduce the Weighted Number of Medicinal Treatments, after achieving indicator 5.2.6, with 25% per 2 years until the WNMT is at or below the Global Level (see Appendix VII of the Salmon standard v.1.3)

Requirement: Yes

Applicability: All

Compliant

5.2.8

Indicator: The farm shall implement Integrated Pest Management (IPM) according to the guidance in Appendix VII of the Salmon standard v.1.3

Requirement: Yes

Applicability: All

Compliant

5.2.9

Indicator: The farm shall public present (e.g. via company website) the IPM-measures that the company applies which need to be approved by a authorised veterinarian

Requirement: Yes

Applicability: All

Compliant

5.2.10

Indicator: The farm shall monitor parasiticide residue levels annually in the benthic sediment directly outside the AZE

Requirement: Yes

Applicability: All

Compliant

5.2.11

Indicator: Allowance for prophylactic use of antimicrobial treatments(104)

Requirement: None

Applicability: All

Compliant

5.2.12

Indicator: Allowance for use of antibiotics listed as critically important for human medicine by the World Health Organization (WHO(105))

Requirement: None(106)

Applicability: All

Compliant

5.2.13

Indicator: Number of treatments(107) of antibiotics over the most recent production cycle

Requirement: ≤ 3

Applicability: All

Compliant

5.2.14

Indicator: If more than one antibiotic treatment is used in the most recent production cycle, demonstration that the antibiotic load(108) is at least 15% less that of the average of the two previous production cycles


Applicability: All

Compliant

5.2.15

Indicator: Presence of documents demonstrating that the farm has provided buyers(110) of its salmon a list of all therapeutants used in production

Requirement: Yes

Applicability: All

Compliant

5.3.1

Indicator: Bio-assay analysis to determine resistance when two applications of a treatment have not produced the expected effect

Requirement: Yes

Applicability: All

Compliant

5.3.2

Indicator: When bio-assay tests determine resistance is forming, use of an alternative, permitted treatment, or an immediate harvest of all fish on the site

Requirement: Yes

Applicability: All

Compliant

5.3.3

Indicator: Specific rotation, providing that the farm has >1 effective medicinal treatment product available, every third treatment must belong to a different family of drugs

Requirement: Yes

Applicability: All

Compliant

5.4.1

Indicator: Evidence that all salmon on the site are a single-year class(112)


Applicability: All farms. Exception is allowed for:1) farm sites that have closed, contained production units where there is complete separation of water between units and no sharing of filtration systems or other systems that could spread disease, or,2) farm sites that have ≥95% water recirculation, a pre-entry disease screening protocol, dedicated quarantine capability and biosecurity measures for waste to ensure there is no discharge of live biological material to the natural environment (e.g. UV or other effective treatment of effluent) .

Compliant

5.4.2

Indicator: Evidence that if the farm suspects an unidentifiable transmissible agent, or if the farm experiences unexplained increased mortality(114), the farm has:1. Reported the issue to the ABM and to the appropriate regulatory authority2. Increased monitoring and surveillance(115) on the farm and within the ABM3. Promptly(116) made findings publicly available

Requirement: Yes

Applicability: All

Compliant

5.4.3

Indicator: Evidence of compliance(117) with the OIE Aquatic Animal Health Code(118)

Requirement: Yes

Applicability: All

Compliant

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5.4.4

Indicator: If an OIE-notifiable disease(119) is confirmed on the farm, evidence that: 1. the farm, at a minimum, immediately culled the pen(s) in which the disease was detected2. the farm immediately notified the other farms in the ABM (120)3. the farm and the ABM enhanced monitoring and conducted rigorous testing for the disease4. the farm promptly(121) made findings publicly available

Requirement: Yes

Applicability: All

Compliant

6.1.1

Indicator: Evidence that workers have access to trade unions (if

they exist) and union representative(s) chosen by themselves

without managerial interference

Requirement: Yes

Applicability: All

Compliant

6.1.2

Indicator: Evidence that workers are free to form

organizations, including unions, to advocate for and protect

their rights

Requirement: Yes

Compliant

6.1.3

Indicator: Evidence that workers are free and able to bargain

collectively for their rights

Requirement: Yes

Applicability: All

Compliant

6.2.1

Indicator: Number of incidences of child(123) labour(124)

Requirement: None

Applicability: All except; Child: Any person under 15 years of

age. A higher age would apply if the minimum age law of an area

stipulates a higher age for work or mandatory schooling.

Minimum age may be 14 if the country allows it under the

developing country exceptions in ILO convention 138.

Compliant

6.2.2

Indicator: Percentage of young workers(125) that are

protected(126)

Requirement: 100%

Applicability: All

Compliant

6.3.1

Indicator: Number of incidences of forced(129), bonded(130)

or compulsory labour

Requirement: None

Applicability: All

Compliant

6.4.1

Indicator: Evidence of comprehensive(132) and proactive anti-

discrimination policies, procedures and practices

Requirement: Yes

Applicability: All

Compliant

6.4.2

Indicator: Number of incidences of discrimination

Requirement: None

Applicability: All

Compliant

6.5.1

Indicator: Percentage of workers trained in health and safety

practices, procedures(133) and policies on a yearly basis

Requirement: 100%

Applicability: All

Compliant

6.5.2

Indicator: Evidence that workers use Personal Protective

Equipment (PPE) effectively

Requirement: Yes

Applicability: All

Compliant

6.5.3

Indicator: Presence of a health and safety risk assessment and

evidence of preventive actions taken

Requirement: Yes

Applicability: All

Compliant

6.5.4

Indicator: Evidence that all health- and safety-related accidents

and violations are recorded and corrective actions are taken

when necessary

Requirement: Yes

Applicability: All

Compliant

6.5.5

Indicator: Evidence of employer responsibility and/or proof of

insurance (accident or injury) for 100% of worker costs in a job-

related accident or injury when not covered under national law

Requirement: Yes

Applicability: All

Compliant

6.5.6

Indicator: Evidence that all diving operations are conducted by

divers who are certified

Requirement: Yes

Applicability: All

Compliant

6.6.1

Indicator: The percentage of workers whose basic wage(134)

(before overtime and bonuses) is below the minimum

wage(135)

Requirement: 0 (None)

Applicability: All

Compliant

6.6.2

Indicator: Evidence that the employer is working toward the

payment of basic needs wage(136)

Requirement: Yes

Applicability: All

Compliant

6.6.3

Indicator: Evidence of transparency in wage-setting and

rendering(137)

Requirement: Yes

Applicability: All

Compliant

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6.7.1

Indicator: Percentage of workers who have contracts(139)

Requirement: 100%

Applicability: All

Compliant

6.7.2

Indicator: Evidence of a policy to ensure social compliance of

its suppliers and contractors

Requirement: Yes

Applicability: All

Compliant

6.8.1

Indicator: Evidence of worker access to effective, fair and

confidential grievance procedures

Requirement: Yes

Applicability: All

Compliant

6.8.2

Indicator: Percentage of grievances handled that are

addressed(140) within a 90-day timeframe

Requirement: 100%

Applicability: All

Compliant

6.9.1

Indicator: Incidences of excessive or abusive disciplinary

actions

Requirement: None

Applicability: All

Compliant

6.9.2

Indicator: Evidence of a functioning disciplinary action policy

whose aim is to improve the worker (141)

Requirement: Yes

Applicability: All

Compliant

6.10.1

Indicator: Incidences, violations or abuse of working hours(143)

and overtime laws

Requirement: None

Applicability: All

Compliant

6.10.2

Indicator: Overtime is limited, voluntary(144), paid at a

premium rate and restricted to exceptional circumstances

Requirement: Yes

Applicability: All

Compliant

6.11.1

Indicator: Evidence that the company regularly performs

training of staff in fish husbandry, general farm and fish escape

management and health and safety procedures

Requirement: Yes

Applicability: All

Compliant

6.12.1

Indicator: Demonstration of company-level(146) policies in line

with the standards under 6.1 to 6.11 above

Requirement: Yes

Applicability: All

Compliant

7.1.1

Indicator: Evidence of regular and meaningful(147)

consultation and engagement with community representatives

and organizations

Requirement: Yes

Applicability: All

Compliant

7.1.2

Indicator: Presence and evidence of an effective(148) policy

and mechanism for the presentation, treatment and resolution

of complaints by community stakeholders and organizations

Requirement: Yes

Applicability: All

Compliant

7.1.3

Indicator: Evidence that the farm has posted visible notice(149)

at the farm during times of therapeutic treatments and has, as

part of consultation with communities under 7.1.1,

communicated about potential health risks from treatments

Requirement: Yes

Applicability: All

Compliant

7.2.1

Indicator: Evidence that indigenous groups were consulted as

required by relevant local and/or national laws and regulations

Requirement: Yes

Applicability: All farms that operate in indigenous territories or

in proximity to indigenous or aboriginal people

Compliant

7.2.2

Indicator: Evidence that the farm has undertaken proactive

consultation with indigenous communities




Compliant

7.2.3

Indicator: Evidence of a protocol agreement, or an active

process(151) to establish a protocol agreement, with indigenous

communities

Requirement: Yes



Compliant

7.3.1

Indicator: Changes undertaken restricting access to vital

community resources(152) without community approval

Requirement: None

Applicability: All

Compliant

7.3.2

Indicator: Evidence of assessments of company’s impact on

access to resources

Requirement: Yes

Applicability: All

Compliant

8.1

Indicator: Compliance with local and national regulations on water use and discharge, specifically providing permits related to water quality

Requirement: Yes

Applicability: All Smolt Producers

Compliant

24/121


8.2

Indicator: Compliance with labour laws and regulations

Requirement: Yes


Compliant

8.3

Indicator: Evidence of an assessment of the farm’s potential impacts on biodiversity and nearby ecosystems that contains the same components as the assessment for grow-out facilities under 2.4.1

Requirement: Yes


Compliant

8.4

Indicator: Maximum total amount of phosphorus released into the environment per metric ton (mt) of fish produced over a 12-month period (see Appendix VIII of the Salmon standard v.1.3)

Requirement: 4 kg/mt of fish produced over a 12-month period


Compliant

8.5

Indicator: If a non-native species is being produced, the species shall have been widely commercially produced in the area prior to the publication(154) of the ASC Salmon Standard


Applicability: All Smolt Producers, Exceptions shall be made for production systems that use 100 percent sterile fish or systems that demonstrate separation from the wild by effective physical barriers that are in place and well-maintained to ensure no escapes of reared specimens or biological material that might survive and subsequently

Compliant

8.6

Indicator: Maximum number of escapees(156) in the most recent production cycle

Requirement: 300(157) fish

Applicability: All Smolt producers. A rare exception to this standard may be made for an escape event that is clearly documented as being outside of the farm’s control. Only one such exceptional episode is allowed in a 10-year period for the purposes of this standard. The 10-year period starts at the beginning of the production cycle for which the farm is applying for certification. The farmer must demonstrate that there was no reasonable way to predict the events that caused the episode. Extreme weather (e.g., 100-year storms) or accidents caused by farms located near high-traffic waterways are not intended to be covered under this

Compliant

8.7

Indicator: Accuracy(158) of the counting technology or counting method used for calculating the number of fish

Requirement: ≥98%


Compliant

8.8

Indicator: Evidence of a functioning policy for proper and responsible treatment of non-biological waste from production (e.g., disposal and recycling)

Requirement: Yes


Compliant

8.9

Indicator: Presence of an energy-use assessment verifying the energy consumption at the smolt production facility (see Appendix V subsection 1 of the Salmon standard v.1.3 for guidance and required components of the records and assessment)

Requirement: Yes, measured in kilojoule/mt fish/production cycle


Compliant

8.10

Indicator: Records of greenhouse gas (GHG(159)) emissions(160) at the smolt production facility and evidence of an annual GHG assessment (See Appendix V of the Salmon standard v.1.3)

Requirement: Yes


Compliant

8.11

Indicator: Evidence of a fish health management plan, approved by the designated veterinarian, for the identification and monitoring of fish diseases and parasites

Requirement: Yes


Compliant

8.12

Indicator: Percentage of fish that are vaccinated for selected diseases that are known to present a significant risk in the region and for which an effective vaccine exists(161)

Requirement: 100%


Compliant

8.13

Indicator: Percentage of smolt groups(162) tested for select diseases of regional concern prior to entering the grow-out phase on farm(163)

Requirement: 100%


Compliant

8.14

Indicator: Detailed information, provided by the designated veterinarian, of all chemicals and therapeutants used during the smolt production cycle, the amounts used (including grams per ton of fish produced), the dates used, which group of fish were treated and against which diseases, proof of proper dosing and all disease and pathogens detected on the site

Requirement: Yes

Compliant

8.15

Indicator: Allowance for use of therapeutic treatments that include antibiotics or chemicals that are banned(164) in any of the primary salmon producing or importing countries(165)

Requirement: Yes


Compliant

8.16

Indicator: Number of treatments of antibiotics over the most recent production cycle

Requirement: ≤ 3


Compliant

8.17

Indicator: Allowance for use of antibiotics listed as critically important for human medicine by the WHO (166)



Compliant

8.18

Indicator: Evidence of compliance(168) with the OIE Aquatic Animal Health Code(169)

Requirement: Yes


Compliant

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8.19

Indicator: Evidence of company-level policies and procedures in line with the labour standards under 6.1 to 6.11

Requirement: Yes


Compliant

8.20

Indicator: Evidence of regular consultation and engagement with community representatives and organizations

Requirement: Yes


Compliant

8.21

Indicator: Evidence of a policy for the presentation, treatment and resolution of complaints by community stakeholders and organizations

Requirement: Yes


Compliant

8.22

Indicator: Where relevant, evidence that indigenous groups were consulted as required by relevant local and/or national laws and regulations

Requirement: Yes


Compliant

8.23

Indicator: Where relevant, evidence that the farm has undertaken proactive consultation with indigenous communities

Requirement: Yes

Compliant

8.25

Indicator: Allowance for stocking smolts produced in cage-culture

Requirement: Permitted only if supplying farms are 1) operated in a region where indigenous salmonids are present of the same species being cultivated and 2) the farm is certified to the ASC Freshwater trout Standard

Applicability: open (net-pen) production of smolt

Compliant

8.26

Indicator: Water quality monitoring matrix completed and submitted to ASC (see Appendix VIII of the Salmon standard v.1.3)

Requirement: Yes(171)

Applicability: open (net-pen) production of smolt

Compliant

8.27

Indicator: Minimum oxygen saturation in the outflow (methodology in Appendix VIII of the Salmon standard v.1.3)

Requirement: 60%(172, 173)

Applicability: All Smolt Producers Using Semi-Closed or Closed Production Systems

Compliant

8.28

Indicator: Macro-invertebrate surveys downstream from the farm’s effluent discharge demonstrate benthic health that is similar or better than surveys upstream from the discharge (methodology in Appendix VIII of the Salmon standard v.1.3)

Requirement: Yes


Compliant

8.29

Indicator: Evidence of implementation of biosolids (sludge) Best Management Practices (BMPs) (Appendix VII of the Salmon standard v.1.3)

Requirement: Yes


Compliant

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Metric table Where the requirement is ''None'', please use 0 (zero) if requirement is met

Corresponds to ASC Salmon standard version 1.3

Indicator No 2.1.1a 2.1.1b 2.1.2a 2.1.2b 2.1.2c 2.1.2d 2.1.3 4.7.4 5.2.2 5.2.3Impact

CategoryBenthic Benthic Benthic Benthic Benthic Benthic Benthic Benthic Chemicals/therapeutants Chemicals/therapeutants

Indicator Text

Redox potential insediment outside of the Allowable Zone of

Effect (AZE) (in mV), following the sampling methodology outlined in

Appendix I-1

Sulphide levels insediment outside of the Allowable Zone of Effect

(AZE) (in μMol/L), following the sampling methodology outlined in

Appendix I-1

AZTI Marine Biotic Index (AMBI)

Shannon-Wiener Index

Benthic Quality Index

(BQI)

Infaunal Trophic Index

(ITI)

Number of macrofaunal taxa in the sediment within the AZE, following the sampling

methodology (highly abundant taxa that are not

pollution indicator species)outlined in Appendix I-1

Evidence that copper levels are < 34 mg Cu/kg dry sediment weight OR in instances where the Cu in the sediment exceeds 34 mg Cu/kg dry sediment demonstration that the Cu concentration falls within the range of background

concentration as measured at three reference sites in the water body

Allowance for use of therapeutic treatments that include antibiotics or chemicals that are banned in any of the

primary salmon producing or importing countries

Percentage of medication events that are prescribed by a veterinarian

Requirement/ Site ID

> 0 mV ≤ 1,500 μMol/L ≤ 3.3 > 3 ≥ 15 ≥ 25 ≥ 70% Yes None 100%

5.2.11 5.2.12 5.2.13 8.12 8.15 8.16 8.17 2.3.1 4.2.1a 4.2.2b 4.2.2cChemicals/therapeutants chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Feed Feed Feed Feed

Allowance for prophylactic use of antimicrobial treatments

Allowance for use of antibiotics listed as critically important for human medicine

by the world health organization

Number of treatments of antibiotics over the most recent production

cycle

Percentage of fish that are vaccinated for selected

diseases that are known to present a significant risk in the

region and for which an effective vaccine

exists.

Allowance for use of therapeutic treatments that include antibiotics or

chemicals that are banned in any of the primary salmon producing or importing

countries

Number of treatments of antibiotics over the most recent production cycle

Allowance for use of antibiotics listed as critically important for human medicine

by the WHO

Percentage of fines [18] in the feed at point of entry to the farm (calculated following methodologyin Appendix I-2) ( by weight of

the feed)

Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using

formulas inAppendix IV- 1)

Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using

formulas in Appendix IV- 1)

Maximum amount of EPA and DHA from direct marine sources

(calculated according to Appendix IV-2) (in g/kg feed)

None None ≤ 3 100% Yes ≤ 3 None < 1% by weight of the feed < 1.2 < 2.52 (EPA + DHA) < 30 g/kg feed

4.4.2d 3.4.1 5.1.3 5.1.4 5.1.5 5.1.6 8.6 2.5.1 3.4.2 5.4.1 8.7 8.13Feed Mortality/survival/escapes Mortality/survival/escapes Mortality/survival/escapes Mortality/survival/escapes Mortality/survival/escapes Mortality/survival/escapes other other other other other

Percentage of soya or soya-derivedingredients in the feed that are certified by the Roundtable for

Responsible Soy (RTRS) or equivalent.

Maximum number of escapees in the most recent production

cycle

Percentage of dead fish removed and disposed of in a

responsible manner

Percentage of mortalities that are recorded, classified and

receive a post-mortem analysis

Maximum viral disease-related mortality on farm during the most recent production cycle

Maximum unexplained mortality rate from each of the previous two production cycles, for farmswith total mortality > 6% ( of

total mortalities)

Maximum number of escapees in themost recent production cycle

Number of days in the production cycle when acoustic

deterrent devices (ADDs) or acoustic

harassment devices (AHDs) were used

Accuracy of the counting technology or counting method used for calculating

stocking andharvest numbers (%)

Evidence that all salmon on the site are a single year class (%)

Accuracy of the counting technology or

counting method used for calculating the number of fish

(%)

Percentage of smolt groups tested for select diseases of regional

concern prior to entering the grow-out phase on farm

100% 300 100% 100% ≤ 10% ≤ 40% of total mortalities 300 fish 0 ≥ 98% 100% ≥98% 100%

3.1.7 2.2.1 2.2.2 8.4 8.26 2.5.2 2.5.5 3.2.3 3.3 6.6.1 6.2.2 6.5.1Parasites Water quality Water quality Water quality Water quality Wildlife interactions Wildlife interactions Wildlife interactions Wildlife

interactionsSocial Social Social

In areas of wild salmonids, maximum on-farm lice levels during sensitive periods for wild fish. See detailed requirements in Appendix II, subsection 2. (mature

female lice per farmed fish)

Weekly average percent saturation of dissolved oxygen (DO) on farm,

calculated followingmethodology in Appendix I-4

Maximum percentage of weekly samples from 2.2.1 that fall under

2 mg/L DO

Maximum total amount of phosphorus (in kg/mt of fish produced over a 12-month

period)released into the environment per metric ton (mt) of fishproduced over a 12-month period (see Appendix VIII-1)

Minimum oxygen saturation in the outflow

(Methodology in Appendix VII - 2)

Number of mortalities of endangered or red-listed marine mammals or birds

on the farm

Maximum number of lethal incidents onthe farm over the prior two years (< 9 lethal

incidents with no more than two of the incidents being marine mammals)

Use of non-native species for sea lice control or on-farm

management purposes

Use of transgenic

salmon by the farm

The percentage of workers whose basic wage (before overtime and bonuses) is

below theminimum wage

Percentage of young workers that are

protected

Percentage of workers trained in health and

safety practices, procedures and policies on a

yearly basis

0.1 mature female lice per farmed fish ≥ 70% 5% 4 kg/mt of fish produced over a 12-month period 60% 0< 9 lethal incidents, with no more than two

of the incidents being marine mammalsNone None 0 100% 100%

6.7.1 6.8.2 6.2.1 6.3.1 6.4.2 6.9.1 6.10.1 7.3.1Social Social Social Social Social Social Social Social

Percentage of workers who have

contracts

Percentage of grievances handled that

areaddressed within a 90-

day timeframe

Number of incidences of child labour

Number of incidences of

forced, bonded or compulsory

labour

Number of incidences of discrimination

Incidences of excessive or

abusive disciplinary

actions

Incidences, violations or abuse of working

hours and overtime laws

Changes undertaken restricting access to vital

community resources without community

approval

100% 100% None None None None None None

Summary of Standard Non Conformities (NC) NC Type NC Totals

Standard: Seabass, Seabream, Meagre Major 0Version: 1.1 Minor 0

Total 0Note: Unique NC codes can be entered in column A - All other data fields in this summary worksheet populate automatically

NC Code (CAB)

Indicator Number

Indicator Text Audit EvidenceOverall Indicator

evaluation

Description, justification and

conclusion for the evaluation decision



(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/

usedRoot cause analysis NC correction NC Corrective action Auditor evaluation Extension justification

New deadline for NC close-

outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Seriola & Cobia standard version 1.1 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22




Indicator Number

Indicator Text Audit EvidenceIndicator evaluation


evaluation decision



(List site ID's)


(List site ID's)




submitted VRVR used

Q&A submitted/used

Root cause analysis NC correctionNC Corrective

actionAuditor evaluation Extension justification


Notes

1.1.1

Indicator: Documents demonstrating compliance

with all relevant local and national laws and

regulations

Requirement: Yes

Applicability: All

Compliant

1.1.2

Indicator: Documents demonstrating compliance with all tax laws

Requirement: Yes

Applicability: All

Compliant

1.1.3

Indicator: Documents demonstrating compliance with all labour laws and regulations

Requirement: Yes

Applicability: All

Compliant

1.1.4

Indicator: Documents demonstrating compliance with regulations and permits concerning water quality impacts

Requirement: Yes

Applicability: All

Compliant

2.1.1

Indicator: TOC , sulphide, or redox levels in sediment immediately outside of Allowable Zone Effect (AZE)(1) attributable to farm operations as evidenced by control

Requirement: No significant change in TOC, sulphide, or redox levels in sediment at the edge of the AZE in comparison to the control site

Applicability: All farms except as noted in footnote 1. For farms that have yet to define an AZE, within 3 years from the publication of the Seriola and Cobia standards

Compliant

2.1.2

Indicator: Abundance of harmful (invasive or noxious) macrofauna immediately outside of AZE attributable to farm operations as evidenced by control

Requirement: No significant change in harmful macrofauna at the edge of the AZE in comparison to the control site

Applicability: All farms except as noted in footnote 1. For farms that have yet to define an AZE, within 3 years from the publication of the Seriola and Cobia standards

Compliant

2.2.1

Indicator: Turbidity levels in the water column inside and outside AZE

Requirement: No significant change (2) in turbidity levels in the water column at the edge of the AZE in comparison to the control site

Applicability: All

Compliant

2.2.2

Indicator: Ammonia levels in the water column inside and outside AZE

Requirement: No significant change in ammonia levels in the water column at the edge of the AZE in comparison to the control site

Applicability: All

Compliant

2.3.1

Indicator: Evidence of an assessment of the farm’s potential impacts on biodiversity and nearby ecosystems that contains at a minimum: a) identification of proximity to critical, sensitive or protected habitats and species, b) description of the potential impacts the farm might have on biodiversity, with a focus on affected habitats or species, and c) a description of strategies and current and future programs underway to eliminate or minimize any identified impacts the farm might have

Requirement: Yes

Applicability: All

Compliant

2.3.2

Indicator: Allowance for the farm to be sited in a legally designated protected area (3)

Requirement: None (see note above) (4)

Applicability: All

Compliant

2.4.1

Indicator: Acoustic deterrent devices allowed

Requirement: None

Applicability: All

Compliant

2.4.2

Indicator: Number of mortalities (5) of endangered or red-listed (6) animals in the farm lease area and adjacent areas due to farm operations or personnel or associates

Requirement: 0

Applicability: All

Compliant

2.4.3

Indicator: Evidence that the following steps were taken prior to lethal action (7) against a (non- endangered or non red-listed) predator:1. All other avenues were pursued prior to usinglethal action.2. Approval was given from a senior managerabove the farm manager

Requirement: Yes, unless human safety is immediately threatened

Applicability: All

Compliant

2.4.4

Indicator: Evidence that information about any lethal incident on the farm has been:1. Reported to the appropriate governmentoversight agency.2. Made easily publicly accessible

Requirement: Yes

Applicability: All

Compliant

2.4.5

Indicator: Maximum number of lethal incidents (8) on farm over the prior two years

Requirement: For birds: 4 lethal incidents.For sharks: 2 lethal incidents.For marine mammals: 1 lethal incident

Applicability: All

Compliant

2.4.6

Indicator: In the event of any lethal incident, evidence that anassessment of the probability of lethal incident(s)has been undertaken and demonstration ofconcrete steps taken by the farm to reduce the riskof future incidence

Requirement: Yes

Applicability: All

Compliant

3.1.1

Indicator: Culture of a non-native species

Requirement: None, unless commercial (9) farming of the species already occurs in the region at time of the first publication of the SCAD standards, or a closed land-based production (10) system with minimal (11) risk of escapes and/or pest and pathogen transfer to wild populations is used

Applicability: All

Compliant

3.2.1

Indicator: Culture of transgenic fish by the farm

Requirement: None

Applicability: All

Compliant

3.3.1

Indicator: For all fish, the operation must have an established plan related to escape management, and adhere to rigorous maintenance procedures and frequent net inspections

Requirement: Yes

Applicability: All

Compliant

3.3.2

Indicator: Operations will undertake and maintain detailed records on fish escapes and counting. This will include records of breaches in nets, estimates on escapes and stocked vs. recovered fish counts. Note: farms will also include technology and methodology for undertaking fish counts

Requirement: Yes

Applicability: All

Compliant

3.3.3

Indicator: For selectively bred stock (12) or for non-selectivelybred stock not from local sources (13) or for wild fingerlings not from local sources more than 2 escape events of 30% (cumulative total fish not recovered) over 2 years (14).

Requirement: No

Applicability: All

Compliant

3.3.4

Indicator: All escape events of farmed Seriola or Cobia are reported to the pertinent regulatory agency

Requirement: Yes

Applicability: All

Compliant

3.4.1

Indicator: Evidence that purchased or collected wildfingerlings are harvested from a source fishery with a public fishery assessment, for example FishSource or is in a credible fishery improvement process (FIP) towards an ISEAL compliant fisheries sustainability certification scheme

Requirement: Yes

Applicability: All

Compliant

3.4.2

Indicator: Traceability of wild or hatchery purchased or collected fingerlings to their source

Requirement: Yes

Applicability: All

Compliant

4.1.1

Indicator: Evidence of traceability, demonstrated by the feed producer, of fishmeal and fish oil ingredients (15)

Requirement: Yes

Applicability: All

Compliant

4.2.1

Indicator: a) Fishmeal Forage Fish Dependency Ratio ( FFDRm) and Fish Oil Forage Fish Dependency Ratio (FFDRo) for Seriola (calculated using formulae in Appendix of the Seriola and Cobia Standard v.1.1 1). Kampachi (S. rivoliana,S. dumerili (16)), Hamachi (S. quinqueradiata).b) FFDRm and FFDRo Cobia (calculated using formulae in Appendix 1 of the Seriola and Cobia Standard v.1.1)

Requirement: a) Kampachi: FFDRm ≤ 2.9/FFDRo ≤ 2.9Hamachi: FFDRm ≤ 6.0/FFDRo ≤ 7.0 (now)FFDRm ≤ 4.8/FFDRo ≤ 5.0 (3 years)FFDRm ≤ 2.9 /FFDRo ≤ 2.9 (6 years)

b) FFDRm ≤ 6.0/FFDRo ≤ 6.0 (now)FFDRm ≤ 4.0/FFDRo ≤ 4.0 (3 years)FFDRm ≤ 2.9/FFDRo ≤ 2.9 (6 years)

Applicability: All

Compliant

4.2.2

Indicator: Use of wet feed and moist pellets

Requirement: Must be sourced from the same ecosystem as the farm

Applicability: All

Compliant

4.3.1

Indicator: Timeframe for at least 90% fishmeal or fish oil used in feed to come from fisheries (17) certified under an ISEAL member’s accredited certification whose primary goal is to promote ecological sustainability

Requirement: Within 5 years following the date of the publication of the SCAD standards

Applicability: All

Compliant

4.3.2

Indicator: Prior to achieving 4.3.1, the fishmeal or fish oilused in feed must have a FishSource score of 6.0or higher, plus (and) an 8 in the biomass category orshow evidence of being engaged in a credible andtime bound fisheries improvement project (FIP)

Requirement: At least 80% of the fish meal and fish oil used in feed (excluding fishmeal and oil from by-products) must meet this criteria

Applicability: All

Compliant

4.3.3

Indicator: Feed containing fishmeal and/or fish oil originatingfrom by-products (18) or trimmings from fish species which are categorized as vulnerable, endangered or critically endangered, according to the IUCN Red List of Threatened Species (19)

Requirement: None

Applicability: All

Compliant

4.3.4

Indicator: Feed ingredients which come from other fish from the same genus

Requirement: None

Applicability: All

Compliant

4.4.1

Indicator: Presence and evidence of traceability and a responsible sourcing policy for the feed manufacturer for feed ingredients which comply with internationally recognized moratoriums and local laws (20)

Requirement: Yes

Applicability: All

Compliant

4.4.2

Indicator: Documentation of the use of transgenic (21) plant raw material, or raw materials derived from genetically modified plants, in the feed

Requirement: Yes

Applicability: All

Compliant

4.4.3

Indicator: Percent of non-marine ingredients from sources certified by an ISEAL Member’s certificationscheme that addresses environmental and socialsustainability

Requirement: 80% for soy and palm oil within 5 years from the date of the publication of the Seriola and Cobia standard v.1.1

Applicability: All

Compliant

5.1.1

Indicator: Commitment to participate in an Area-Based Management (ABM) scheme

Requirement: The farm participates in an ABM, where it exits, for managing disease and resistance to treatments

Applicability: All

Compliant

5.1.2

Indicator: A demonstrated commitment (22) to collaborate with NGOs, academics and governments on areas of mutually agreed research to measure possible impacts of pests or parasites on wild stocks

Requirement: Yes

Applicability: All

Compliant

5.1.3

Indicator: On-farm testing for ectoparasites, with test results made easily publicly available (23)

Requirement: Yes, with results made easily publicly available within seven days of testing Applicability: All

Compliant

5.2.1

Indicator: Use of therapeutic treatments that are banned by law under the local jurisdiction or listed as critically important for human medicine by theWorld Health Organization (24)

Requirement: Not permitted

Applicability: All

Compliant

5.2.2

Indicator: Prophylactic use of chemical antimicrobialtreatments (excluding prebiotics or vaccinations)

Requirement: Not permitted.

Applicability: All

Compliant

5.2.3

Indicator: Farms have a comprehensive fish health management plan approved by the farm’s designated veterinarian that includes either a) vaccination against diseases that present a riskin the region and for which an effective and commercially viable vaccine exists, or b) veterinarian-approved alternative fish healthmanagement strategies

Requirement: Yes

Applicability: All

Compliant

5.2.4

Indicator: Allowable farm level anti-parasiticide treatment not including freshwater, formaldehyde (25) or hydrogen peroxide


Applicability: All

Compliant

5.3.1

Indicator: Weekly average percent dissolved oxygen (DO) saturation on farm, calculated in the following methodology

Requirement: >70% saturation (27)

Applicability: All farms. Exception can be granted to farms that do not conform to >70% saturation where it can be demonstrated that farm site DO readings are consistent with those of a reference site

Compliant

5.3.2

Indicator: Maximum percentage of weekly samples from5.3.1 that fall under 70%.

Requirement: <5%.

Applicability: All farms. Exception can be granted to farms that do not conform to >70% saturation where it can be demonstrated that farm site DO readings are consistent with those of a reference site

Compliant

6.1.1

Indicator: Number of incidences of child labour

Requirement: None

Applicability: All

Compliant

6.1.2

Indicator: Percentage of young workers that are protected

Requirement: 100%.

Applicability: All

Compliant

6.2.1

Indicator: Number of Incidents where employers withhold any part of employee salary, property, or benefits upon termination of employment

Requirement: None

Applicability: All

Compliant

6.2.2

Indicator: Number of incidents where employees are required to surrender original identity documents upon commencing employment (except as required for processing of legal documentation)

Requirement: None

Applicability: All

Compliant

6.3.1

Indicator: Evidence of comprehensive and pro-active antidiscrimination policies, procedures and practices including, but not limited to, discrimination in the workplace and equal access to all jobs in relation to gender, age, race, religion, creed, caste, or sexual orientation

Requirement: Yes

Applicability: All

Compliant

6.3.2

Indicator: Number of confirmed incidences ofdiscrimination

Requirement: None

Applicability: All

Compliant

6.3.3

Indicator: Equality of pay, benefits and promotion opportunities for all employees independent of gender, age, race, religion, creed, caste or sexual orientation

Requirement: Yes

Applicability: All

Compliant

6.3.4

Indicator: Number of incidents where employer dismisses an employee on the basis of marital status or pregnancy or deny employee legal rights to pregnancy or maternity leave

Requirement: None

Applicability: All

Compliant

6.4.1

Indicator: Percentage of employees trained in health and safety practices, procedures and policies relevant to the job

Requirement: 100% for operations above five employees (28) Applicability: All

Compliant

6.4.2

Indicator: Safety equipment (Personal Protective Equipment, PPE) provided and maintained and in use

Requirement: Yes

Applicability: All

Compliant

6.4.3

Indicator: All health and safety related accidents and violations are recorded and corrective actions taken when necessary

Requirement: Yes

Applicability: All

Compliant

6.4.4

Indicator: Evidence of employer responsibility and/or proof of insurance (accident or injury) for 100% of worker costs in a job-related accident or injury when not covered under national law

Requirement: None

Applicability: All

Compliant

6.5.1

Indicator: Percentage of workers whose basic wage (29) (before overtime and bonuses) is below the minimum wage (30)

Requirement: 0%

Applicability: All

Compliant

6.5.2

Indicator: The percentage of workers whose basic wage(before overtime and bonuses) is below the basic needs wage (31) 5 years after adoption of the standard

Requirement: 0%

Applicability: All

Compliant

6.5.3

Indicator: Evidence of transparency in wage-setting and rendering

Requirement: Yes

Applicability: All

Compliant

6.6.1

Indicator: Percentage of employees with access to trade unions, worker organizations, and/or the ability to self-organize as well as the ability to bargain collectively or access the representative(s) chosen by workers without management interference

Requirement: 100%

Applicability: All

Compliant

6.6.2

Indicator: Incidences of members of unions or worker organizations being discriminated against

Requirement: None

Applicability: All

Compliant

6.7.1

Indicator: Incidences of excessive or abusive (32) disciplinary actions

Requirement: None

Applicability: All

Compliant

6.7.2

Indicator: Evidence of clear, fair and transparent disciplinary procedures documented and communicated to employees

Requirement: Yes

Applicability: All

Compliant

6.7.3

Indicator: Evidence that incidences of harassment are recorded and addressed with corrective actions

Requirement: 100%

Applicability: All

Compliant

6.8.1

Indicator: Incidences, violations or abuse of working hours or overtime laws

Requirement: None

Applicability: All

Compliant

6.8.2

Indicator: Overtime is limited, voluntary , paid at a premium rate and restricted to exceptional circumstances

Requirement: Yes

Applicability: All farms unless exempted

Compliant

6.9.1

Indicator: Percentage of workers who have contracts or other written employment agreements

Requirement: 100%

Applicability: All

Compliant

6.9.2

Indicator: Evidence of a policy to ensure social compliance of its suppliers and contractors when operating on the farm site.

Requirement: Yes

Applicability: All

Compliant

6.10.1

Indicator: Evidence of worker access to effective, fair and confidential grievance procedures

Requirement: Yes

Applicability: All

Compliant

6.10.2

Indicator: Percentage of grievances handled that are addressed (33) within a 90-day timeframe

Requirement: 100%

Applicability: All

Compliant

6.11.1

Indicator: Farm employees have access to clean, sanitary, safe and suitable living conditions

Requirement: Yes

Applicability: All

Compliant

6.11.2

Indicator: Existence of separate sanitary and toilet facilities for men and women; with the exception of work sites with fewer than 10 employees or where married couples are working and accommodated together

Requirement: Yes

Applicability: All farms and accommodation and worksites except as permitted exclusions (6.11.2a)

Compliant

7.1.1

Indicator: Evidence of regular and meaningful consultation (34) and engagement with community representatives and organizations

Requirement: Yes

Applicability: All

Compliant

7.1.2

Indicator: Presence and evidence of an effective (35) policy and mechanism for the presentation, treatment and resolution of complaints by community stakeholders and organizations

Requirement: Yes

Applicability: All

Compliant

7.2.1

Indicator: Local groups consulted during project design and operation

Requirement: At least 2x per year or as required byrelevant local and/or national laws and regulations

Applicability: All

Compliant

7.3.1

Indicator: Changes undertaken restricting access to vital community resources without community approval

Requirement: 0

Applicability: All

Compliant

7.3.2

Indicator: Assessments of company’s impact on access to resources Requirement: At least once per year

Applicability: All

Compliant


Corresponds to ASC Seriola & Cobia standard version 1.1

Indicator No 5.2.4 4.2.1a 4.2.1b 4.2.1c 4.2.1d 4.2.1e 4.2.1f 4.2.1g 4.2.1h 4.2.1i 4.2.1j 4.2.1k 4.2.1l 4.2.1mImpact

CategoryChemicals/therapeutants Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed

Indicator Text

Allowable farm level anti-parasiticide treatment, not including freshwater, formaldehyde or

hydrogen peroxide

(a) Fishmeal Forage Fish Dependency Ratio ( FFDRm) for Seriola (calculated using

formulae in Appendix 1). Kampachi (S. rivoliana,

S. dumerili).

(a) Fishmeal Forage Fish Dependency Ratio ( FFDRm) for Seriola(calculated using

formulae in Appendix 1). Hamachi (S.

quinqueradiata).



quinqueradiata). (3 Years)




Fish Oil Forage Fish Dependency Ratio (FFDRo) for Seriola(calculated using

formulae in Appendix 1). Kampachi (S. rivoliana,

S. dumerili).

Fish Oil Forage Fish Dependency Ratio (FFDRo)

for Seriola(calculated using formulae in

Appendix 1). Hamachi (S. quinqueradiata).NOW







(b) FFDRm Cobia (calculated using

formulae in Appendix 1)


formulae in Appendix 1) (3 Years)



(b) FFDRo Cobia (calculated using

formulae in Appendix 1)




4.2.1n 4.3.2 4.3.3 4.3.4 4.4.3 2.3.2 3.2.1 5.3.1 5.3.2 2.4.1 2.4.2 2.4.5a 2.4.5b 2.4.5c 3.1.1Feed Feed Feed Feed Feed other Parasites Water quality Water quality Wildlife interactions Wildlife interactions Wildlife interactions Wildlife interactions Wildlife interactions Wildlife interactions



Prior to achieving 4.3.1, the fishmeal or fish oil used in feed must have a fishSource score of

6.0 or higher, plus (and) an 8 in the biomass

category.

Feed containing fishmeal and/or fish oil originating from by-products or trimmings from fish species

which are categorized as vulnerable, endangered or critically endangered, according to the IUCN Red

List of Threatened Species

Feed ingredients which come from other fish from the same genus

Percent of non-marine ingredients from sources certified by an ISEAL Member’s

certification scheme that addresses environmental and social sustainability.

For soy and palm oil within 5 yearsfrom the date of the publication of the

ASC Seriola and CobiaStandard .

Allowance for the farm to be sited in a legally designated protected

area

Culture of transgenic fish

Weekly average percent dissolved oxygen (DO)saturation on farm, calculated in the

following methodology.

Maximum percentage of weekly samples from

5.3.1 that fall under 70%.

Acoustic deterrent devices allowed

Number of mortalitiesof endangered or red-

listedanimals in the farm lease area and adjacent areas

due to farmoperations or personnel

or associates.

Maximum number of lethal incidents for Birds

on farmover the prior two years.

Maximum number of lethal incidents for

Sharkson farm

over the prior two years.

Maximum number of lethal incidents for

Mammalson farm

over the prior two years.

Culture of non-native species

6.1.2 6.6.1 6.4.1 6.7.3 6.9.1 6.10.2 6.1.1 6.2.1 6.2.2 6.3.2 6.3.4 6.6.2 6.7.1 6.8.1 6.5.1Social Social Social Social Social Social Social Social Social Social Social Social Social Social Social


protected

Percentage of employees with access to trade unions, worker organizations, and/or the ability to self-organize as

well as the ability to bargain collectively or access the

representative(s) chosen by workers without management

interference.

Percentage of employees trained in health and

safety practices, procedures and policies relevant to the job (for

operations above 5 employees)

Evidence that allegations of

harassment are recorded and

addressed with corrective actions

Percentage of workers who have

contractsor

other written employment agreements.

Percentage of grievances handled that are

addressed within a 90-day timeframe.


Number of Incidents where employers

withholdany part of employee salary, property, or

benefits upontermination of employment.

Number of incidents where employees are

required to surrender original identity documents uponcommencing employment (except as required for

processing oflegal documentation).

Number of confirmed incidences ofdiscrimination.

Number of incidents where employer dismisses an

employee on the basis of marital status or pregnancy or deny employee legal rights to pregnancy or maternity

leave.

Incidences of members of unions or workerorganizations being

discriminated against.

Incidences of excessive or abusive

disciplinaryActions.

Incidences, violations or abuse of working hours

or overtime laws.

Percentage of workers whose basic wage

(before overtime and bonuses) is below the minimum wage

6.5.2 7.3.1 7.3.2 7.2.1Social Social Social Social

The percentage of workers whose basic wage

(before overtime and bonuses) is below the basic needs wage 5 years

after adoption of the standard.

Changes undertaken restricting access to vital community

resources without community approval

Assessments of company’s impact on access to resources

Local groups consulted during project design

and operation




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Seabass, Seabream & Meagre standard version 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22

Proposed by UoC and accepted by CAB Proposed by UoC and accepted by CAB Proposed by UoC and accepted by CAB

Indicator Number Indicator Text Audit EvidenceIndicator evaluation

Description, justification and conclusion for the evaluation decision

Date of NC detectionMinor NC detected for

sites (List site ID's)


(List site ID's)



NC StatusVR

submitted

Status of submitted

VRVR used

Q&A submitted/used

Root cause analysis NC correction NC Corrective action Auditor evaluation Extension justificationNew deadline for NC close-out

Notes

1.1.1

Indicator: Documents demonstrating compliance with all relevant local and national laws and regulations

Requirement: Yes

Applicabil ity: All

The audit team confirmed the legal files. The file includes the Fisheries Law (revised on December 14, 2018), the Fisheries Resources Conservation Law (revised on December 7, 2018), the Natural Park Law (revised on

June 14, 2018), and the securing of sustainable aquaculture production. The law (revised on June 13, 2014), the Marine Fisheries Resources Development Promotion Law (revised on December 7, 2018), the Kumamoto

Prefecture Basic Environmental Ordinance (revised on March 12, 2004), etc. are included.

Kumamoto Prefecture issues a license to the fishery cooperative, and the cooperative permits each aquaculture company to execute the plot fishery license. Urata Fisheries cultivates ASC target fish at Maeshima and

Hinoshima fishing grounds. The section of the Maeshima fishing ground is Tenku No. 595, and the Arakuchi Fisheries Cooperative holds the fishing rights. The section of the Hinoshima fishing ground is Tenku No. 561 and

the Hinoshima Fisheries Cooperative holds the fishing rights. The audit team confirmed each parcel fishery license. The validity period of both Tenku No. 595 and Tenku No. 561 was from September 1, 2018 to August 31,

2035. The parcel fishery license is renewed every five years. Urata Fisheries pays fishing rights exercise fees to each fishery cooperative and uses the fishing grounds. We confirmed the payment records for Reiwa to the

Araguchi Fisheries Cooperative on December 13, 1991 and for Hinoshima Fisheries Cooperative on January 15, 2nd year.

The Arashiguchi Fisheries Cooperative visits the number survey once a year (in collaboration with other fishermen), and the Hinoshima Fisheries Cooperative visits the fishing grounds once every five years (when the plot

fishing rights are renewed). There is no written record of the inspection, and you will be verbally notified of your consent. If there is a violation, you will be instructed. There have been no violations so far.

Urata Fisheries rents land in Amakusa City for onshore facilities. Urata Fisheries pays rent every year. The audit team confirmed the payment record on July 8, 1945. The audit team confirmed the land lease agreement

(changed agreement dated August 21, 2014).

Compliant

1.1.2

Indicator: Documents demonstrating compliance with all tax laws

Requirement: Yes

Applicabil ity: All

The audit team confirmed the tax payment certificates for corporate tax, consumption tax, local consumption tax, Kumamoto prefectural tax, and Amakusa city tax (as of August 3, 2nd year of Ordinance). Payment

records (receipts, etc.) of each tax are kept.

Urata Fisheries contracts with a tax accountant office and outsources tax processing. The Audit team confirmed the advisory contract dated April 1, 2015.

Compliant

1.1.3

Indicator: Documents demonstrating compliance with all labour laws and regulations

Requirement: Yes

Applicabil ity: All

Farm has created work rules. The Audit team confirmed the rules of employment.

Since the number of employees is 10 or less, it is not necessary to notify the Labor Standards Inspection Office according to the Labor Standards Law.

Farm has never been inspected for labor.

Compliant

1.1.4

Indicator: Documents demonstrating compliance with regulations and permits concerning water quality impacts

Requirement: Yes

Applicabil ity: All

There is no drainage. It has not been processed.

According to the regulations based on Article 3, Paragraph 3 of the Water Pollution Control Law of Kumamoto Prefecture, specific business establishments with wastewater of 20 m3 / day or more are subject to water

quality regulation.

There are no water quality standards around the farm according to laws and ordinances.

Compliant

2.1.1

Indicator: Redox potential or total ‘free’ sulphide levels in sediment immediately outside of the Allowable Zone of Effect (AZE) (1) attributed to farm operations

Requirement: Redox potential > 0 millivolts (mV)

OR Sulphide ≤ 1,500 micromoles/l OR No significant difference (2)

in redox potential or total ‘free’ sulphide levels in sediment at the edge of the AZE in comparison to control sites

Applicabil ity: All farms

AZE was set at 25m from the cage according to the standard at Maeshima fishing ground and Hinoshima fishing ground respectively. The water depth was about 30 m, and the bottom mud was sampled at three points

downstream of the predominant stream in consideration of the distance from the cages of other nearby businesses. For the control area, a place with the same bottom sediment and water depth as AZE and less affected

by the farm (Maeshima fishing ground: a place about 600 m away from the cage, Hinoshima fishing ground: a place about 1000 m away from the cage) was selected, and the outer edge of AZE was selected. Sediment

was sampled at three points in each of the control plots. The AZE and control plot settings were judged to be valid.

Position coordinates (GPS) were recorded at each of the four corners of the AZE, at the point where the mud was sampled, and at the point where the water quality survey was measured.

The peak of biomass is around November every year. The survey was conducted on November 9, 2020.

A staff member of the Fisheries Division of the Agriculture, Forestry and Fisheries Department of Kumamoto Prefecture accompanied the survey while receiving technical advice. The staff of the Fisheries Division of the

Agriculture, Forestry and Fisheries Department of Kumamoto Prefecture provides technical guidance on the bottom sediment survey of fishing grounds in the Amakusa area. Farm rented an Ekman barge mud collector

from Kumamoto prefecture.

The Audit team confirmed the sediment analysis test report and statistical test results.

Farm chose option 3 metric.

The Hinoshima fishing ground had no significant difference in redox potential in the sediment at the outer edge of AZE compared to the control plot.

The bottom sediment of the Maeshima fishing ground was a reef zone. Three to four mud collection efforts were made by the Ekman barge mud collector at each survey point on the outer edge of the AZE of the Maeshima

fishing ground and in the control area. However, the sediment was not thick enough to collect mud at any point, so only a small amount of sand was collected. No mud was collected. Since the bottom mud could not be

physically collected, a video of the bottom sediment was recorded by an underwater video camera. An underwater video was confirmed by the Audit team, confirming that it was a reef zone and that the sediment thickness

was small. Therefore, this time, 2.1.1c-f, 2.1.2, 2.1.3 and 2.1.4 were exempted from the Maeshima fishing ground. Since it is possible that mud can be collected by checking the seabed in more detail or changing the mud

collector, it is desirable to consider the mud collection method again.

Compliant

2.1.2

Indicator: Benthic faunal index score (choosing asuitable benthic index to the composition of thebenthos being sampled)

Requirement: AZTI Marine Biotic Index (AMBI) (3) score ≤ 3.3, or Shannon-Wiener Index score > 3, orBenthic Quality Index (BQI) score ≥ 15, orInfaunal Trophic Index (ITI) score ≥ 25 orBENTIX (4) score ≥ 3.5 orNo significant change in benthic faunal index scores at the edge of the AZE in comparison to control site Applicabil ity: All farms

A benthic fauna survey was conducted at the same location, on the same survey date, and by the same method as in 2.1.1 above. The collected samples were sifted through a 0.5 mm mesh, and the collected benthic

animals were formalin-fixed and identified. A third-party biological research and analysis company was commissioned to identify the species and population of benthic fauna at each site and perform statistical analysis.

Farm chose option 6 metric.

As a result, the Shannon-Wiener index value of the benthic fauna at the periphery of AZE was compared with that of the control group. There was no significant difference between the AZE margin and the target area. The

Audit team confirmed the analysis method, analysis results, statistical analysis results and photographic records of benthic animals in the Benthos Analysis Business Report.

Compliant

2.1.3

Indicator: For farms that use copper nets or copper-treated nets, evidence of testing for copper levels in the sediment immediately outside of the AZE

Requirement: Yes

Applicabil ity: All farms that use copper or copper treated nets

Not applicable as copper nets or copper-treated nets are not used.

N/A


2.1.4

Indicator: Evidence that copper levels (5) are < 34 mg Cu/kg dry sediment weightORIn instances where the Cu in the sediment exceeds 34 mg Cu/kg dry sediment weight, demonstration that the Cu concentration is not significantly different compared to background concentrations as measured at three reference sites in the water body

Requirement: Yes

Applicabil ity: All farms that use copper or copper treated nets


N/A


2.2.1

Indicator: Weekly average percent saturation (6) of dissolved oxygen (DO) on farm (Appendix 1-2 of the Seabass, Seabream & Meagre Standard v.1.1) Requirement: ≥70% (7)


Farm uses a telemeter system to automatically measure DO in each fishing ground every 30 minutes. It has been jointly operated by the national government, Kumamoto Prefecture, and Kumamoto Prefecture Seawater

Fisheries Cooperative for several years. Cleaning around the sensor is done regularly. Maintenance is carried out by the fishery cooperative. The machine is removed for annual maintenance, but it will be free for 1 to 2

months during that time, so a separate measurement with a DO meter etc. is required. When the Audit team confirmed the data for the past 6 months or more, the dissolved oxygen saturation was usually about 80 to

120%, and was always 70% or more.

When data loss occurs, such as during maintenance, the reason for the loss is recorded.

Compliant

2.2.2

Indicator: Maximum percentage of weekly samples (8) from 2.2.1 that fall under 2 mg/litre DO (Appendix of the Seabass, Seabream & Meagre standard v1.1)

Requirement: 5%

Applicabil ity: AllData after September 2020 was confirmed.

The lowest day was 5.18 mg / L, and no day fell below 2 mg / L.

Compliant

2.2.3

Indicator: Quarterly monitoring of TAN, NO3, and TP levels on the farm and at a reference site (9) (Appendix of the Seabass, Seabream & Meagre standard v1.1)

Requirement: Yes


It was measured by requesting a third-party analysis organization. Nitrate nitrogen, ammoniacal nitrogen, and total phosphorus were measured in farms and control plots. Measurements were made using HACH's DR3900.

The survey points are as described in Index 2.1.1. At each of the Hinoshima and Maeshima fishing grounds, there were 12 AZE outer edges and 3 control areas, for a total of 12 locations.

It has been measured once a month since September 2020. The Audit team confirmed all the measurement results and confirmed the water quality analysis test report.

Compliant

2.2.4

Indicator: Evidence that the type of biocides used in net antifouling are approved according to legislation in the European Union, the United States, Australia, or Japan

Requirement: Yes


Farm uses an antifouling agent (Bowmo Super # 3000) approved in Japan. The antifouling agent is certified by the National Federation of Fisheries Cooperatives. Compliant

2.3.1

Indicator : The farm shall assess the farm’s (potential) impacts on biodiversity and nearby ecosystems that contains at a minimum the components outlined in the Appendix of the Seabass, Seabream & Meagre standard v1.1)

Requirement: Yes

Applicabil ity: All

"Effect assessment of fragile natural environment and endangered species by aquaculture industry in southern Yatsushiro Sea, Kumamoto Prefecture (created on March 5, 2021)" was conducted to assess the potential

impact of farms on biodiversity and surrounding ecosystems. It was confirmed that it was done. The impact assessment was prepared with researchers from external specialized agencies and universities.

The Impact Assessment Report referred to the Red Data Book and Red List of the Ministry of the Environment and the Red Data Book of Kumamoto Prefecture, and evaluated potential impacts mainly on birds, marine

animals, and marine plants. As a result, two species of algae were listed as endangered species that have been confirmed to inhabit the surrounding area, such as Pelagic cormorant, Japanese Murrelet, Chinese egret,

and sea turtle for birds, and loggerhead turtle and shellfish for tidal flats for marine animals. Farm investigated the habitat status of these target organisms in the fishing grounds through literature and interviews with experts.

Farm also interviewed experts on marine mammals. As a result, it was concluded that the impact was extremely small.

Interviews with employees also confirmed that they sometimes see dolphins around the farm several times a year, but that the farm has no effect.

Compliant

2.3.2

Indicator: Allowance for the farm to be sited in a protected area (10) or High Conservation Value Areas (11) (HCVAs)


Applicabil ity: All

There is "Effect assessment of fragile natural environment and endangered species by aquaculture industry in the southern part of Yatsushiro Sea, Kumamoto Prefecture (created on March 5, 2021)". A suitable map is

available. The farm corresponds to the ordinary area of Unzen Amakusa National Park. The farm falls under Category 5 (Landscape Conservation Area) in the IUCN Reserve category.

The farm is not a protected area, nor is it a wildlife sanctuary special protection area.

Compliant

2.3.3

Indicator: Allowance for the farm to be sited closer than 500 meters to a seagrass meadow(s) (13) measure from the edge of the AZE

Requirement: None

Applicabil ity: All

Farm was preparing a map of the seaweed bed. It was confirmed that the cage of the farm was more than 500 m away from the seaweed bed. Seagrass beds are being constructed in Goshonoura, but the site is more than

500m away from the farm. The Audit team confirmed in a site audit that no seagrass beds were found in the surrounding area.Compliant

2.4.1

Indicator: Use of submerged acoustic deterrent devices

Requirement: Not allowed

Applicabil ity: All

Farm does not use acoustic repellent. Urata Fisheries' aquaculture management procedure manual, Section 8.4.2, stipulates that "underwater acoustic repellent devices (ADD / AHD) should not be used." It was confirmed

in an interview with the manager and in the field.Compliant

2.4.2

Indicator: Number of mortalities (14) of endangered or red-listed

(14) animals in the farm lease area and adjacent areas due to farm operations, personnel or associates over the previous 2 years

Requirement: 0

Applicabil ity: All

No deaths of endangered species have been identified in the last two years.

From August 2020, a daily daily report recording system (software) linked with tablets was introduced, and it became a mechanism to record the death of an endangered species when it is discovered.Compliant

2.4.3

Indicator: Allowance for intentional lethal action against predators/wildlife on the farm site

Requirement: None, unless human safety is immediately threatened

Applicabil ity: All

Farm does not exterminate predatory birds and beasts or wildlife.

The Audit team interviewed the manager and confirmed on-site.

Compliant

2.4.4

Indicator: All lethal incidents are recorded and categorized (15) and reported to ASC

Requirement: Yes

Applicabil ity: All

From August 2020, a daily daily report recording system (software) linked with tablets was introduced, and it is a mechanism to record and classify all wild animal fatal accidents.

There was no record of a fatal accident. However, in an interview with an employee, there was information that "I don't remember the time, but there are cases where crows died in the past." Since it was unknown how

many years ago the crow died, it cannot be clearly determined to be incompatible. However, Farm needs to be informed to employees and to record any future deaths found. It was judged to be Observation. [Observation]

Compliant

2.4.5

Indicator: In the event of any lethal incident, evidence that an assessment of the probability of lethal incident(s) has been undertaken and demonstration of concrete steps taken by the farm to reduce the risk of future incidences

Requirement: Yes

Applicabil ity: All

From August 2020, a daily daily report recording system (software) linked with tablets was introduced, and all fatal accidents are recorded and classified.

No wildlife fatalities have occurred in at least the last two years. The incidence was zero. In the past, the bird net was changed from a streak net to a thick net to improve visibility and reduce the risk of future occurrence.

When a fatal accident occurs in the future, efforts to further reduce the risk of occurrence will be considered.

Compliant

3.1.1

Indicator: Culture of a non-native species (16)

Requirement: None, unless the farmed species is ecologically established (17) in the region at time of publication of the of the Seabass, Seabream & Meagre standard v1.1

Applicabil ity: AllThere is an introductory material for red sea bream, which shows the distribution area including Japan.

The red sea bream Pagrus major (Temminck and Schlegel, 1844) is a native species at the farming site.

Compliant

3.2.1

Indicator: Culture of transgenic (18) fish


Applicabil ity: All

The "Red Sea Bream Culture Management Plan" declares that genetically modified fry will not be purchased. In addition, genetically modified seedlings are not distributed in Japan.

It was confirmed that the "Declaration on Seedling Origin (January 5, 3rd year of Reiwa)" was issued by the seedling trader, which declares that genetically modified seedlings will not be produced or sold.Compliant

3.3.1

Indicator: Evidence of a well-designed, maintained and managed culture system, infrastructure and farm management (19) to minimize escapes during grow- out and harvest

Requirement: Yes

Applicabil ity: All

The items of escape prevention, net strength, and mesh size are described in Chapter 6 "6. Prevention of escape of farmed fish" in "Urata Aquaculture Management Procedure Manual". It also has a mechanism that allows

you to trace the net. The chemical fiber mesh is tagged for identification and tracing.

The strength of the net is appropriate by referring to the specifications, and the size of the net is used according to the fish body. After a disaster such as a typhoon or heavy rain, it will be inspected to see if there is any

damage. There are no predators. There are no new net purchases since August 2019, but they will be recorded once they are purchased.

Chemical fiber nets are used at the Hinoshima fishing grounds, and polyester filament hexagonal nets are used at the Maeshima fishing grounds.

The cage frame is replaced every 8 years. The hexagonal net is also replaced when it is replaced twice. The chemical fiber net is used while being repaired, and is replaced when it becomes old (when deterioration is

judged). All current 20m chemical fiber nets were purchased at the same time.

The net inspection is carried out at the same time as the diver's net cleaning. We confirmed the record of cleaning the net at Hinoshima on August 29, 2020. It has been confirmed that Maeshima's net is still low in

deposits and does not need to be cleaned.

On March 3, 2021, training on escape prevention was held at the Urata Fisheries Office. The Audit team confirmed the record "Training on escape prevention and health and safety". All the people concerned are

participating in the training, and the minutes are left.

Compliant

3.3.2

Indicator: The farm shall count all fish at every stocking, grading and harvest event with a counting accuracy of ≥98%

Requirement: Yes

Applicabil ity: All

At the time of live-in, the number of individuals is measured by a seedling trader with a sensor camera. The error accuracy of the machine has been confirmed. At the time of feeding, all fish are counted one by one (10 fish

each at one counter, etc.). At the time of shipment, each fish is put in a basket and put in a temporary cage of the union. The number of fish is double-checked because the union counts again during processing.

Since all the seedlings introduced in 2016 were shipped, we checked the receipt and shipment. The number of individuals is recorded by carefully counting them at the time of livelihood, selection, and harvesting. However,

at the beginning, there was no mechanism to accurately record the number of dead fish, so it was not verified whether the counting accuracy was 98% or more. Currently, with the introduction of the daily report system, the

number of dead fish is recorded. It is also necessary to confirm the counting accuracy of seed and seedling vendors. At the moment, the counting accuracy has not been verified, so it is considered as a minor

nonconformity. [Minor Non-Conformity]

Minor

Since there is no record that has been verified whether the counting accuracy has an error of 98% or more, it is considered as a minor nonconformity.

18/03/2021 17/06/2021 Until the Farm worked on ASC (until the fry introduced in 2016), the mechanism for accurately recording dead fish was inadequate, so there was a lack of material to verify whether the counting accuracy was 98% or more.It was not a serious business problem until the farm worked on ASC audit. Probably because the counting accuracy was maintained above a certain level. However, due to insufficient awareness of counting accuracy among employees, reliable recording of the number of fish population, and a mechanism for verifying it, this kind of nonconformity was occurred.

Farm examined the 2016 seedlings introduced without counting dead fish. As a result, the counting accuracy was 98% or more.Farm has recorded all dead fish in its daily report since the seedlings introduced in 2017.Farm was scheduled to complete shipment of the seedlings school introduced in 2017 by December 2020, and to complete verification of this item by the ASC initial audit date (March 2021). However, due to the spread of the COVID-19 infection, the shipment volume decreased and the landing was not completed, so it could not be verified. The end of landing is scheduled around August 2021, and the verification results will be reported promptly thereafter.

Due to the introduction of the daily report system, all dead fish are recorded.From now on, with the completion of landing around August 2021, it will be verified whether the counting accuracy is 98% or more from the fry introduced in 2017. Farm will implement the following corrective actions and submit these implementation records to the Audit Team by the next review. ・ Education and training for employees ・ Maintenance of daily report system ・ Verify the number of introduced fish and the number of landed fish after shipping all the products.

The Audit Team has determined that root cause analysis (RCA) and correction (C) are valid. Corrective action (CA) has been approved as the current response, and future corrective action (Action Plan) has been approved.Whether or not the corrective measures are actually being operated properly will be canceled when Farm submits the operation record by the next audit and the Audit Team can confirm the operation results.

3.3.3

Indicator: Total amount of known escapes (21)

allowed per production cycle

Requirement: 4% (22) of stocked count based on ≥98% counting accuracy

Applicabil ity: All

The network is properly inspected and maintained, and a structure that cannot physically escape is maintained. Escape can occur in the event of a disaster. If the cages had collided with each other due to a disaster, the

rope would have been broken, but that is not the case. Escapes of 4% or more do not occur in normal times other than disasters. There was no record of a decrease in the number of breeding seedlings in 2016, which

seems to have caused an escape of 4% or more.

Compliant

3.3.4

Indicator: Total amount of unexplained loss (23) per production cycle

Requirement: 2% of stocked count based on ≥98% counting accuracy

Applicabil ity: All

Individuals who died in winter may sink and may not be known, but less than 2% of the total.

The Audit team confirmed the number of seedlings introduced in 2016, the number of fish shipped, and the number management table for each cage.Compliant

3.3.5

Indicator: Number of known escapes and unexplained losses are documented and made public as well as reported to ASC on an annual basis

Requirement: Yes

Applicabil ity: AllThere is a homepage of Kumamoto Prefecture Seawater Aquaculture Cooperative.

http://marukuma.or.jp/news/

The Audit team confirmed that the necessary information was available on the website.

In the future, if the number of escapes confirmed and the number of losses of unknown cause occur, the information will be updated.

Compliant

3.4.1

Indicator: Source of fingerlings

Requirement: Hatchery only

Applicabil ity: All

Seedlings are from "Seedling Company A" (hereinafter referred to as this). There is a "2018 Artificial Hatched Red Sea Bream Seedling History Certificate" issued by Seedling Company A. The seedling history certificate

clearly states "artificial hatched red sea bream", confirming that it is an artificial seedling. All seedlings distributed in Japan are artificial seedlings.Compliant

3.4.2

Indicator: Traceability of all hatchery purchased fingerlings to their source

Requirement: Yes

Applicabil ity: All

There is a "2018 Artificial Hatched Red Sea Bream Seedling History Certificate" issued by Seedling Company A. The seedling history certificate records the spawning location of the parent fish, the spawning date, the

initial breeding information of the seedlings, the intermediate breeding information of the seedlings, and the shipping date of the seedlings. Seeds arrive at the cage the day after or two days after shipment, and stocking

records are recorded in the daily report.

Compliant

3.4.3

Indicator: The fingerling supplier has a documented fish health and bio-security protocol or a comparable 3rd party certificate

Requirement: Yes

Applicabil ity: All

There is a seedling health management plan created by seedling company A (updated on January 22, 3rd year of Reiwa).

The health care plan includes biosecurity-related risk assessments and epidemic prevention measures, as well as possible fish diseases. The health care plan also includes confirmation from a fish epidemic. It can be

judged that the fish quarantine officer has the same expertise as a veterinarian in the aquaculture business.

Compliant

3.4.4

Indicator: The receiving facility (24) has a documented bio-security protocol, including quarantining, with respect to purchased fingerlings

Requirement: Yes

Applicabil ity: All

A biosecurity protocol document, including quarantine, has been prepared for the purchased fry.

There is a "fry acceptance record" (April 11, 2020).

Urata Fisheries will be present at the time of accepting fry to check for any illness. The procedure for acceptance is described in "3-4 Introduction of Seedlings" in the aquaculture management procedure manual (updated

on March 2, 2021), and measures to be taken in the event of an abnormality are also prepared.

Compliant

3.4.5

Indicator: All trans-national imported fingerlings must be accompanied by documentation required by importing countries (e.g. health certificate)

Requirement: Yes

Applicabil ity: AllNot applicable because there are no seedlings to import.

All seedlings are procured from Japan.

N/A

Not applicable because there are no seedlings to import.

All seedlings are procured from Japan.

4.1.1

Indicator: Evidence of traceability, demonstrated by the feed producer, of all fishmeal and fish oil ingredients (25)

Requirement: Yes

Applicabil ity: All

There is only one company that supplies feed to ASC target fish.

Feed companies have a good understanding of the ASC Suzuki Thai Onibe Standards.

The feed company has acquired ISO9001: 2015 certification and has undergone a third-party audit regarding identification and traceability, and an internal system has been established. The relevant feed is lot-controlled for

each production. In addition, a mechanism has been established that allows tracing of all raw materials that exceed 1% of the feed components.

The feed company has informed the farms of a declaration (dated March 4, 2021) that guarantees the traceability of fish meal and fish oil.

Compliant

4.2.1

Indicator: Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in the Appendix of the Seabass, Seabream & Meagre standard v1.1

Requirement: (a)Dicentrarchus labrax and Sparus aurata:≤ 1.85 (b) Argyrosomus regius:≤ 2.75, ≤ 2.5 (3 years (26)), ≤ 2.35 (6 years (27))(c) Pagrus major (27):≤ 4.5, ≤ 3.5 (3 years (27)), ≤ 2.5 (6 years (27))

Applicabil ity: All

Details of the feed are held by the feed company and provided by the feed company at the time of review. The ratio of fish meal and fish oil for each type of feed is given. Feed companies obtain fish species certification

from their suppliers when purchasing raw materials. Therefore, the fishery that is the source of fishmeal and fish oil is clearly documented.

The calculation result of FFDRm was 1.58. It conformed to the standard of 2.5 or less (within 6 years) of red sea bream.

Compliant

4.2.2

Indicator: Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in the Appendix of the Seabass, Seabream & Meagre standard v1.1)

Requirement: All species ≤ 3, ≤ 2.95 (3 years (28)), ≤ 2.9 (6 years (28))

Applicabil ity: All

Calculated with the same information as 4.2.1. The calculation result of FFDRo was 0.03. It met the criteria of 2.9 or less (within 6 years). Compliant

4.3.1

Indicator: Timeframe for at least 90% fishmeal or fish oil used in feed to come from fisheries (29) certified under an ISEAL member’s accredited certification whose primary goal is to promote ecological sustainability

Requirement: < 5 years after the date of publication of the Sea Bass/Sea Bream standards

NOTE: In November 2016 ASC published an Interim Solution for ASC Marine Feed Ingredients, which will replace indicators 4.3.1 and 4.3.2 of this Standard. This solution applies to all ASC’s Standards, which have indicators for marine raw material origin, including this ASC Seabass, Seabream, and Meagre Standard. This interim solution will apply until the ASC Feed Standard will be available or until further official and public notice by ASC

Applicabil ity: All

It is not applicable because it is within 5 years from the issue date of the ASC Suzuki Thai Onibe standard and provisional measures regarding feed ingredients of ASC are applied. N/AIt is not applicable because it is within 5 years from the issue date

of the ASC Suzuki Thai Onibe standard and provisional measures

regarding feed ingredients of ASC are applied.

4.3.2

Indicator: Prior to achieving 4.3.1 the fishmeal or fish oil used in feed must have a FishSource stock health score of 6.0 or higher or show evidence of being engaged in a credible and time bound fisheries improvement project (FIP)

Requirement: All stock health scores ≥ 6(see note above)

Applicabil ity: All

For all raw materials other than by-product-derived raw materials, the Fish Source Score of the fish species used for the fish meal and fish oil raw materials was confirmed by the feed company.

100% of fish meal and fish oil had a Fish Source score of 6 or higher.

Compliant

4.3.3

Indicator: Feed containing fishmeal and/or fish oil originating from

by-products (30) or trimmings from fish species which are

categorized as vulnerable, endangered or critically endangered, according to the IUCN Red List of Threatened Species (31)

Requirement: None

Applicabil ity: All

A certificate of origin was provided by the feed company for all fish meals and fish oils. Farm has obtained a declaration from a feed company that it does not use by-products or residues of critically endangered IA, IB and II

species (dated March 4, 2021).

The management philosophy of the feed company stipulates the continuous promotion of farmed fish. For feed ingredients, we ask our suppliers to sign the Supplier Code of Conduct. The code of conduct includes the item

not to include fish or endangered species from IUU.

Compliant

4.3.4

Indicator: Feed ingredients which come from other fish from the same genus

Requirement: None

Applicabil ity: All

The Audit team confirmed that there was no use of feed ingredients derived from the same genus as the farmed species.

A certificate of origin was provided by the feed company for all fish meals and fish oils. Farm has obtained a declaration (dated March 4, 2021) from a feed company that it does not use feed ingredients derived from the

same genus.

Compliant

4.4.1

Indicator: Presence and evidence of traceability and a responsible sourcing policy for the feed manufacturer for feed ingredients which comply with internationally recognized moratoriums and local laws (32)

Requirement: Yes

Applicabil ity: All

Farm has obtained a declaration document (dated March 4, 2021) from a feed company that does not use plant materials from the Amazon Biome region.

The feed company has established a responsible procurement policy for feed raw materials, presents the supplier code of conduct to raw material suppliers, and guarantees procurement in accordance with the grain

cultivation suspension order approved by obtaining consent and local laws and regulations.

Compliant

4.4.2

Indicator: Documentation of the use of transgenic (33) plant raw materials, or raw materials derived from genetically modified plants, in the feed

Requirement: Yes

Applicabil ity: All

A feed company has issued a declaration (dated March 4, 2021) that plant-derived feed ingredients are genetically modified and unclassified. The only crop raw materials that feed companies can procure are genetically

modified and indiscriminate.Compliant

4.4.3

Indicator: Percent of non-marine ingredients from sources certified by an ISEAL Member’s certification scheme that addresses environmental and social sustainability

Requirement: 80% for soy and palm oil within 5 years following the date of the publication of the of the Seabass, Seabream & Meagre standard v1.1

Applicabil ity: All

For ASC feed produced by feed companies, all soybeans or soybean extracts used were certified at the Responsible Soybean Roundtable (RTRS). The Audit team confirmed the pledge issued by the feed company (dated

March 4, 2021).

The feed company also publishes the same information on its website.

Compliant

4.5.1

Indicator: Evidence that non-biological waste (including net pens) from grow-out site is either disposed of properly or recycled

Requirement: Yes

Applicabil ity: All

Farm complies with the Ministry of the Environment's "Fishery Waste Disposal Guidelines". In addition, the "Urata Fisheries Aquaculture Management Procedure Manual" has been prepared. Of the procedure manual, 6-5

“Management of used materials and equipment” (4) stipulates the handling of waste.

Currently there is no recyclable waste in the area.

We confirmed the manifest when processing fishing gear materials such as shading nets and ropes, and flexible container bags (July 20, 2019).

The durability of the float is more than 10 years and the frequency of disposal is extremely low. Paper bags and flexible container bags for feed are collected by feed sales companies and properly processed.

Compliant

4.5.2

Indicator: Evidence of appropriate storage and/or disposal of biological waste

Requirement: Yes

Applicabil ity: All

"Urata Fisheries Aquaculture Management Procedure Manual" has been prepared. In the procedure manual, 6-3 “Feeding management” (4) stipulates the handling of biological waste.

Dead fish are stored in a freezer, collected by the Kumamoto Prefecture Seawater Aquaculture Fisheries Cooperative, and sold as fertilizer raw materials together with processing residues. The Audit team confirmed the

sales contract (contracted on December 1, 1945, automatically renewed every year). The Audit team confirmed the results report for the first year of Reiwa (dated June 11, 2nd year of Reiwa).

Compliant

4.5.3

Indicator: Evidence of appropriate storage and/or disposal of chemical and hydrocarbon wastes

Requirement: Yes

Applicabil ity: All

Farm includes hydrogen peroxide (SDS dated November 25, 2020), antifouling agent (SDS dated May 19, 2020), marine paint (SDS dated June 18, 2018), vaccine (June 2, 2020). Date SDS) is stored in a locked

warehouse. The Audit team reviewed purchase records, storage records and SDS.

All chemicals are used up and never discarded.

Compliant

4.5.4

Indicator: Spill prevention and response plan for chemicals/hydrocarbons originating from farming operations

Requirement: Yes

Applicabil ity: All

The Audit team confirmed the inspection records of each machine to prevent the outflow of fuel and oil. In addition, the procedure for dealing with the outflow was confirmed. These procedures are described in Management

Procedure Manual 6-4 “Management of Workboats and Aquaculture Machines” ① (1) and “Equipment / Equipment” (5).

Farm uses outboard motors and cranes on ships, onshore cranes and forklifts. Farm will check for any abnormalities before use. The Audit team confirmed self-inspection records (such as the week of March 8, 2021).

Farm conducts legal inspections. The farm is briefly inspected by a forklift truck once a month. Since the crane weighs less than 3 tons, there is no legal inspection, but it is inspected by the ironworks.

The Audit team confirmed the description on April 12, 2020 in the fishing ground environment self-record. The hygiene management of the equipment is recorded, and the presence / absence check for abnormalities is

recorded. There is a daily inspection record from April 1st. If any anomalies are found, they will be repaired the same day.

The Audit team confirmed the registration slips for the two powered fishing vessels. The ship is docked and inspected twice a year. Legal inspections (verification every 5 years) are also carried out. The Audit team

confirmed the ship bottom paint usage management record. The paint was used on June 21st and July 3rd, 2020.

Compliant

4.5.5

Indicator: For any farm that cleans nets on-land, evidence that net-cleaning sites have effluent treatment (33)

Requirement: Yes

Applicabil ity: All The net is not washed on land. It has been washed at sea.

N/A

The net is not washed on land. It has been washed at sea.

4.6.1

Indicator: Presence of an energy use assessment verifying the energy consumption on the farm and representing the production cycle, as outlined in Appendix 3 of the Seabass, Seabream & Meagre Standard v.1.1

Requirement: Within two years of the initial audit (measured in kilojoule/t fish/production cycle)

Applicabil ity: All

The Audit team confirmed the Excel calculation sheet of "ASC GHG calculation record".

Farm uses light oil, heavy fuel oil A, gasoline and electricity. Emissions per unit were calculated from the shipments of Madai from January 2020 to December 2020, using the emission intensity database of the Ministry of

the Environment, which aggregated the usage for the past year. It was 3601.5KJ / t / year. The shipment volume of red sea bream was 697 tons. Since red sea bream for 3 years (1 year old, 2 years old, 3 years old, 3

production cycles) is cultivated in 1 year, the total energy consumption for 1 year corresponds to 1 production cycle.

Compliant

4.6.2

Indicator: Records of greenhouse gas (GHG (34)) emissions (35) on farm and evidence of an annual GHG assessment, as outlined in the Appendix of the Seabass, Seabream & Meagre standard v1.1

Requirement: Yes, within two years of the initial audit

Applicabil ity: All

The Audit team confirmed GHG emissions records. As a result of calculating the estimated value from the above, it was confirmed that it was 259.0 t-CO2 / year. Compliant

4.6.3

Indicator: Documentation of GHG emissions of the feed (36) used during the previous production cycle reported to ASC, as outlined in the Appendix of the Seabass, Seabream & Meagre standard v1.1

Requirement: Yes, within three years of the initial audit

Applicabil ity: All The feed company provided GIG emission data per kg of feed. It was 1154 kg-CO2 / feed t.

Compliant

4.6.4

Indicator: Evidence of a documented strategy to reduce GHG per unit of production (measured in kilojoule/t fish produced)

Requirement: Yes, within three years of the initial audit

Applicabil ity: All

The activity plan for GHG reduction is described in 10-6 "Efforts to reduce greenhouse gases" in the "Urata Aquaculture Management Procedure Manual". Farm is considering improving the efficiency of energy use by

improving the transportation efficiency of live fish vessels by increasing the size of the vessel by 2025, and by introducing a new automatic feeding vessel to improve the feeding efficiency. A large ship was introduced in

October 2020.

Compliant

5.1.1

Indicator: Evidence of a veterinary approved Fish Health Management Plan (FHMP) (37)

Requirement: Yes

Applicabil ity: All

There is a "red sea bream farming health management plan". The health management plan was confirmed and approved in detail by a fish epidemic officer at the Kumamoto Prefectural Fisheries Research Center. The fish

quarantine officer was determined to have the same expertise as a veterinarian in the aquaculture business. The fish epidemic has narrowed the health care plan to more relevant information for the target fishing grounds.

When accepting seedlings, the health condition is visually confirmed. The health condition has been confirmed by using hydrogen peroxide solution when moving the cage and visually when feeding. No vaccine is used.

Compliant

5.1.2

Indicator: Farm maintains a fish health management record keeping system

Requirement: Yes

Applicabil ity: All

There is a "feeding diary". Records such as the number of dead fish and the implementation of drug baths are kept as daily reports. In addition, test records of samples are also kept. The Audit team confirmed the results

of the fish disease diagnosis conducted at the Kumamoto Prefectural Fisheries Research Center (Reiwa 2 April 23). With the newly introduced daily report recording system (software), Farm can also record illnesses and

medications.

Compliant

5.2.1

Indicator: Use of therapeutic treatments that are listed as critically important for human medicine by the World Health Organization (38, 39)


Applicabil ity: All

WHO's policy is not to use "very important antibiotics". The Audit team confirmed that the WHO list "Medically Important Antimicrobials" is kept as a list. Compliant

5.2.2

Indicator: Prophylactic use of chemical antimicrobial treatments.


Applicabil ity: All

No prophylactic chemical or antibacterial treatment is used.

Compliant

5.2.3

Indicator: The farm shall document (40)all chemicals (41) and therapeutants used during the most recent production cycle

Requirement: Yes

Applicabil ity: All

Fish guard (hydrogen peroxide solution) may be used as a countermeasure against Hadamushi and Eramushi. There was a record of use in 2020. Farm has not been used in 2021. The Audit team confirmed the drug

inventory record.

Farm hasn't used antibiotics for about seven years.

Compliant

5.2.4

Indicator: Number of anti-parasiticide treatments (42) allowed

over the most recent production cycle, including the hatchery

Requirement: 1

Applicabil ity: All

Farm does not use any anthelmintic drugs other than hydrogen peroxide solution (marine sour, fish guard). No anthelmintic drug is used even when it is a fry. The Audit team confirmed the seedling history certificate and

feeding diary.Compliant

5.2.5

Indicator: Number of treatments (43) of antibiotics over the most recent production cycle, including the hatchery

Requirement: ≤ 3

Applicabil ity: All

No antibiotics are used in this farm. However, seed company A is using antibiotics. The number of uses is stated on the seedling history certificate. Depending on the situation, it may be used more than 4 times.

Since the amount of antibiotics used is determined by the total body weight of the fish, the amount of antibiotics used during the fry period is extremely low.

The Audit team submitted a VR (special application) to confirm whether the number of uses during the fry period is allowed.

VR0454_Seabass, _Seabream_and_Meagre _v.1.1_5.2.5

30-03-2021

Minor

VR (special application) was submitted to see if the number of uses during the fry period was approved. VR0454_Seabass, _Seabream_and_Meagre _v.1.1_5.2.5 30-03-2021

18/03/2021 17/06/2021 VR0454_Seabass,_Seabream_and_Meagre _v.1.1_5.2.530-03-2021

Open

5.3.1

Indicator: All recovered mortalities are removed and disposed of in a responsible manner

Requirement: Yes

Applicabil ity: All

Documents were documented on how to remove and dispose of dead fish. It was confirmed that it was included in the aquaculture management procedure manual and health management plan.

Dead fish are stored in a freezer and are collected by the Kumamoto Prefecture Seawater Aquaculture Fisheries Cooperative and sold as fertilizer raw materials together with processing residues. Confirmed the sales

contract (contract on December 1, 1st year of Reiwa, automatically renewed every year). Confirmed the results report for the first year of Reiwa (dated June 11, 2nd year of Reiwa).

Compliant

5.3.2

Indicator: Classification of mortalities

Requirement: All recovered mortalities are recorded and classified by cause of death

Applicabil ity: All

I have a health care plan. The procedure for cause of death analysis was documented.

How to deal with dead fish was described in 3-5 of the aquaculture management procedure manual.

The recovered dead fish are recorded in the feeding diary and classified according to the cause of death. After the introduction of the daily report recording system (software), it is recorded by this system.

If a different number of dead individuals is confirmed, such as significantly exceeding the number of deaths during normal times, a sample will be sent to the Kumamoto Prefectural Fisheries Research Center for diagnosis.

The Audit team confirmed the results of the fish disease diagnosis conducted at the Kumamoto Prefectural Fisheries Research Center (Reiwa 2 April 23).

Compliant

5.3.3

Indicator: When unexplained mortalities exceed ≥0.5% / per day, samples are submitted for analysis by a veterinarian or designated fish health expert

Requirement: Yes

Applicabil ity: All

I have a health care plan. The procedure for cause of death analysis was documented.

3-5 (7) of the aquaculture management procedure manual described the method of fish disease inspection when the mortality rate of unknown cause exceeds 0.5% per day. Until now, such a situation has never occurred.Compliant

5.3.4

Indicator: Evidence of a farm specific mortalities reduction program that includes defined annual targets for reductions in mortalities and reductions in unexplained mortalities

Requirement: Yes

Applicabil ity: All

The current mortality rate is less than 5%, and there is no way to reduce it any further, so the policy is to maintain the current method. The Audit team confirmed the aquaculture management procedure manual. In the

unlikely event of a mass death, Farm will consider measures to prevent recurrence.Compliant

6.1.1

Indicator: Evidence that workers have access to trade unions (if they

exist) and union representative(s) chosen by themselves without

managerial interference

Requirement: Yes

Applicability: All

Not applicable because there is no labor union. The Audit team confirmed to the president that Urata Fisheries has six employees and it is possible to elect a worker representative. N/ANot applicable because there is no labor union. The Audit team

confirmed to the president that Urata Fisheries has six employees

and it is possible to elect a worker representative.

6.1.2

Indicator: Evidence that workers are free to form organizations,

including unions, to advocate for and protect their rights

Requirement: Yes

Applicability: All

The right to organize, the right to collective bargaining, and the right to collective bargaining are guaranteed by Article 28 of the Constitution of Japan. The Audit team also confirmed that it is specified in Article 45

(Employee Rights) 1 of the rules of employment.Compliant

6.1.3


collectively for their rights

Requirement: Yes

Applicability: All

The right to organize, the right to collective bargaining, and the right to collective bargaining are guaranteed by Article 28 of the Constitution of Japan. The Audit team also confirmed that it is specified in Article 45

(Employee Rights) 3 of the Work Regulations.Compliant

6.2.1

Indicator: Number of incidences of child (44) labour (45)

Requirement: None

Applicability: All, There are two possible exceptions:

- in developing countries where the legal minimum age may be set to

14 years or

- in countries where the legal minimum age is set higher than 15 years,

in which case the legal minimum age of the country is followed.

Farm does not engage in child labor. The youngest employee was 27 years old.

Article 56 of the Labor Standards Act stipulates that "employers shall not use this until the end of the first March 31st after the day when the child reaches the age of fifteen." The Labor Standards Law is complied with. All

the laws are published on the website, so you can always check them on the website.

Farm confirms the age with a resume or driver's license at the time of hiring.

No workers believed to be under the age of 15 were found in the farm.

The Audit team also confirmed in stakeholder interviews that child labor did not occur.

Compliant

6.2.2

Indicator: Percentage of young workers (46) that are protected (47)

Requirement: 100%

Applicability: All

Farm basically does not hire a part-time job, but sometimes hires a part-time job of a high school student who I know during the summer vacation. The part-time job will perform auxiliary work on board and will not perform

dangerous work.

The daily travel time is less than 10 minutes one way, the total working hours are 8 to 8 and a half hours a day, and there is no school hours during the summer vacation. Therefore, the total working hours do not exceed 10

hours. The salary is paid including 15 hours of overtime in advance.

Since September 2019, all working days have been recorded in the attendance management table. Overtime was limited, not exceeding 15 hours a month, and it was confirmed that the reason was recorded on the day of

occurrence.

Compliant

6.3.1

Indicator: Number of incidences of forced (48), bonded (49) or

compulsory labour

Requirement: None

Applicability: All

Forced labor and slave labor are not carried out. The Audit team confirmed that Article 45-4 of the rules of employment contained provisions prohibiting these.

Employment contracts have been signed for all employees. The Audit team confirmed that the employment contract did not include any liability for workers.

Employees are free to leave the workplace.

Farm has a copy of the driver's license and other qualifications, not the original.

Employees are not detained by depositing property or borrowing from Farm.

No such evidence was found in field reviews and employee interviews.

Compliant

6.4.1

Indicator: Evidence of comprehensive (50) and proactive anti-


Requirement: Yes

Applicability: All

The Audit team confirmed that Article 45, 5, 7, and 9 of the rules of employment describe a policy prohibiting discrimination and procedures for resolving complaints from employees. An opinion box has been set up in the

office to solicit opinions comprehensively and positively. How to deal with complaints is also defined. So far, there have been no complaints of discrimination.

Although it was planned to attend an external training session on discrimination in 2020, Farm could not attend due to the effects of the new coronavirus. On March 3, 2021, all Farm employees watched the open class

VTR (Diversity & Inclusion) on the Internet as an internal workshop. The Audit team confirmed the minutes of the viewing.

Compliant

6.4.2


Requirement: None

Applicability: All

No discrimination has occurred. No such evidence was found in field reviews or employee interviews.

Compliant

6.5.1


practices, procedures (51) and policies on a yearly basis

Requirement: 100%

Applicability: All

A farming work procedure manual and a business continuity strengthening plan have been prepared. The business continuity strengthening plan includes an evacuation plan in the event of a typhoon. At the time of

evacuation, they are supposed to evacuate to the evacuation site in the area where they live. Farm has a telephone and SNS contact network.

Farm posts emergency contact information (phone numbers). There is no danger of a tsunami, but in the unlikely event that you evacuate to the ship.

Every year everyone undergoes a medical examination. Farm has a general meeting about three times a year, so there is a policy to talk about safety and health and keep records at that time.

However, the procedure for health and safety was not documented, so it is a minor nonconformity.

Minorhe procedure for health and safety was not documented, so it is a minor nonconformity.

18/03/2021 17/06/2021 After determination that the farm will be audited by the ASC, the farm created a farming work procedure manual and a business continuity strengthening plan while confirming the ASC standards. Farm has established dangerous points, evaluation of dangerous work and preventive measures (wearing gloves, goggles, helmets, etc.), education and training for employees, evacuation routes in the event of a disaster, and a contact network.Farm had attached a list of preventive measures for dangerous work to the equipment hygiene management record, but the detailed procedure manual had not been documented.Farm decided on health and safety practices and created a record sheet, but could not establish a "procedure that would be implemented in the same way no matter who was in charge". Farm had an inadequate mechanism for creating and managing procedure.

Farm has reviewed the items that ASC reviewers should include in the procedure.Farm added "net dyeing work" to the work procedure manual and added and documented the items of preventive measures for those work regarding the health and safety implementation items pointed out this NC.In addition, comprehensive work procedures related to health and safety other than net dyeing are included in the aquaculture management procedure manual. (Aquaculture management procedure manual ver.1.0: Section 9 "Confirmation of implementation of procedure manual", Section 10.1 "Management of workers and working environment", Section 10.3 "Emergency response")

Farm will manage the documentation of health and safety management in the following system.- Assign a person in charge of health and safety management.- Regularly check the version of ASC Standard from the viewpoint of whether the procedure manual needs to be revised.- Establish rules for creating procedure manuals for future health and safety management, and the person in charge will collect on-site opinions and cases of hiyari hats, and revise and operate the procedure manuals as necessary.- Establish rules for reviewing the procedure manual to reflect revisions to laws and ordinances related to health and safety.

The Audit Team has determined that root cause analysis (RCA) and correction (C) are valid. Corrective action (CA) has been approved as the current response, and future corrective action (Action Plan) has been approved.Whether or not the corrective measures are actually being operated properly will be canceled when Farm submits the operation record by the next audit and the Audit Team can confirm the operation results.

6.5.2

Indicator: Evidence that workers use Personal Protective Equipment

(PPE) effectively

Requirement: Yes

Applicability: All

The standards for wearing safety equipment are displayed on the back cover of the attendance management table that you see every day.

Currently, life jackets and helmets (when using hoists, forklist, and unic) are used. Safety equipment (armor) necessary for business is provided by the company.

The antifouling agent dyeing net is carried out in an open warehouse, but because it contains organic solvents, gas masks and goggles are worn during work.

Farm checks the installation and expiration date of fire extinguishers for fishing boats once a year using the fire extinguisher management table.

The Audit team also confirmed that the employees were using the necessary safety equipment during the field audit.

Compliant

6.5.3



Requirement: Yes

Applicability: All

Farm conducted safety and health training, read through work procedure manuals, and discussed potential hazards. The Audit team confirmed the minutes of the Health and Safety Training on March 3, 2021.

Every year everyone undergoes a medical examination.Compliant

6.5.4

Indicator: Evidence that all health- and safety-related accidents and

violations are recorded and corrective actions are taken when

necessary

Requirement: Yes

Applicability: All

There are records of occupational accidents that occurred in 2015. Records are kept at the outsourced Social Insurance Labor and Social Security Attorney's office.

No industrial accidents have occurred since then.Compliant

6.5.5


insurance (accident or injury) for 100% of worker costs in a job-related

accident or injury when not covered under national law

Requirement: Yes

Applicability: All

All employees have workers' accident compensation insurance. Workers'accident compensation insurance is a national system, and the Workers' Accident Compensation Insurance Law stipulates that establishments that

employ even one employee must take out workers' accident compensation insurance.

The Audit team confirmed the insurance record. There is a labor insurance delivery notice and a record of premium payments. The Audit team confirmed the record of having insurance for part-time jobs.

Compliant

6.5.6

Indicator: Evidence that all diving operations are conducted in a

manner that protects the health and safety of divers

(52)

Requirement: Yes

Applicability: All

Farm outsources diving to drive cages and wash nets. The necessary diving work is outsourced to specialized divers. A copy of the diver's license under the Industrial Safety and Health Act was kept (issued on May 21,

1997).

Urata Fisheries employees do not carry out diving operations.

Compliant

6.6.1

Indicator: The percentage of workers whose basic wage (53) (before

overtime and bonuses) is below the minimum wage (54)


Applicability: All

The minimum wage in Kumamoto Prefecture is 793 yen (revised on October 1, 2020). Since the minimum wage is reviewed every October, the Kumamoto Prefecture Seawater Aquaculture Fisheries Cooperative regularly

faxes members to the members, and Urata Fisheries has received the notification. Farm pays at a salary level above the minimum wage. Part-time jobs are also above the minimum wage. The Audit team confirmed the pay

slips with a sample.

Compliant

6.6.2

Indicator: Evidence that the employer is working toward the payment

of basic needs wage (55)

Requirement: Yes

Applicability: All

Farm used the website of a real estate company to understand the average cost of living in the area (Amakusa City). This average cost is calculated based on various statistical information. Even the minimum wage

exceeds this level. It was confirmed that the salary level of the farm was higher than the living salary (the minimum salary level required for employees to live).Compliant

6.6.3


(56)

Requirement: Yes

Applicability: All

The basic wage is stated in the employment contract. The salary at the time of joining the company is decided by the president and chairman based on age and experience, presented at the company interview, and if

agreed, an employment contract is signed. A Social Security Attorney prepares a pay slip and Farm pays employees in cash. There is a salary increase once a year, and the amount of the regular salary increase is

notified on the salary statement.

The Audit team confirmed the pay slips for February 2020 for all.

In employee interviews, there was no opinion that salary payments were delayed.

Compliant

6.7.1

Indicator: Percentage of workers who have contracts (57)

Requirement: 100%

Applicability: All

Farm has employment contracts with all employees. It did not include fraudulent contract details. It was also confirmed in interviews with managers and employees. Compliant

6.7.2

Indicator: Evidence of a policy to ensure social compliance of its

suppliers and contractors

Requirement: Yes

Applicability: All

It was confirmed that a questionnaire about social compliance was sent to the purchaser and the contractor, and the signature was received. A list of seven business partners was prepared, and a pledge was kept to

guarantee compliance with the norms regarding social responsibility for each business partner. The Audit team confirmed the names, dates and seals of the seven business partner pledges.Compliant

6.8.1

Indicator: Evidence of worker access to effective, fair and confidential

grievance procedures

Requirement: Yes

Applicability: All

Farm has an opinion box.

Article 45-9 of the rules of employment stipulates a grievance system using an opinion box. Farm keeps employee confidentiality, deliberates with officers, conducts interviews as necessary, and seeks guidance from

external specialized agencies such as the Labor Standards Inspection Office to work to resolve the issue. It is a procedure.

Compliant

6.8.2

Indicator: Percentage of grievances handled that are addressed (58)

within a 90-day timeframe

Requirement: 100%

Applicability: All

No complaints have been filed so far. Confirmed in interviews with managers and employees.

If a complaint occurs, it will be dealt with within 90 days. Dealing with complaints is stipulated in Article 45-10 of the rules of employment.Compliant

6.9.1

Indicator: Incidences of excessive or abusive disciplinary actions

Requirement: None

Applicability: All

There was no excessive disciplinary action.

It was confirmed in an interview with the manager and employees.

Compliant

6.9.2

Indicator: Evidence of a functioning disciplinary action policy whose

aim is to improve the worker (59)

Requirement: Yes

Applicability: All

Article 25 of the rules of employment describes the policy of disciplinary action. Article 25 of the rules of employment stipulates that "to guarantee the employment of employees, maintain order in business execution, and

improve and safety employees themselves".

Interviews with managers and employees confirmed that no disciplinary action had taken place so far.

Compliant

6.10.1

Indicator: Incidences, violations or abuse of working hours (60) and

overtime laws

Requirement: None

Applicability: All

Working hours and overtime are stipulated by the Labor Standards Law. The text is published on the website and can be accessed at any time.

The standard working hours are 44 hours a week (closed on Saturdays and another day off every other week). The salary is paid in anticipation of overtime pay of 15 hours.

There are no seasonal labor shifts. The last 10 days of the year is a busy season and there are no holidays.

Since everyone works together, the start and end times are all the same, and those times are recorded in the attendance management table. The Audit team reviewed attendance records and individual shift attendance

tables.

Compliant

6.10.2

Indicator: Overtime is limited, voluntary (61), paid at a premium

rates and restricted to exceptional circumstances

Requirement: Yes

Applicability: All

Since everyone works together, the start and end times are all the same, and those times are recorded in the attendance management table. Basically, there is no overtime work, but overtime work of about 30 minutes to 1

hour may occur during busy times. However, even in that case, it is possible to return without working overtime due to the convenience of each member. The salary is paid in anticipation of 15 hours of overtime per month.

The Audit team checked the attendance management table and confirmed that overtime hours did not actually reach 15 hours a month. Interviews with employees also confirmed that the records in the attendance

management table were consistent with the actual situation.

Compliant

6.11.1

Indicator: Farm employees accommodated on the farm have access to clean, sanitary, safe and suitable living conditions

Requirement: Yes

Applicabil ity: All

No workers live in the farm.

N/A


6.11.2

Indicator: Existence of separate sanitary and toilet facilities for men and women; with the exception of work sites where married couples are working and accommodated together

Requirement: Yes

Applicabil ity: All farms and accommodation and worksites except as permitted exclusions (6.11.2a) No workers live in the farm.

N/A


7.1.1

Indicator: Evidence of regular and meaningful (62) consultation and

engagement with community representatives and organizations

Requirement: Yes

Applicability: All

Urata Fisheries frequently exchanges opinions with local people while attending various meetings where local representatives gather and cooperating in holding local events.

There is a general meeting of the Arashiguchi Fisheries Cooperative. In addition, at the general meeting of the Kumamoto Prefecture Seawater Aquaculture Cooperative, farmers from all over Amakusa will gather. The

minutes of the meeting are kept in each union.

At the Kumamoto Prefecture Seawater Aquaculture Fisheries Cooperative, a board of directors gathering representatives from each district is basically held once a month. In order to prevent the selection of directors from

being biased, the system is such that no one can be appointed as a director unless there are two recommenders.

The Audit team has confirmed the following board records for 2020:

1st (April 21st), 4th (June 24th), 6th (July 21st), 7th (August 25th), 8th (September 24th), 9th (October 22nd), 10th (November 24th)

Farm also participates in meetings of the local Chamber of Commerce. The Audit team confirmed the October 2020 record.

Farm may participate as a lecturer in the fish handling business of the local dietary improvement promotion committee. School teachers and students participate in the fish handling business. There is also a regional

promotion association of the Chamber of Commerce.

Farm provided red sea bream for school lunch at Amakusa City Hall, and the explanation material included a description of aquaculture.

In 2020, there were few events due to the influence of the new coronavirus.

Compliant

7.1.2

Indicator: Presence and evidence of an effective (63) policy and

mechanism for the presentation, treatment and resolution of

complaints by community stakeholders and organizations

Requirement: Yes

Applicability: All

Aquaculture Management Procedures 10-7 has procedures for handling complaints from the community. When a complaint is received, Farm is a procedure in which officers deliberate, interview the complainant as

necessary, consult with a specialized agency, and try to pass it within 90 days.

Farm has never received a complaint from the community. Interviews with community stakeholders did not say that the complaint was filed but not resolved.

Compliant

7.1.3

Indicator: For new farms (64), evidence of engagement and

consultation with surrounding communities about potential social

impacts from the farm.

Requirement: Yes

Applicability: All new farms (see note) There is no new fishing ground.

N/A

There is no new fishing ground.

8.1

Indicator: Presence of documents issued by pertinent authorities

proving compliance with local and national authorities on land and

water use, effluent regulations and use of treatments.

Requirement: Yes

Applicability: All

The Audit team confirmed the permission for seed company A's land use and sea level fishing plots. The fishery rights exercise contract was confirmed (effective on September 20, 2018, valid for 5 years from September 1,

2018 to August 31, 2035).

Seedling company A has onshore facilities, but there are no rules regarding drainage, and local and national regulations and requirements are the same as those of Urata Fisheries and are observed. The drug used is

recorded in the seedling history certificate (artificial hatched red sea bream produced in 2018).

Compliant

8.2

Indicator: New introductions of exotic species from the date of

publication of the Sea Bass/Sea Bream Standard, unless the

hatchery/fingerling facility is a closed production system (65)

Requirement: None

Applicability: All Red sea bream is not an exotic species.

N/A

Red sea bream is not an exotic species.

8.3

Indicator: Allowance for siting in National Protected Areas (66)

Requirement: None (67, 68)

Applicability: All

The Audit team confirmed that no fry production facility was set up in the reserve.

Seedling company A, which is a seedling producer, has obtained permission to set up a seedling production plant from the administration under its jurisdiction, and an affidavit regarding the protection of birds and beasts

that does not hunt and capture birds and beasts has been confirmed (Reiwa). Dated October 31, 2).

National park areas and park plans issued by the Natural Environment Bureau of the Ministry of the Environment are available for seedling production areas. The land is a type 2 special area, and the sea is a normal area. It

was confirmed that the area is not a protected area, although there are restrictions such as the color of the roof regarding the landscape on land.

Compliant

8.4

Indicator: Evidence that the egg and fingerling producer must have an

equivalent or better health status than that of the grow-out facility,

and must follow all national and local (jurisdictional) guidance on

disease management

Requirement: Yes

Applicability: All

There is a fry health management plan created by seedling company A, which is a seedling producer (updated January 22, 3rd year of Reiwa). It was confirmed that it was approved by an expert who is qualified as an

administrative fish epidemic. In addition, the method of confirming the health condition of the fry at the time of shipment is documented as a procedure.

The seedlings of seedling company A were maintained in a health condition equal to or better than that of Urata Fisheries. The health management plan was based on the guidance on fish disease management in the

national and jurisdiction areas.

Compliant

8.5

Indicator: Evidence of disclosure to the grow-out farm of all chemical

and antibiotic treatments on eggs and fry, including the reason for

their use and the quantity used

Requirement: Yes

Applicability: All

The chemicals / antibiotics used by the seedling producer for the fry and the period of use were stated in the seedling history certificate. The name of the disease that was the reason for use was also recorded. In addition,

the usage amount was shared with Urata Fisheries by e-mail separately. The Audit team confirmed the email record.Compliant

8.6

Indicator: Allowance for the use of therapeutic treatments, including

antibiotics or other treatments, that are banned under European

Union (EU) law or listed as critically important for human medicine by

the World Health Organization (69, 70)


Applicability: All

Therapeutic treatments, including antibiotics or other treatments designated as "very important" in the WHO list of human medicines, were checked. As a result, it was confirmed that "therapeutic treatment including the

specified antibiotic or other treatment" was not performed.

A list of drugs banned by EU law was also checked, confirming that they were not being used.

Compliant

8.7

Indicator: Presence of a fish health management plan implemented in

agreement with the facility’s designated veterinarian or fish health

specialist

Requirement: Yes

Applicability: All

There is a fry health management plan created by seedling company A, which is a seedling producer (updated January 22, 3rd year of Reiwa). It was confirmed that it was approved by an expert who is qualified as an

administrative fish epidemic. In addition, the method of confirming the health condition of the fry at the time of shipment is also documented as a procedure.Compliant

8.8

Indicator: Evidence of company-level policies and procedures that

demonstrate the company's commitment to each of the 8 key ILO

labour issues described in Principle 6

Requirement: Yes

Applicability: All

It was confirmed that the seed company A was in compliance with the work regulations and the eight ILO core standards. The Audit team confirmed the "Pledge on Social Code of Conduct (September 25, 2nd year of

Reiwa)" issued by the company. The pledge stipulates commitments to legal compliance, freedom of association, child labor, forced labor, discrimination, harassment, providing a healthy working environment, and legal

compliance with working hours and wages. It had been.

Compliant

8.9

Indicator: Evidence of regular communication, engagement and

consultation with surrounding communities

Requirement: Yes

Applicability: All

Seedling company A confirmed that it regularly exchanged information with the local community through participation in meetings attended by local representatives and events attended by local residents.

As an example, a record of seed company A attending the 8th Ordinary General Meeting of Fisheries Cooperatives in the region was confirmed (June 6, 2019).

In addition, the record of participating in the annual general meeting of members of the product promotion association of the municipality where the seed company A is located was confirmed (June 20, 2019). Seedling

company A cooperates with events at antenna shops and has contributed to the revitalization of local communities. Seedling company A participated in the planning, preparation and management of regional events in 2020

as well, but due to the influence of the new coronavirus, regional events were not held.

Compliant


Corresponds to ASC Seabass, Seabream & Meagre standard version 1.1

Indicator No 2.1.1a 2.1.1b 2.1.2a 2.1.2b 2.1.2c 2.1.2d 2.1.2e 2.1.4 5.2.1 5.2.2 5.2.4 5.2.5Impact Category Benthic Benthic Benthic Benthic Benthic Benthic Benthic Benthic Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants

Indicator Text

Redox potential in sediment in millivolts (mV) immediately outside of the Allowable Zone of Effect

(AZE) attributed to farm operations

Total ‘free’ sulphide levels in sediment in micromoles / l

immediately outside of the Allowable Zone of Effect (AZE) attributed to

farm operations



Benthic Quality Index (BQI)

Infaunal Trophic Index (ITI)

BENTIX Evidence that copper levels are < 34 mg Cu/kg dry sediment weight

Use of therapeutic treatments that are listed as critically important for human

medicine by the World Health Organization

Prophylactic use of antimicrobial treatments

Number of anti-parasiticide treatments allowed over the most recent production cycle, including

the hatchery

Number of treatments of antibiotics over the most recent production

cycle, including the hatchery


0.00 0.00 0.00

8.60 4.2.1a 4.2.1b 4.2.1c 4.2.1d 4.2.1e 4.2.1f 4.2.1g 4.2.1h 4.2.2a 4.2.2bChemicals/therapeutants Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed

Allowance for the use of therapeutic treatments, including antibiotics or other

treatments, that are banned under European Union (EU) law or listed as

critically important for human medicine by the World Health Organization

Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out

(calculated using formulas in Appendix 2) for Dicentrarchus labrax and

Sparusaurata


(calculated using formulas in Appendix 2) for Argyrosomus regius


(calculated using formulas in Appendix 2) for Argyrosomus regius (3 Years)


(calculated using formulas in Appendix 2) for Argyrosomus regius (6 Years)

Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in Appendix 2) for Pagrus major


(calculated using formulas in Appendix 2) for Pagrus major (3 Years)


(calculated using formulas in Appendix 2) for Pagrus major (6 Years)

Fish Oil Forage Fish Dependency Ratio (FFDRo) for

grow-out (calculated using formulas in Appendix 2) for all

species

Fish Oil Forage Fish Dependency Ratio (FFDRo) for

grow-out (calculated using formulas in Appendix 2) for all

species (3 years)

Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in

Appendix 2) for all species (6 years)

0.00 1.58 0.03

4.3.2 4.3.3 4.3.4 3.3.3 3.3.4 8.30 2.2.1 2.2.2 2.3.2 2.3.3 2.4.2Feed Feed Feed Mortality/survival/escapes Mortality/survival/escapes Other Water Quality Water Quality Wildlife interactions Wildlife interactions Wildlife interactions

Prior to achieving 4.3.1, the fishmeal or fish oil used in feed must have a

FishSource score stock health score of 6.0 or higher or show evidence of being engaged in a credible and time bound

fisheries improver project

Feed containing fishmeal and/or fish oil originating from by-products or trimmings from fish species which are categorized as

vulnerable, endangered or critically endangered, according to the IUCN Red

List of Threatened Species

Feed ingredients which come from other fish from the same genus

Total amount of known escapes allowed per production cycle

Total amount of unexplained loss per production cycle

Allowance for siting in National Protected Areas

Weekly average percent saturation of dissolved oxygen (DO) on farm

Maximum percentage of weekly samples from 2.2.2

that fall under 2 mg/litre DO

Allowance for the farm to be sited in a protected area or High Conservation

Value Areas

Allowance for the farm to be sited closer than 500 meters to a seagrass meadow(s) measure from the edge of

the AZE. Give the distance here

Number of mortalities of endangered or red-listed animals in the farm lease area and adjacent areas due to farm operations, personnel or associates

over the previous 2 years

0.00 0.00 0.00 0.00 0.00 0.00 0.00

3.2.1 8.20 6.2.1 6.3.1 6.4.2 6.6.1 6.9.1 6.10.1 6.2.2 6.5.1 6.7.1 6.8.2Wildlife interactions Wildlife interactions Social Social Social Social Social Social Social Social Social Social

Culture of transgenic fish New introductions of exotic species from the date of publication of the ASC

Seabass, Seabream, and Meagre Standard, unless the

hatchery/fingerling facility is a closed production system


Number of incidences of forced, bonded orcompulsory labour


The percentage of workers whose basic

wage(before overtime and bonuses) is below the

minimum wage

Incidences of excessive or abusive

disciplinaryactions

Incidences, violations or abuse of workinghours and overtime

laws


protected

Percentage of workers trained in health and

safety practices, procedures and policies

on a yearly basis

Percentage of workers who have contracts

Percentage of grievances handled

that areaddressed within a 90-

day timeframe

0.00 0.00 0 0 0 0 0 0 100 100 100 100




NC Code (CAB)

Indicator Number


Description, justification and conclusion for the evaluation decision



(List site ID's)


(List site ID's)




submitted VRVR used

Q&A submitted/



outNotes

3.3.2

Indicator: The farm shall count all fish at every stocking, grading and harvest event with a counting accuracy of ≥98%

Requirement: Yes

Applicability: All

At the time of live-in, the number of individuals is measured by a seedling trader with a sensor camera. The error accuracy of the machine has been confirmed. At the time of feeding, all fish are counted one by one (10 fish each at one counter, etc.). At the time of shipment, each fish is put in a basket and put in a temporary cage of the union. The number of fish is double-checked because the union counts again during processing.

Since all the seedlings introduced in 2016 were shipped, we checked the receipt and shipment. The number of individuals is recorded by carefully counting them at the time of livelihood, selection, and harvesting. However, at the beginning, there was no mechanism to accurately record the number of dead fish, so it was not verified whether the counting accuracy was 98% or more. Currently, with the introduction of the daily report system, the number of dead fish is recorded. It is also necessary to confirm the counting accuracy of seed and seedling vendors. At the moment, the counting accuracy has not been verified, so it is considered as a minor nonconformity. [Minor Non-Conformity]

Minor

Since there is no record that has been verified whether the counting accuracy has an error of 98% or more, it is considered as a minor nonconformity.

18/03/2021 0-Jan-00 0-Jan-00 17/06/2021 0-Jan-00 0 0 0 0 0

Until the Farm worked on ASC (until the fry introduced in 2016), the mechanism for accurately recording dead fish was inadequate, so there was a lack of material to verify whether the counting accuracy was 98% or more.It was not a serious business problem until the farm worked on ASC audit. Probably because the counting accuracy was maintained above a certain level. However, due to insufficient awareness of counting accuracy among employees, reliable recording of the number of fish population, and a mechanism for verifying it, this kind of nonconformity was occurred.

Farm examined the 2016 seedlings introduced without

counting dead fish. As a result, the counting

accuracy was 98% or more.Farm has recorded all dead fish in its daily report since the seedlings introduced in

2017.Farm was scheduled to

complete shipment of the seedlings school introduced in 2017 by December 2020, and to complete verification

of this item by the ASC initial audit date (March

2021). However, due to the spread of the COVID-19 infection, the shipment

volume decreased and the landing was not completed, so it could not be verified.

The end of landing is scheduled around August 2021, and the verification results will be reported

promptly thereafter.

Due to the introduction of the daily report system, all dead

fish are recorded.From now on, with the

completion of landing around August 2021, it will be verified

whether the counting accuracy is 98% or more from

the fry introduced in 2017. Farm will implement the

following corrective actions and submit these

implementation records to the Audit Team by the next

review. ・ Education and training for

employees ・ Maintenance of daily report

system ・ Verify the number of introduced fish and the

number of landed fish after shipping all the products.

The Audit Team has determined that root cause

analysis (RCA) and correction (C) are valid. Corrective action

(CA) has been approved as the current response, and future corrective action (Action Plan) has been

approved.Whether or not the corrective measures are actually being

operated properly will be canceled when Farm submits the operation record by the

next audit and the Audit Team can confirm the operation

results.

0-Jan-00 0-Jan-00 0

5.2.5

Indicator: Number of treatments (43) of antibiotics over the most recent production cycle, including the hatchery

Requirement: ≤ 3

Applicability: All

No antibiotics are used in this farm. However, seed company A is using antibiotics. The number of uses is stated on the seedling history certificate. Depending on the situation, it may be used more than 4 times.Since the amount of antibiotics used is determined by the total body weight of the fish, the amount of antibiotics used during the fry period is extremely low.The Audit team submitted a VR (special application) to confirm whether the number of uses during the fry period is allowed.

VR0454_Seabass, _Seabream_and_Meagre _v.1.1_5.2.530-03-2021

Minor

VR (special application) was submitted to see if the number of uses during the fry period was approved. VR0454_Seabass, _Seabream_and_Meagre _v.1.1_5.2.5 30-03-2021

18/03/2021 0-Jan-00 0-Jan-00 17/06/2021 0-Jan-00 0VR0454_Seabass,_Seabream_and_

Meagre _v.1.1_5.2.530-03-2021

Open 0 0 0 0-Jan-00 0-Jan-00 0-Jan-00 0-Jan-00 0-Jan-00 0

6.5.1

Indicator: Percentage of workers trained in health and safety practices, procedures (51) and policies on a yearly basis

Requirement: 100%

Applicability: All

A farming work procedure manual and a business continuity strengthening plan have been prepared. The business continuity strengthening plan includes an evacuation plan in the event of a typhoon. At the time of evacuation, they are supposed to evacuate to the evacuation site in the area where they live. Farm has a telephone and SNS contact network.Farm posts emergency contact information (phone numbers). There is no danger of a tsunami, but in the unlikely event that you evacuate to the ship.Every year everyone undergoes a medical examination. Farm has a general meeting about three times a year, so there is a policy to talk about safety and health and keep records at that time.

However, the procedure for health and safety was not documented, so it is a minor nonconformity.

Minorhe procedure for health and safety was not documented, so it is a minor nonconformity.

18/03/2021 0-Jan-00 0-Jan-00 17/06/2021 0-Jan-00 0 0 0 0 0

After determination that the farm will be audited by the ASC, the farm created a farming work procedure manual and a business continuity strengthening plan while confirming the ASC standards. Farm has established dangerous points, evaluation of dangerous work and preventive measures (wearing gloves, goggles, helmets, etc.), education and training for employees, evacuation routes in the event of a disaster, and a contact network.Farm had attached a list of preventive measures for dangerous work to the equipment hygiene management record, but the detailed procedure manual had not been documented.Farm decided on health and safety practices and created a record sheet, but could not establish a

Farm has reviewed the items that ASC reviewers

should include in the procedure.

Farm added "net dyeing work" to the work

procedure manual and added and documented the items of preventive measures for those work regarding the

health and safety implementation items pointed out this NC.

In addition, comprehensive work procedures related to health and safety other than net dyeing are included in

the aquaculture management procedure manual. (Aquaculture

management procedure manual ver.1.0: Section 9

"Confirmation of implementation of procedure

manual", Section 10.1 "Management of workers and working environment", Section 10.3 "Emergency

response")

Farm will manage the documentation of health and safety management in the

following system.- Assign a person in charge of

health and safety management.

- Regularly check the version of ASC Standard from the viewpoint of whether the

procedure manual needs to be revised.

- Establish rules for creating procedure manuals for future

health and safety management, and the person in charge will collect on-site opinions and cases of hiyari hats, and revise and operate the procedure manuals as

necessary.- Establish rules for reviewing

the procedure manual to reflect revisions to laws and ordinances related to health

and safety.

The Audit Team has determined that root cause

analysis (RCA) and correction (C) are valid. Corrective action

(CA) has been approved as the current response, and future corrective action (Action Plan) has been

approved.Whether or not the corrective measures are actually being

operated properly will be canceled when Farm submits the operation record by the

next audit and the Audit Team can confirm the operation

results.

0-Jan-00 0-Jan-00 0

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Freshwater Trout standard version 1.21.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22




Indicator Number



evaluation decision



(List site ID's)


(List site ID's)



NC Status VR submittedStatus of submitted

VRVR used

Q&A submitted/used

Root cause analysis NC correctionNC Corrective



Notes

1.1.1

Indicator: Presence of documents issued by

pertinent authorities indicating compliance with

local and national authorities on land and water

use

Requirement: Yes

Applicability: All

Compliant

1.1.2

Indicator: Presence of documents indicating compliance with tax laws

Requirement: Yes

Applicability: All

Compliant

1.1.3

Indicator: Presence of documents indicating compliance with all labour laws and regulations

Requirement: Yes

Applicability: All

Compliant

1.1.4

Indicator: Presence of documents indicating compliance with regulations or permits concerning water quality impacts, effluent and water abstraction

Requirement: Yes

Applicability: All

Compliant

2.1.1


Requirement: None (6,7)

Applicability: All, An exception is made for protected areas that are classified by the International Union for Conservation of Nature (IUCN) as Category V or VI. These are areas preserved primarily for their landscapes, or areas that include sustainable resource management. Details can be found here: https://www.iucn.org/theme/protected-areas/about/protected-areas-categories .An exception is also made for farms located in protected areas that are designated as such after the farm already was established in that location. In these situations, the farm must demonstrate that its operation is compatible with the objectives of the protected area, and that it is in compliance with any relevant conditions placed on the farm by authorities as a result of the protected designation.

Compliant

2.1.2

Indicator: Conversion of wetlands (8) after 1999


Applicability: All, Exception: Conversion of wetlands for access to water (e.g., canals for inlets and outlets): Converted surface area must be offset by restoration of 100% of the equivalent area of functional wetlands with the same habitat characteristics.

Compliant

2.1.3

Indicator: An assessment of the presence on the farm of species listed on the International Union for Conservation of Nature (IUCN) “Red List of Threatened Species” as vulnerable, near threatened, endangered or critically endangered; an evaluation of the farm’s impact on any such species present; and clearly defined mitigation measures to reduce any negative impacts and allow existence of such species

Requirement: Yes

Applicability: All

Compliant

2.2.1

Indicator: For new farms installed on land after February 2013 (or for significant expansions), minimum buffer zone between the farm and an adjacent water body in which there is no farm infrastructure that might impede wildlife’s access to the water, except for inflow and outflow systems

Requirement: ≥ 15 metres from the water's edge (11)

Applicability: All land-based farms constructed after publication of the ASC Freshwater Trout Standard . An exception is made if the farm can demonstrate through a public third-party scientific analysis that the farm’s structures do not impede animal habitats and corridors and do not present erosion risks.

Compliant

2.3.1

Indicator: New introductions of exotic trout after February 2013, unless in a closed production system (16)

Requirement: None

Applicability: All except closed production systems

Compliant

2.4.1

Indicator: Allowance for the culture of transgenic trout, including the offspring of genetically engineered trout

Requirement: None

Applicability: All

Compliant

2.5.1

Indicator: Evidence of a well-designed, maintained and managed culture system, infrastructure and farm management (25) to minimise escapes during stocking, grow-out, grading and harvest.



Compliant

2.5.2

Indicator: The farm shall count all stocked and harvested fish using a counting technology or counting method with an accuracy of ≥98% (27)

Requirement: Yes

Applicability: All

Compliant

2.5.3

Indicator: All fish in net pens/cages shall also be counted during each grading.

Requirement: Yes


Compliant

2.5.4

Indicator: Number of known escapes and unexplained losses (28) are publicly documented and reported to the relevant authorities as well as to ASC on an annual basis

Requirement: Yes

Applicability: All

Compliant

2.6.1

Indicator: Intentional use of lethal predator control


Applicability: All , except; The Standard permits an exception to the prohibition on lethal action in situations where the farm can provide evidence of an assessment that demonstrates that lethal action against a particular predator is appropriate, necessary and presents no risks to wild populations or ecosystems. This exception does not apply to species that are threatened, endangered or critically endangered. The assessment must come from an EIA or any other credible process of environmental analysis.

Compliant

3.1.1

Indicator: Maximum amount of water that a farm can divert from a natural flowing water body (such as a river or stream)

Requirement: 50% of the natural water body’s flow immediately above the farm (31)

Applicability: All farms utilizing surface water (such as water from a river) . Farms will be exempted from this requirement if they can demonstrate that they are in a jurisdiction that regulates the farm’s water abstraction based on a minimum vital water flow for the natural water body, and the farm’s water use respects that minimum vital flow. Farms would also be exempt if they can demonstrate abstraction amounts respect limits determined by a scientific study that estimates minimum vital flow.

Compliant

3.1.2

Indicator: Demonstration that ≥ 90% abstracted water is returned to the natural water body

Requirement: Yes

Applicability: All farms utilizing surface water (such as water from a river)

Compliant

3.1.3

Indicator: All use of underground pumped water has been permitted by regulatory authorities

Requirement: Yes

Applicability: All farms utilizing groundwater (such as water from a well)

Compliant

3.1.4

Indicator: Well depths are tested at least annually, and results made publicly available (32)

Requirement: Yes

Applicability: All farms utilizing groundwater (such as water from a well)

Compliant

3.2.1

Indicator: Maximum total amount of phosphorus released into the aquatic environment per tonne (t) of fish produced over the previous 12-month period (see methodology in Appendix II of the Freshwater Trout standard v.1.2)

Requirement: 4 kg/t of fish produced

Applicability: All land-based systems

Compliant

3.2.2

Indicator: Minimum oxygen saturation in the outflow, measured monthly (see methodology in Appendix II of the Freshwater Trout standard v.1.2)



Compliant

3.2.3

Indicator: Macro invertebrate surveys downstream from the farm’s effluent discharge demonstrate benthic health that is similar to or better than surveys upstream from the discharge (see methodology in Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes


Compliant

3.2.4

Indicator: Evidence of implementation of biosolids (sludge); Best Management Practices (BMPs) (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes


Compliant

3.2.5

Indicator: Water-quality monitoring matrix completed and submitted to ASC (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes


Compliant

3.3.1

Indicator: For cages located on water bodies with a surface area less than 1,000 km2, evidence that farm production levels reflect the results of an assimilative capacity study (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes

Applicability: Cage-based systems operating on

Compliant

3.3.2

Indicator: For cages located on water bodies with a surface area of 1,000 km2 or greater, evidence that cages are located at sites that are classified as “Type 3” sites, as defined in Appendix II of the Freshwater Trout standard v.1.2

Requirement: Yes

Applicability: Cage-based systems operating on water bodies with a surface area ≥ 1000 km2

Compliant

3.3.3

Indicator: Water quality monitoring matrix completed (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes

Applicability: All cage-based systems

Compliant

3.3.4

Indicator: Maximum baseline total phosphorus concentration of the water body (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: ≤ 20 µg/l (34)


Compliant

3.3.5

Indicator: Minimum per cent oxygen saturation of water 50 centimetres above bottom sediment (at all oxygen monitoring locations described in Appendix II of the Freshwater Trout standard v.1.2)



Compliant

3.3.6

Indicator: Trophic status classification of water body remains unchanged from baseline (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: Yes


Compliant

3.3.7

Indicator: Maximum allowed increase in total phosphorus concentration in lake from baseline

Requirement: 25% for water bodies with a surface area of less than 1,000 km2

15% for water bodies with a surface area of 1,000 km2 or greater

Applicability: All cage-based systems as specified according to size of water body in which the farm operates

Compliant

3.3.8

Indicator: Maximum total amount of phosphorus released into the environment per metric ton (t) of fish produced over the previous 12-month period (see Appendix II of the Freshwater Trout standard v.1.2)

Requirement: 4 kg/t of fish produced


Compliant

3.3.9

Indicator: Allowance for use of permanent

aeration systems or other technological means to

increase oxygen levels in the water body

Requirement: None


Compliant

4.1.1

Indicator: Evidence of an implementation of a site-specific farm health plan that is reviewed at least annually and addresses, as a minimum, biosecurity, veterinary health and crisis management.

Requirement: Yes

Applicability: All

Compliant

4.1.2

Indicator: All fish, at all stages in the life cycle, are sourced from a supply that is of equal or better health status than its own stock

Requirement: Yes

Applicability: All

Compliant

4.1.3

Indicator: All fish that are moved off site, at all stages in the life cycle, are moved to a location of equal or lesser health status

Requirement: Yes

Applicability: All

Compliant

4.1.4

Indicator: Site access, disinfection and hygiene protocols are implemented and annually reviewed

Requirement: Yes

Applicability: All

Compliant

4.1.5

Indicator: Bio-secure disposal of all mortalities and fish trimmings

Requirement: Yes

Applicability: All

Compliant

4.1.6

Indicator: Immediate investigation of all mortality events on site and, in instances where mortality remains unexplained or unattributed, further investigation with fish health professionals off site

Requirement: Yes

Applicability: All

Compliant

4.1.7

Indicator: Minimum frequency of inspection of the farm by a designated veterinarian (37) who is specialized in aquatic animal health. The inspection must review the farm health plan

Requirement: ≥ 1 inspection per year, at a time when the site is in production

Applicability: All

Compliant

4.1.8

Indicator: Evidence that maximum stock density was determined jointly by the designated veterinarian

Requirement: Yes

Applicability: All

Compliant

4.2.1

Indicator: Presence of a treatment plan, treatment record book and farm health history that includes a detailed recording of all treatments and all health events on the farm, as well as written veterinary prescriptions and receipts

Requirement: Yes

Applicability: All

Compliant

4.2.2

Indicator: Use of therapeutic treatments, including antibiotics or other treatments, that are banned under European Union (EU) law


Applicability: All

Compliant

4.2.3

Indicator: Prophylactic use of antimicrobial treatments (excluding prebiotics and probiotics that have been approved by a regulatory process that included a risk assessment) (38)


Applicability: All

Compliant

4.2.4

Indicator: Public disclosure of all antimicrobial treatments used on the farm

Requirement: Yes

Applicability: All

Compliant

4.2.6

Indicator: Allowance for use of antibiotics listed as critically important for human medicine by the WHO

Requirement: None

Applicability: All

Compliant

4.2.7

Indicator: Proactive vaccination against diseases that present a risk in the region and for which an effective, legally authorized and commercially viable vaccine exists, as determined by the farm’s designated veterinarian

Requirement: Yes

Applicability: All

Compliant

5.1.1

Indicator: Evidence of traceability, demonstrated by the feed producer, of feed ingredients that make up more than 1% of the feed (42)

Requirement: Yes

Applicability: All

Compliant

5.1.2

Indicator: Presence of a list of all ingredients that make up more than 1% of the feed

Requirement: Yes

Applicability: All

Compliant

5.2.1

Indicator: Fishmeal and fish oil used in feed that comes from fisheries (43) certified under a scheme that is ISEAL-accredited and has guidelines that specifically promote responsible environmental management of small pelagic fisheries

Requirement: Not required (44)

Applicability: None

Compliant

5.2.2.

Indicator: Prior to 100% achievement of 5.2.1, the Fishsource (45) score required for the fisheries from which marine raw material in feed is derived (excluding trimming and by-products)

Requirement: All individual scores ≥ 6, and “Current Health” score ≥ 6

Applicability: All

Compliant

5.2.3

Indicator: Prior to 100% achievement of 5.2.1, demonstration of chain of custody and traceability for fisheries products in feed through an ISEAL-accredited or ISO 65-compliant certification scheme that incorporates the United Nations Food and Agriculture Organization’s “Code of Conduct for Responsible Fisheries”

Requirement: Yes

Applicability: All

Compliant

5.2.4

Indicator: Evidence that by-product feed ingredients do not come from fish species that are categorized as vulnerable (46), endangered or critically endangered according to the IUCN Red List of Threatened Species (47)

Requirement: Yes

Applicability: All except as noted in

Compliant

5.3.1

Indicator: Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in Appendix III of the Freshwater Trout standard v.1.2)

Requirement: ≤1.5

Applicability: All

Compliant

5.3.2 A

Option A

Indicator: Compliance with the following requirement: Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in Appendix of the Freshwater Trout standard v.1.2)

Requirement: ≤2.95

Applicability: All, but note that farms may choose to demonstrate compliance with either Option A or Option B under Indicator 5.3.2.

Compliant

5.3.2 B

Option B

Indicator: Compliance with the following requirement: Maximum level of EPA/DHA content from marine sources as a percentage of fatty acids in the feed (excluding EPA/DHA from trimmings and by-products)

Requirement: ≤ 9%

Applicability: All, but note that farms may choose to demonstrate compliance with either Option A or Option B under Indicator 5.3.2.

Compliant

5.4.1

Indicator: Presence and evidence of a responsible sourcing policy for the feed manufacturer for feed ingredients that comply with internationally recognized moratoriums and local laws (50)

Requirement: Yes

Applicability: All

Compliant

5.4.2

Indicator: Percentage of soy ingredients that are certified by the Roundtable on Responsible Soy, or equivalent (51)

Requirement: 100% after February 2018

Applicability: All

Compliant

5.4.3

Indicator: Disclosure by the feed supplier of any ingredients that contain more than 0.9% transgenic (52) plant material

Requirement: Yes

Applicability: All

Compliant

5.4.4

Indicator: Disclosure by the farm to the direct purchasers of its harvested fish of any feed ingredients that have contained more than 0.9% transgenic material

Requirement: Yes

Applicability: All

Compliant

5.5.1

Indicator: Presence of records and evidence of all energy consumption on the farm (including electric power and fuels) and evidence of an energy use assessment of on-farm energy consumption, measured in kilojoule/t fish/year

Requirement: Yes, measured in kilojoule/t fish/year

Applicability: All

Compliant

5.6.1

Indicator: Percentage of combustibles contained in waterproof bunds

Requirement: 100%

Applicability: All

Compliant

5.6.2

Indicator: Percentage of chemicals stored in impermeable containers or buildings

Requirement: 100%

Applicability: All

Compliant

5.6.3

Indicator: Percentage of used lubricants recycled or turned over to a waste management company

Requirement: 100%

Applicability: All

Compliant

5.6.4

Indicator: Percentage of chemical containers turned over to a waste management company

Requirement: 100%

Applicability: All

Compliant

5.6.5

Indicator: Percentage of non‐hazardous, non‐recyclable wastes turned over to a waste management company or landfill (53)

Requirement: 100%

Applicability: All

Compliant

5.6.6

Indicator: Demonstration that a farmer is aware of recycling facilities that are accessible to the farm and demonstration of a commitment to use those facilities

Requirement: Yes

Applicability: All

Compliant

6.1.1


Requirement: None

Applicability: All

Compliant

6.2.1

Indicator: Number of incidences of forced (58), bonded (59) or compulsory labour

Requirement: None

Applicability: All

Compliant

6.3.1

Indicator: Evidence of proactive antidiscrimination practice (61)

Requirement: Yes

Applicability: All

Compliant

6.3.2


Requirement: None

Applicability: All

Compliant

6.4.1

Indicator: Percentage of workers trained in health and safety practices, procedures and policies

Requirement: 100%

Applicability: All

Compliant

6.4.2

Indicator: Evidence that health- and safety-related accidents are recorded and corrective actions are taken

Requirement: Yes

Applicability: All

Compliant

6.4.3

Indicator: Proof of company accident insurance covering employee costs stemming from a job-related accident or injury when not covered under national law

Requirement: Yes

Applicability: All

Compliant

6.4.4

Indicator: Workers use and have access to appropriate personal protective equipment (PPE)

Requirement: Yes

Applicability: All

Compliant

6.4.5

Indicator: Evidence of a health and safety assessment of site facilities and processes

Requirement: Yes

Applicability: All

Compliant

6.5.1

Indicator: The percentage of employees who are paid a basic needs wage (62)

Requirement: 100%

Applicability: All

Compliant

6.5.2

Indicator: Evidence of transparency in wage setting

Requirement: Yes

Applicability: All

Compliant

6.6.1

Indicator: Incidences of employees denied freedom to associate, the ability to bargain collectively or denied access to representatives, or representative organizations, chosen by workers


Applicability: All

Compliant

6.7.1

Indicator: Incidences of abusive disciplinary actions

Requirement: None

Applicability: All

Compliant

6.7.2

Indicator: Evidence of non abusive disciplinary policies and procedures whose aim is to improve the workers’ performance (65)

Requirement: Yes

Applicability: All

Compliant

6.8.1

Indicator: Violations or abuse of working hours (67) and overtime (68) laws and agreements

Requirement: None

Applicability: All

Compliant

6.9.1

Indicator: For new farms, evidence of engagement and proactive consultation with surrounding communities, including native and/or indigenous communities about potential social impacts (70) from the farm as required by relevant local and/or national laws and regulations

Requirement: Yes

Applicability: All new farms (see note)

Compliant

6.9.2

Indicator: Evidence of regular proactive communication, engagement and consultation with surrounding communities, including native and/or indigenous communities

Requirement: Yes

Applicability: All

Compliant

6.9.3

Indicator: Evidence of an operational grievance and conflict resolution mechanism to address community concerns

Requirement: Yes

Applicability: All

Compliant

7.1

Indicator: Presence of documents issued by pertinent authorities proving compliance with local and national authorities on land and water use, effluent regulations and use of treatments

Requirement: Yes

Applicability: All

Compliant

7.2

Indicator: New introductions of exotic species from the date of publication of the ASC Freshwater Trout Standard (7 February 2013), unless the hatchery/fingerling facility is a closed production system (71)

Requirement: None

Applicability: All

Compliant

7.3


Requirement: None (73,74)

Applicability: ALL, except protected areas that are classified by IUCN, or the International Union for Conservation of Nature, as Category V or VI. These are areas preserved primarily for their landscapes, or areas that include sustainable resource management. Details can be found here: http://www.iucn.org/about/work/programmes/pa/pa_products/wcpa_categories/. Additionally excepted; farms located in protected areas that are designated as such after the farm already exists in that location. In these situations, the farm must demonstrate that its operation is compatible with the objectives of the newly protected area, and that it is in compliance with any relevant conditions placed on the farm as a result of the designation.

Compliant

7.4

Indicator: Evidence of an assessment of the property for the presence of species listed on the International Union for Conservation of Nature (IUCN) “Red List of Threatened Species” as vulnerable, near threatened, endangered or critically endangered; an evaluation of the farm’s impact on any such species present; and clearly defined mitigation measures to reduce any negative impacts and allow existence of such species

Requirement: Yes

Applicability: All

Compliant

7.5

Indicator: Evidence that the egg and fingerling producer must have an equivalent or better health status than that of the grow-out facility, and must follow all national and local (jurisdictional) guidance on disease management

Requirement: Yes

Applicability: All

Compliant

7.6

Indicator: Evidence of disclosure to the grow-out farm of all chemical and antibiotic treatments on eggs and fry, including the reason for their use and the quantity used

Requirement: Yes

Applicability: All

Compliant

7.7

Indicator: Allowance for the use of therapeutic treatments, including antibiotics or other treatments, that are banned under European Union (EU) law


Applicability: All

Compliant

7.8

Indicator: Presence of a fish health management plan implemented in agreement with the facility’s designated veterinarian

Requirement: Yes

Applicability: All

Compliant

7.9

Indicator: Evidence of company-level policies and procedures that demonstrate the company's commitment to each of the 8 key ILO labour issues described in Principle 6

Requirement: Yes

Applicability: All

Compliant

7.10

Indicator: Evidence of regular communication, engagement and consultation with surrounding communities

Requirement: Yes

Applicability: All

Compliant

8.1

Indicator: The farm shall communicate each fish escape event to the local fishery trust(s).

Requirement: Yes

Applicability: Cage-culture salmon smolt facilities

Compliant

8.2

Indicator: The farm shall collaborate with fisheries trusts in wild salmonid monitoring programme(s) related to the waterbody it operates in.

Requirement: Yes


Compliant

8.3

Indicator: The farm (75) shall conduct and make public, in collaboration with the local fishery trust(s), a scientific baseline study (76) to determine the genetic composition of the contemporary wild and farmed (77) salmonid population(s) within the waterbody it operates in.

Requirement: Yes


Compliant

8.4

Indicator: The baseline study shall include known historical farmed and wild salmonid genetic profiles and determine if changes in the genetic composition of the contemporary wild salmonid population(s) have occurred. Where changes in the genetic profile of the wild salmonid population(s) are detected, the study seeks to determine if these have occurred through introgression of farmed salmon or through other mechanisms (78) (e.g. natural straining or stocking programmes)

Requirement: Yes


Compliant

8.5

Indicator: The baseline study will be updated every 3 years to determine if changes in the genetic composition of the wild salmonid population have occurred, and where detected, if changes are due to introgression of ASC-certified farmed smolts cultured within the same waterbody. This review shall be publicly available as well.

Requirement:

Availability:

Compliant

8.6

Indicator: If fallowing periods are applied, they must be timed to occur outside the local wild salmon(id) outmigration period.

Requirement:

Availability:

Compliant


Corresponds to ASC Freshwater Trout standard version 1.2

Indicator No 2.2.1 2.3.1 2.4.1 2.6.1 3.1.1 3.2.1 3.2.2 3.3.4 3.3.5Impact

CategoryOther Wildlife Interaction Wildlife Interaction Wildlife Interaction Water quality Water quality Water quality Water quality Water quality

Indicator Text

For new farms installed on land after February 2013 (or for significant expansions),

minimum buffer zone between the farm and an adjacent water body in which there is no farm infrastructure that might impede

wildlife’s access to the water, except for inflow and outflow systems

New introductions of exotic species from the date of the publication of

the ASC Freshwater Trout Standard, unless the

hatchery/fingerling facility is a closed production system

Allowance for the culture of transgenic trout, including the

offspring of genetically engineered trout

Intentional use of lethal predator control

Maximum amount of water that a farm can abstract from a natural flowing water

body (such as a river or stream)

Maximum total amount of phosphorus released into the environment per metric ton (mt) of fish produced over a

12-month period (see methodology in Appendix II-A)

Minimum oxygen saturation in the outflow, measured monthly (see methodology in Appendix II-B)

Maximum baseline total phosphorus concentration of

the water body (see Appendix II-H)

Minimum percent oxygen saturation of water 50 centimetres above bottom sediment (at

all oxygen monitoringlocations described in Appendix II-G)


3.3.7a 3.3.7b 3.3.8 4.1.7 5.2.2 5.3.1 5.3.2a 5.3.2b 5.4.2Water quality Water quality Water quality Other Feed Feed Feed Feed Feed

Maximum allowed increase in total phosphorus concentration in lake from baseline - for water bodies with a surface area of

lessthan 1,000 km2.

Maximum allowed increase in total phosphorus concentration

in lake from baseline - for water bodies with a surface area of

1,000 km2 or greater

Maximum total amount of phosphorus released into

the environment per metric ton (t) of fish produced over a 12-

month period (see Appendix II-A)

Minimum frequency of inspection of the farm by a designated veterinarian who

specializes in aquatic animal health. The inspection must review the farm health

plan.

Prior to 100% achievement of 5.2.1, the Fishsource score required for the fisheries from which marine raw material in feed is

derived (excluding trimming and by-products)

Fishmeal Forage Fish Dependency Ratio (FFDRm) for

grow-out (calculated using formulas in Appendix III, subsection 1)

Option A: Compliance with the following requirement:

Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out

(calculated using formulas in Appendix III, subsection 1) c

option B: Compliance with the following requirement:Maximum level of EPA/DHA content from marine

sources as apercentage of fatty acids in the feed (excluding

EPA/DHA fromtrimmings and by-products)

Percentage of soy ingredients that are certified by the Roundtable on Responsible Soy, or equivalent.

5.6.1 5.6.2 5.6.3 5.6.4 5.6.5 7.2 6.1.1 6.2.1 6.3.2 6.4.1 6.5.1 6.6.1Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Wildlife Interaction Social Social Social Social Social Social

Percentage of combustibles contained in waterproof bunds

Percentage of chemicals stored in impermeable containers or buildings

Percentage of used lubricants recycled or turned over to a waste management company

Percentage of chemical containers turned over to a waste

management company

Percentage of non-hazardous, non-recyclable wastes turned over to a waste management

company or landfill.

New introductions of exotic species from the date of the publication of the ASC Freshwater Trout Standard, unless the hatchery/fingerling facility is a closed

production system


Number of incidences of forced, bonded orcompulsory labour


Percentage of workers trained in health and safetypractices, procedures and

policies

The percentage of employees who are paid a basic

needs wage.

Incidences of employees denied freedom to associate,

the ability to bargain collectively or denied access to

representatives, or representative organizations, chosen by

workers

6.7.1 6.8.1Social Social

Incidences of abusive disciplinary actions

Violations or abuse of working hours and overtime laws and

agreements




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/

usedRoot cause analysis NC correction NC Corrective action Auditor Evaluation Extension justification


outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Bivalve standard version 1.11.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22




Indicator Number



evaluation decision



(List site ID's)


(List site ID's)



NC Status VR submittedStatus of submitted

VRVR used

Q&A submitted/used

Root cause analysis




Notes

1.1.1

Indicator: Evidence of compliance with all

applicable legal requirements and regulations

where the farming operation is located (e.g.,

permits, licenses, evidence of lease, concessions

and rights to land and/or water use)

Requirement: Yes

Applicability: All

Compliant

2.1.1

Indicator: Acceptable levels of total ‘free’ sulfide in surficial sediment (0-2 centimetres from the surface) measured beneath the farm in comparison to control sites (5)

Requirement: ≤ 1500 µM, monitoring every five years is required≥ 1500 µM and ≤ 3000 µM, monitoring every year is required

Applicability: Off-bottom and suspended methods over depositional substrate

Compliant

2.1.2

Indicator: Unacceptable levels of total ‘free’ sulfide in surficial sediment measured beneath the farm in comparison to control sites

Requirement: ≥ 3000 µM


Compliant

2.1.3

Indicator: In cases where natural background sulfide levels exceed 3000 µM, the annual S concentrations should not significantly (6) exceed levels measured at reference sites located outside the farm (7)

Requirement: Yes


Compliant

2.1.4

Indicator: Sulfide analysis may be replaced by direct analysis of benthic community structure (i.e. infaunal surveys) in areas where this biotic approach is preferred by the applicant or is already mandated by a regulatory body (8)

Requirement: Yes


Compliant

2.1.5

Indicator: Allowance for bivalve aquaculture over areas that provide a particularly significant or essential biological or ecological function within the broader ecosystem (9)

Requirement: None

Applicability: Off-bottom and suspended methods

Compliant

2.2.1

Indicator: The ratio of clearance time (10) (CT) over retention time (11) (RT)

Requirement: >1

Applicability: All*

*If the area of all of the farms within a water body as defined in Appendix I of the Bivalve standard v.1.1, inclusive of the certification unit, is less than 10% of the total area of the water body, then requirements 2.2.1 and 2.2.2 need not apply.

Compliant

2.2.2

Indicator: Where clearance time is less than retention time, the ratio of clearance time over primary production time (12)

Requirement: >3

Applicability: All farms not compliant with 2.2.1.

Compliant

2.2.3

Indicator: Equivalency with requirements 2.2.1 or 2.2.2 may be demonstrated, if a farm or group of farms is able to prove, through more comprehensive carrying capacity modelling that, in aggregate, they do not exceed the ecological carrying capacity of the applicable water body in which they are located

Requirement: Yes

Applicability: -

Compliant

2.3.1

Indicator: Allowance for harm to threatened/endangered species (13) or the habitat on which they depend

Requirement: None

Applicability: All

Compliant

2.4.1

Indicator: Evidence of environmental training, compliance to regional codes of practices or implementation of environmental management plans

Requirement: Required

Applicability: AllCompliant

3.1.1

Indicator: Allowance for the illegal introduction of a non-native species, pest or pathogen attributable to the farm within 10 years prior to assessment

Requirement: None

Applicability: All

Compliant

3.1.2

Indicator: Documentation of compliance with established protocol or evidence of following appropriate best management practices for preventing and managing disease and pest introductions with seed and/or farm equipment.


Applicability: All

Compliant

3.2.1

Indicator: Excluding larval collection, evidence that purchased or collected wild seed is not harvested from an open-access, unregulated source


Applicability: All

Compliant

3.3.1

Indicator: Evidence of responsible (14) introduction of non-native cultivated species


Applicability: All

Compliant

3.4.1

Indicator: For hatchery produced seed, documentation of efforts made to address genetic concerns specific to species and geographic region where the seed will be out-planted


Applicability: All farms producing seedCompliant

3.5.1

Indicator: Allowance for farming of transgenic (15) animals

Requirement: None

Applicability: All

Compliant

4.1.1

Indicator: Allowance for the application of mutagenic, carcinogenic or teratogenic pesticides on the farm or farmed animals

Requirement: None

Applicability: All

Compliant

4.1.2

Indicator: Allowance for the application of chemicals that persist as toxins in the marine environment or on the farm or farmed animals

Requirement: None

Applicability: All

Compliant

4.1.3

Indicator: Only non-lethal management (e.g., exclusion, deterrents and removal) of critical species (16) that are pests or predators

Requirement: Yes

Applicability: All

Compliant

4.1.4

Indicator: Allowance for the use of lead line or lead sinkers on predator netting

Requirement: None

Applicability: All

Compliant

4.1.5

Indicator: Allowance for the use of explosives

Requirement: None

Applicability: All

Compliant

5.1.1

Indicator: Evidence of waste reduction (e.g. reuse and recycling) programs

Requirement: Yes

Applicability: All

Compliant

5.1.2

Indicator: Evidence of appropriate storage and/or disposal of biological waste

Requirement: Yes

Applicability: All

Compliant

5.1.3

Indicator: Evidence of appropriate storage and/or disposal of chemical and hydrocarbon wastes

Requirement: Yes

Applicability: All

Compliant

5.1.4

Indicator: Spill prevention and response plan for chemicals/hydrocarbons originating from farming operations


Applicability: All

Compliant

5.2.1

Indicator: Evidence of energy use monitoring relative to production and ongoing effort to improve efficiency

Requirement: Yes

Applicability: All

Compliant

5.2.2

Indicator: Maintenance records for farm equipment (e.g., boats and generators) are up to date and available

Requirement: Yes

Applicability: All

Compliant

6.1.1

Indicator: Visible floats must be of a uniform colour, except where otherwise specified by law (if applicable to growing area)


Applicability: All

Compliant

6.1.2

Indicator: Uniform positioning and orientation of visible farm structures, except where specified by law (if applicable to growing area)


Applicability: All

Compliant

6.1.3

Indicator: Allowance for floats made out of open-cell Styrofoam

Requirement: None

Applicability: All

Compliant

6.1.4

Indicator: Noise, light and odour originating from the farm are minimized in areas where it may impact others (if applicable to growing area)


Applicability: All

Compliant

6.1.5

Indicator: Evidence of compliance with all applicable navigational rules and regulations


Applicability: Sea-based Farms

Compliant

6.1.6

Indicator: Documented clean-up of receiving shoreline in response to gear loss based on local conditions


Applicability: All

Compliant

6.1.7

Indicator: Substantial gear (e.g., floats, cages, bags, predator nets and racks) is identifiable to farm (if applicable to growing area)

Requirement: Yes

Applicability: All

Compliant

6.1.8

Indicator: Provision of equipment for gear recovery (e.g., scoop nets and grapple hooks)


Applicability: All

Compliant

6.1.9

Indicator: A mechanism (e.g., insurance or an industry agreement to collect derelict gear) is in place for the decommissioning of abandoned farms

Requirement: Yes

Compliant

6.1.10

Indicator: Conflict resolution protocol, including publicly available registry of complaints and evidence of due diligence to resolve them


Applicability: All

Compliant

6.1.11

Indicator: Evidence of outreach (e.g., meeting records, newsletters, consultation with communities and indigenous groups, or membership in association with documented outreach program)


Applicability: All

Compliant

6.1.12

Indicator: Evidence of acknowledgment of indigenous groups’ rights (if applicable to growing area)


Applicability: All

Compliant

7.1.1.

Indicator: Incidences of child (17) labour (18)

Requirement: 0

Applicability: All

Compliant

7.2.1

Indicator: Incidences of forced (21), bonded (22), or compulsory labour

Requirement: 0

Applicability: All

Compliant

7.3.1

Indicator: Incidences of discrimination (23)

Requirement: 0

Applicability: All

Compliant

7.4.1

Indicator: All health and safety related accidents and violations are recorded and corrective action is taken when necessary

Requirement: Yes

Applicability: All

Compliant

7.4.2

Indicator: Occupational health and safety training is available for all employees

Requirement: Yes

Applicability: All

Compliant

7.4.3

Indicator: Employer responsibility and proof of insurance (accident or injury) for employee medical costs in a job-related accident or injury, unless otherwise covered

Requirement: Yes

Applicability: All

Compliant

7.5.1

Indicator: Payment of fair and decent wages

Requirement: Yes

Applicability: All

Compliant

7.6.1

Indicator: Employees have access to freedom of association and collective bargaining

Requirement: Yes

Applicability: All

Compliant

7.7.1

Indicator: Incidences of abusive disciplinary practices occurring on the farm

Requirement: 0

Applicability: All

Compliant

7.8.1

Indicator: Incidences, violations or abuse of working hours and overtime laws or expectations (see Appendix of the Bivalve standard v.1.1

Requirement: None

Applicability: All

Compliant


Corresponds to ASC Bivalve standard version 1.1

Indicator No 2.1.1 2.1.2 2.2.1 2.2.2 3.1.1 1.5.1 7.1.1 7.2.1 7.3.1 7.7.1 7.8.1

Impact CategoryBenthic Benthic Other Other Wildlife Interactions Wildlife Interactions Social Social Social Social Social

Indicator Text

Acceptable levels of total ‘free’ sulfides in surficial sediment (0-2 centimetres from the surface) measured beneath the farm in comparison to control sites. Every Year

Unacceptable levels of total ‘free’ sulfide in surficial sediment measured beneath the farm in comparison to control sites

The ratio of clearance time (CT) overretention time (RT)

Where clearance time is less than retention time, the ratio of clearance time over primary productiontime (PPT)

Allowance for the illegal introduction of non-native species, pest or pathogen attributable to the farm within 10 years prior to assessment

Allowance for farming of transgenic animals

Incidences of child labour

Incidences of forced, bonded, or compulsory

labour

Incidences of discrimination

Incidences of abusive

disciplinary practices

occurring on the farm

Incidences, violations or abuse

of workinghours and overtime

laws or expectations





NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Abalone standard version 1.11.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22




Indicator Number



evaluation decisionDate of NC detection


(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of submitted

VRVR used

Q&A submitted/used

Root cause analysis




Notes

1.1.1

Indicator: Evidence of

compliance with all applicable

legal requirements and

regulations where the farming

operation is located (e.g.,

permits, licences, evidence of

lease, concessions and rights to

land and/or water use)

Requirement: Yes

Applicability: All

Compliant

2.1.1

Indicator: Where not otherwise mandated by local law or covered by recognized environmental impact assessments permitting the farming activity, evidence proving no significant adverse effects on threatened/endangered species (1) or the habitat on which they depend.

Requirement: Yes

Applicability: All

Compliant

2.2.1

Indicator: Acceptable levels of total ‘free’ sulfide in surficial sediment (0-2 centimetres from the surface) measured beneath sea-based farms

Requirement: ≤ 1500 µM, monitoring every five years (2) is required

≥ 1500 µM and ≤ 3000 µM, monitoring every year is required

Applicability: Sea-based Farms on Depositional

Compliant

2.2.2

Indicator: Unacceptable levels of total ‘free’ sulfide in surficial sediment measured beneath sea-based farms

Requirement: ≥ 3000 µM

Applicability: Sea-based Farms on Depositional Substrate

Compliant

2.2.3

Indicator: Sulfide analysis may be replaced by direct analysis of benthic community structure (i.e., infaunal surveys) in areas where this biotic approach is preferred by the applicant or is already mandated by a regulatory body (3)

Requirement: Yes

Applicability: Sea-based Farms on Depositional

Compliant

2.2.4

Indicator: Allowance for sea-based farming of abalone over areas that provide a particularly significant or essential biological or ecological function within the broader ecosystem (4)

Requirement: None

Applicability: Sea-based Farms on Depositional Substrate

Compliant

2.3.1

Indicator: Observable detrimental accumulation of sediment underneath the farm compared to a control site based on bottom video

Requirement: None

Applicability: Sea-based Farms on Hard or Rocky Substrate

Compliant

2.4.1

Indicator: Annual median concentration (5) of total ammonia nitrogen in effluent or receiving water beyond mixing zone (6)

Requirement: <0.6 mg/L

Applicability: Land-based Farms

Compliant

2.4.2

Indicator: Annual median concentration (7) of total suspended solids in effluent compared to influent measured in the outflow or in the receiving water beyond zone of initial dilution (8)

Requirement: <5 mg/L


Compliant

2.4.3

Indicator: Evidence that all chemicals used on the farm that are discharged to effluent are recorded and quantified

Requirement: Yes


Compliant

2.5.1

Indicator: Evidence of proper disposal of chemical and hydrocarbon waste

Requirement: Yes

Applicability: AllCompliant

2.6.1

Indicator: Evidence of proper disposal of biological waste

Requirement: Yes

Applicability: All

Compliant

3.1.1

Indicator: Documented protocol and evidence of best management practices to minimize escapes (e.g., removal of escapees from channels, drains and settlement ponds)

Requirement: Yes

Applicability: All

Compliant

3.2.1.

Indicator: Sea-based farm seed originates from native wild broodstock (not selectively bred animals) in situations where the wild population is threatened or endangered

Requirement: Yes

Applicability: Sea-based

Compliant

3.3.1

Indicator: For farm-to-farm translocations: batch certification using diagnostic tests capable of detecting all diseases and parasites/pests of concern (9) followed by minimum eight-week isolation (not mixed with other animals on the farm) (10)


Applicability: All

Compliant

3.3.2

Indicator: For wild- to-farm translocations: an eight- week minimum biosecure quarantine (treated effluent) with cohabitation and disease surveillance (11)


Applicability: All

Compliant

3.4.1

Indicator: Evidence of responsible (12) introduction of non-native abalone species


Applicability: All

Compliant

3.5.1

Indicator: Allowance for farming of transgenic (13) abalone

Requirement: None

Applicability: All

Compliant

4.1.1

Indicator: Evidence of compliance with a documented protocol for health surveillance and disease response (minimum requirements are found in Appendix I of the Abalone standard v.1.1).

Requirement: Yes

Applicability: All

Compliant

4.1.2

Indicator: Evidence that all equipment and clothing from other abalone farms or seafood processors are disinfected before being bought onto a farm

Requirement: Yes

Applicability: All

Compliant

4.1.3

Indicator: Evidence that access to farmed abalone by birds and other animal vectors is minimized (e.g., indoor grow out units, fencing, netting and deterrents)

Requirement: Yes

Applicability: All

Compliant

4.1.4

Indicator: Allowance for the prophylactic use of antibiotics

Requirement: None

Applicability: All

Compliant

4.1.5

Indicator: Where farms use fresh seaweed, it must be locally sourced

Requirement: Yes

Applicability: All

Compliant

5.1.1

Indicator: Documented evidence that wild seaweed used for abalone feed is obtained from a regulated or recognized well-managed resource

Requirement: Yes

Applicability: All

Compliant

5.2.1

Indicator: Forage Fish Equivalency Ratio (FFER) for abalone fed manufactured feed

Requirement: <1 (14)

Applicability: All

Compliant

5.2.2

Indicator: >95% of fish meal and fish oil component in feed originates from fisheries deemed sustainable by an ISEAL compliant certification scheme for sustainable forage fisheries

Requirement: Yes, within five years of commercial availability in the farming region

Applicability: All

Compliant

5.3.1

Indicator: Evidence of proper disposal of waste and presence of recycling programs

Requirement: Yes

Applicability: All

Compliant

5.4.1

Indicator: Records of energy use on farm per ton of production

Requirement: Yes

Applicability: All

Compliant

5.4.2

Indicator: Evidence of energy audit or in-house assessment if independent auditors are not nationally available

Requirement: Yes

Compliant

5.5.1

Indicator: Records of reticulated freshwater used on farm

Requirement: Yes

Applicability: All

Compliant

6.1.1

Indicator: Rights of access to public resources are maintained

Requirement: Yes

Compliant

6.1.2

Indicator: Evidence of compliance with all applicable navigational rules and regulations

Requirement: Yes

Applicability: Sea-based Farms

Compliant

6.1.3

Indicator: Documented complaints response protocol that includes at a minimum, a registry of complaints and appropriate responses

Requirement: Yes

Applicability: All

Compliant

7.1.1

Indicator: Incidences of child (15) labour (16)

Requirement: 0

Applicability: All

Compliant

7.2.1

Indicator: Incidences of forced (17), bonded (18), or compulsory labour

Requirement: 0

Applicability: All

Compliant

7.3.1

Indicator: Incidences of discrimination (19)

Requirement: 0

Applicability: All

Compliant

7.4.1

Indicator: All health and safety related accidents and violations are recorded, and corrective action is taken when necessary

Requirement: Yes

Applicability: All

Compliant

7.4.2

Indicator: Occupational health and safety training is available for all employees

Requirement: Yes

Applicability: All

Compliant

7.4.3

Indicator: Employer responsibility and proof of insurance (accident or injury) for employee medical costs in a job-related accident or injury, unless otherwise covered

Requirement: Yes

Compliant

7.5.1

Indicator: Payment of fair and decent wages

Requirement: Yes

Applicability: All

Compliant

7.6.1

Indicator: Employees have access to freedom of association and collective bargaining

Requirement: Yes

Applicability: All

Compliant

7.7.1

Indicator: Incidences of abusive disciplinary practices occurring on the farm

Requirement: 0

Applicability: All

Compliant

7.8.1

Indicator: Incidences of violations or abuse of working hours and overtime laws or expectations

Requirement: None

Applicability: All

Compliant

Metric tableWhere the requirement is ''None'', please use 0 (zero) if requirement is met

Corresponds to ASC Abalone standard version 1.1

Indicator No 2.2.1 2.4.1 2.4.2 5.2.1 7.1.1 7.2.1 7.3.1 7.7.1 7.8.1Impact Category Benthic Water Quality Water Quality Feed Social Social Social Social Social

Indicator Text

Acceptable levels of total ‘free’ sulphides in surficial sediment (0-2 centimetres from the surface) measured

every year beneath sea-based farm. (in µM)

Annual median concentration of total ammonia nitrogen in

effluent or receiving water beyond mixing zone in

mg/L

Annual median concentration of total suspended solids in

effluent compared to influent measured in the outflow or in the receiving water beyond zone of initial dilution mg/L

Forage Fish Equivalency Ratio (FFER) for abalone fed manufactured feed

Incidences of child labour

Incidences of forced, bonded, or

compulsory labour

Incidences of discrimination

Incidences of abusive disciplinary practicesoccurring on the farm

Incidences, violations or abuse of working hoursand overtime laws or

expectations





NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Tilapia standard version 1.21.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22

Proposed by UoC and accepted by CAB Proposed by UoC and accepted by CAB


Indicator Number

Indicator Text Audit Evidence Indicator evaluationDescription, justification and conclusion for the evaluation



(List site ID's)


(List site ID's)




submitted VRVR used

Q&A submitted/used


Notes

1.1.1

Indicator: Presence of documents

proving compliance with local and

national authorities on land and water

use (e.g., permits, evidence of lease,

concessions and rights to land and/or

water use)

Requirement: Yes

Applicability: All Farms, Farm-Wide

Compliant

1.1.2

Indicator: Presence of documents proving compliance with all tax laws

Requirement: Yes


Compliant

1.1.3

Indicator: Presence of documents proving compliance with all labour laws and regulations

Requirement: Yes


Compliant

1.1.4

Indicator: Presence of documents proving compliance with regulations or permits concerning water quality impacts

Requirement: Yes


Compliant

2.1.1

Indicator: Site location, history and stewardship activities matrix located in Appendix of the Tilapia standard v.1.2 is completed and validated

Requirement: Yes


Compliant

2.2.1

Indicator: Demonstration that the tilapia species cultured is established (1) and naturally reproducing in the receiving waters (2, 3), of the operation on or before 1 January 2008

Requirement: Yes

Applicability: All farm locations outside Africa (see 2.2.2), Farm-Wide

Compliant

2.2.2

Indicator: In Africa, demonstration that the tilapia species and strain cultured is established and naturally reproducing in the receiving waters of the operation or before 1 January 2008

Requirement: Yes

Applicability: Farms located in Africa only (see 2.2.1), Farm-Wide

Compliant

2.3.1

Indicator: The percent change in diurnal dissolved oxygen of receiving waters relative to dissolved oxygen at saturation for the water’s specific salinity and temperature



Compliant

2.4.1

Indicator: Secchi disk visibility (4) limit above which production is not certifiable

Requirement: 10 meters


Compliant

2.4.2

Indicator: Compliance with Requirements 2.4.3. & 2.4.4. when Secchi disk visibility (6) ≤ 5.0 meters

Requirement: Yes


Compliant

2.4.3

Indicator: Total phosphorus concentration limit in receiving waters (7)

Requirement: ≤ 20 µg/L

Applicability: All Farms, Farm-WideCompliant

2.4.4

Indicator: Chlorophyll a concentration limit in receiving waters (8)

Requirement: ≤ 4.0 µg/L


Compliant

2.5.1

Indicator: Receiving water quality monitoring matrix completed and validated (Appendix II of the Tilapia standard v.1.2)

Requirement: Yes (6 months data, pre-audit, required)

Applicability: All Farms, Farm-Wide Compliant

2.6.1

Indicator: Hectares of allowable wetland (9) conversion since 1999 (10)

Requirement: 0 ha

Compliant

3.1.1

Indicator: The total amount of phosphorus added to the culture system per metric ton of fish produced per year. Use equations from the Appendix of the Tilapia standard v.1.2

Requirement: ≤ 27 kg

Applicability: All Farms, Unit of Certification Only

Clients may omit/delete pricing details from purchase documents.

Compliant

3.1.2

Indicator: The total amount of phosphorus released from the culture system per metric ton of fish produced per year. Phosphorus loading will be either calculated using equations from the Appendix of the Tilapia standard v.1.2 or measured in effluent if there is post-culture treatment


Applicability: Farms with no post-culture treatment for phosphorus, Unit of Certification Only

Clients may omit/delete pricing details from purchase documents

Compliant

3.1.2

Indicator: The total amount of phosphorus released from the culture system per metric ton of fish produced per year. Phosphorus loading will be either calculated using equations from Appendix III of the Tilapia standard v.1.2 or measured in effluent if there is post-culture treatment


Applicability: Farms that use post-culture treatment for phosphorus, Unit of Certification Only

Clients may omit/delete pricing details from purchase documents

Compliant

3.1.3

Indicator: Calculation and verification of the total amount of nitrogen applied to the culture system. Use equations from the Appendix of the Tilapia standard v.1.2

Requirement: Measured in kg nitrogen/mt fish/year



Compliant

3.1.4

Indicator: Calculation and verification of the total amount of nitrogen released from the farming activity. Use equations from Appendix III of the Tilapia standard v.1.2

Requirement: Measured in kg nitrogen/mt fish/year



Compliant

3.2.1

Indicator: Percent change in specific conductance of freshwater from a drilled well at the time of drilling and the time of audit. This is required when freshwater wells are used in combination with brackish surface water for the culture of tilapia. Freshwater aquifers are defined as having a specific conductance less than 1,300 µS/cm.

Requirement: ≤ 10 %

Applicability: Only farms where brackish water is used for tilapia

Compliant

4.1.1

Indicator: Presence of net mesh or grills/screens, barriers on inlets and outlets of culture vessels (e.g., tanks, ponds and raceways), and mesh on all netted confinement units (e.g., cages and impoundments), appropriately sized to retain the stocked fish

Requirement: Yes


Compliant

4.1.2

Indicator: Presence of net mesh, or grills/screens and permanent barrier inspection register recording dates, findings and actions taken, including mitigation or fish containment structure repairs

Requirement: Yes


Compliant

4.1.3

Indicator: Presence of trapping devices placed in effluent/drainage canals or in between cages to sample for escapees, and a record of findings and actions taken

Requirement: Yes


Compliant

4.1.4

Indicator: In cage culture systems, the minimum distance between the bottom of the cage and the bottom of the receiving waters where the cage is placed

Requirement: ≥ 3.0 m

Applicability: Cage systems only, Farm-Wide

Compliant

4.1.5

Indicator: The minimum percentage of males or sterile fish in a culture unit (12)

Requirement: 95 %

Applicability: All farms, Farm-Wide

Compliant

4.2.1

Indicator: Presence and evidence of use of fish transport containers that have no escape path for fish

Requirement: Yes


Compliant

4.3.1

Indicator: Allowance for the culture of transgenic tilapia

Requirement: No (None allowed)


Compliant

4.4.1

Indicator: Use of lethal (13) predator control

Requirement: No (None allowed)


Compliant

4.4.2

Indicator: Mortality of IUCN red listed species



Compliant

5.1.1

Indicator: Feed Fish Equivalence Ratio (FFER). See Appendix IV of the Tilapia Standard v.1.2 for feed calculations

Requirement: ≤ 0.8

Applicability: All Farms, Unit of

Compliant

5.1.2

Indicator: Allowance for the use of fishmeal and fish oil in tilapia feed containing products from fisheries that are listed on the IUCN’s Red List or the species list maintained by the Convention on the International Trade of Endangered Species of Wild Fauna and Flora

Requirement: None


Compliant

5.1.3Indicator: Timeframe for producers to source feed containing fishmeal or fish oil originating from fisheries deemed sustainable by an ISEAL member’s accredited certification scheme

Requirement: Not required (14).


Compliant

5.1.4

Indicator: Prior to achievement of 5.1.3, the average FishSource score characterizing the fishery(ies) from which the fishmeal or fish oil is derived. See Appendix V of the Tilapia Standard v.1.2 for explanation of FishSource scoring

Requirement: ≥ 6.0 with no individual score < 6.0 or an N/A in the stock assessment category


Compliant

5.2.1

Indicator: Producers to provide evidence of preferential sourcing of feed products from feed manufacturers that have a sustainable sourcing policy for feed ingredients, and traceability of feed ingredients

Requirement: Yes


Compliant

5.3.1

Indicator: Identification of the energy sources and calculation and verification of total energy used at the culture facility

Requirement: Measured in kilojoules/mt fish/year


Compliant

6.1.1

Indicator: Percent recovery of fish stocked in production stages after they have attained a size of 100 grams

Requirement: ≥ 65


Compliant

6.2.1

Indicator: Allowance for the use of chemicals and therapeutants for disease and pest control that are banned in the importing or producing country

Requirement: None

Compliant

6.2.2

Indicator: Allowance for the prophylactic use of antibiotics, prior to any evidence of a disease problem

Requirement: None


Compliant

6.2.3

Indicator: Minimum hold time required before any water in which fish have been fed with feed containing methyl or ethyl testosterone can be released

Requirement: ≥ 48 hours


Compliant

6.2.4

Indicator: Health records proving all therapeutants were used or are being used as prescribed by a veterinary or accredited fish health professional

Requirement: Yes


Compliant

6.2.5

Indicator: Calculation and verification of the total amount of each antibiotic (active ingredient) used per mt fish produced per year.

Requirement: Measured in kilograms of active ingredient of individual antibiotic/mt of fish produced/year


Compliant

6.2.6

Indicator: Allowance for the use of antibiotics critical for human medicine, as categorized by the World Health Organization (15)

Requirement: None

Applicability: All Farms

Compliant

6.2.7

Indicator: Number of treatments (16) of antibiotics over the most recent production cycle

Requirement: ≤ 3

Applicability: All farms

Compliant

6.3.1

Indicator: Presence of records demonstrating that fish mortalities are removed consistently on a minimum daily basis

Requirement: Yes


Compliant

6.3.2

Indicator: Evidence proving acceptable disposal of dead fish, (i.e., landfill receiving receipts, sales receipts, permits or approvals for onsite burial, and assurance if converted to animal meals not destined for the culture of tilapia)

Requirement: Yes


Compliant

6.4.1

Indicator: Presence and evidence of implementation of a fish health plan that is site-specific and contains effective methods for 1) Protecting the farm from introduction of pathogens, 2) Preventing the spread of pathogens within the farm and to the receiving waters and 3) Reducing the potential for development of disease resistance by ensuring responsible therapeutant use

Requirement: Yes


Compliant

7.1.1




Compliant

7.2.1

Indicator: Number of incidences of forced (19), bonded (20) or compulsory labour



Compliant

7.3.1

Indicator: Number of incidences of discrimination (21)



Compliant

7.3.2

Indicator: Evidence of proactive anti-discrimination practice

Requirement: Yes


Compliant

7.4.1

Indicator: Percentage of workers trained in health and safety practices/ procedures/ policies

Requirement: 100 %


Compliant

7.4.2

Indicator: Percentage of health- and safety-related accidents and violations recorded and mitigated through corrective actions

Requirement: 100 %


Compliant

7.4.3

Indicator: Employer responsibility and proof of insurance (accident/ injury) for employee costs in a job-related accident or injury when not covered under national law

Requirement: 100 %


Compliant

7.5.1

Indicator: The percentage of employees who are paid fair and decent wages

Requirement: 100 %


Compliant

7.5.2

Indicator: Incidences of abuse of working hours and/or overtime laws



Compliant

7.6.1

Indicator: Incidences of employees denied freedom to associate, ability to bargain collectively (22) or denied access to representative(s) chosen by workers



Compliant

7.7.1

Indicator: Incidences of abusive disciplinary actions



Compliant

7.7.2

Indicator: Evidence of non-abusive disciplinary policies and procedures

Requirement: Yes


Compliant

7.8.1

Indicator: Evidence of implementation of a corrective action plan (updated annually) that addresses unintended problems associated with labour relations and internal monitoring of labour activities

Requirement: Yes


Compliant

7.8.2

Indicator: Evidence of implementation of an emergency action plan and annual (or more frequent) internal monitoring activities

Requirement: Yes


Compliant

7.8.3

Indicator: Evidence of implementation of a verifiable conflict resolution policy for conflicts and complaints tracked transparently, and proof that conflicts and complaints from employees are responded to within three months after being received

Requirement: Yes


Compliant

7.9.1

Indicator: Evidence that living conditions are clean, sanitary and safe for habitation

Requirement: Yes


Compliant

7.10.1

Indicator: Evidence that farms are not inhibiting or restricting local community access to public land, freshwater resources or public fishing grounds

Requirement: Yes


Compliant

7.10.2

Indicator: Evidence of implementation of a verifiable conflict resolution policy for conflicts and complaints tracked transparently, and proof that conflicts and complaints from communities are responded to within three months after being received

Requirement: Yes


Compliant


Corresponds to ASC Tilapia standard version 1.2

Indicator No 6.2.1 6.2.2 6.2.3 6.2.6 6.2.7 3.1.1 5.1.1 5.1.2

Impact CategoryChemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Feed Feed feed

Indicator Text

Allowance for the use of chemicals and therapeutants for disease and pest control that are banned in the importing or producing country

Allowance for the prophylactic use of antibiotics, prior to any evidence of a disease problem

Minimum hold time required before any water in which fish have been fed with feed containing methyl or ethyl testosterone can be released (in Hours)

Allowance for the use of antibiotics critical for human medicine, as categorized by the World Health Organization

Number of treatments of antibiotics over the most recentproduction cycle

The total amount of phosphorus added to the culture system permetric ton of fish produced per year. Use equations from Appendix III. (in Kg)

Feed Fish Equivalence Ratio (FFER). See Appendix IV for feedcalculations.

Allowance for the use of fishmeal and fish oil in tilapia feed containing products from fisheries that are listed on the IUCN’s Red List or the species list maintained by the Convention on the International Trade of Endangered Species of Wild Fauna and Flora


2 2 50 2 1 25 0.6 23 3 51 3 0 24 0.5 3

52 -1 23 0.4

5.1.4a 5.1.4b 6.1.1 2.6.1 4.1.4 4.1.5 2.3.1 2.4.1 2.4.3 2.4.4Feed Feed Mortality/survival/escapes other other other Water quality Water quality Water quality Water quality

Prior to achievement of 5.1.3, the average FishSource score characterizing the fishery(ies) from which the fishmeal or fish oil is derived. See Appendix V for explanation of FishSource scoring. (With no individual score)

Prior to achievement of 5.1.3, the average FishSource score characterizing the fishery(ies) from which the fishmeal or fish oil is derived. See Appendix V for explanation of FishSource scoring. (in stock assessment category)

Percent recovery of fish stocked in production stages after theyhave attained a size of 100 grams

Hectares of allowable wetland conversion since 1999 (in Ha)

In cage culture systems, the minimum distance between the bottom of the cage and the bottom of the receiving water where the cage is placed (in m)

The minimum percentage of males or sterile fish in a culture unit

The percent change in diurnal dissolved oxygen of receivingwaters relative to dissolved oxygen at saturation for the water’s specificsalinity and temperature

Secchi disk visibility limit above which production is not certifiable (in Meters)

Total phosphorus concentration limit in receiving waters (in µg/L)

Chlorophyll a concentration limit in receiving waters (in µg/L)

8 67 2 5 97 63 12 22 69 68 3 6 98 62 13 23 710 69 7 99 61 14 24 8

3.1.2 3.2.1 4.4.2 7.1.1 7.2.1 7.3.1 7.5.2 7.6.1 7.7.1 7.4.1 7.4.2Water quality Water quality Wildlife

interactionsSocial Social Social Social Social Social Social Social

The total amount of phosphorus released from the culturesystem per metric ton of fish produced per year. Phosphorus loading will be either calculated using equations from Appendix III or measured in effluent if there is post-culture treatment. (in Kg)

Percent change in specific conductance of freshwater from a drilled well at the time of drilling and the time of audit. This is required when freshwater wells are used in combination with brackish surface water for the culture of tilapia. Freshwater aquifers are defined as having a specific conductance less than 1,300 µS/cm.

Mortality of IUCN red listed species


Number of incidences of forced, bonded or compulsorylabour


Incidences of abuse of working hours and/or overtime laws

Incidences of employees denied freedom to associate, ability tobargain collectively or denied access to representative(s) chosen byworkers

Incidences of abusive disciplinary actions

Percentage of workers trained in health and safety practices/procedures/ policies

Percentage of health- and safety-related accidents and violations recorded and mitigated through corrective actions

22 12 223 13 324 14

7.4.3 7.5.1Social Social

Employer responsibility and proof of insurance (accident/ injury for employee costs in a job-related accident or injury when not covered under national law

The percentage of employees who are paid fair and decentwages




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Shrimp standard version 1.11.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22

Proposed by UoC and accepted by CAB Proposed by UoC and accepted by CAB


Indicator Number


Description, justification and conclusion for the evaluation

decision



(List site ID's)


(List site ID's)




submitted VRVR used

Q&A submitted/used


Notes

1.1.1

Indicator: Compliance with local and national laws

or regulation

Requirement: Proofs of permits or other relevant

documentation available for applicable regulations

Applicability: All

Compliant

1.1.2

Indicator: Transparency on legal compliance

Requirement: Government-issued operational permits and licenses are publicly available one month after request

Applicability: All

Compliant

2.1.1

Indicator:

Farm owners shall commission a participatory B-EIA

and disseminate results and outcomes openly in

locally appropriate language. The B-EIA process and

document must follow the outline in Appendix of

the Shrimp standard v.1.1

Requirement: Report available and complies to B-

EIA Appendix I of the Shrimp standard v.1.1 process

Applicability: All

Compliant

2.2.1

Indicator: Allowance for siting in Protected Areas

(PAs) (1)

Requirement: None, except within PAs with IUCN

category V if the farming system is regarded as

traditional land use (2), or category VI if the farm

was built legally prior to the designation of the PA

and in both cases is in compliance with the

management objectives and plan of the PA, and

shrimp farming is no more than 25% of the total PA

area (3)

Applicability: All

Compliant

2.2.2

Indicator: Allowance for siting in mangrove

ecosystems (4) and other natural wetlands (5), or

areas of ecological importance as determined by the

B-EIA or national/state/local authority plans/list

Requirement: None for farms built (with or without

permits) after May 1999, except for pumping

stations and inlet/outlet canals provided they have

been permitted by authorities and an equivalent

area is rehabilitated (6) as compensation. For farms

built or permitted before May 1999, farmers are

required to compensate/offset impacts via

rehabilitation as determined by the B-EIA, or the

national/state/local authority plans/list, or 50% of

the affected ecosystem (whichever is greater) (7)

Applicability: All

Compliant

2.3.1

Indicator: Allowance for siting farms (8) in critical

habitats of endangered species (9) as defined by the

IUCN Red List, national listing processes (10) or other

official lists (11)

Requirement: None

Applicability: All

Compliant

2.3.2

Indicator: Maintain habitats critical for endangered

species within farm boundaries and implement

protection measures of such areas

Requirement: Implement protection measures of

habitats identified by the B-EIA process (12)

Applicability: All

Compliant

2.4.1

Indicator: Coastal barriers: Minimum permanent

barrier (or natural) between farm and marine

environments (13)

Requirement: As defined in legislation at the time

of construction, or as determined by the B-EIA, or

following the indications in the Guidance below,

whichever is greater

Applicability: All

Compliant

2.4.2

Indicator: Riparian buffers: Minimum width of

permanent native and natural vegetation between

farms and natural aquatic/brackish environments

Requirement: As defined in national legislation at

the time of construction, or as determined is

necessary by the B-EIA, or following the indications

given in the Guidance below, whichever is greater

Applicability: All

Compliant

2.4.3

Indicator: Corridors: Minimum width of permanent

native and natural vegetation through farms to

provide human or native wildlife movement across

agricultural landscapes

Requirement: As defined in national legislation at

the time of construction, or as determined necessary

for wildlife by the B-EIA, or access issues identified

during B-EIA/p-SIA. Needs for wildlife movement

identified during B-EIA

Applicability: All

Compliant

2.5.1

Indicator: Allowance for discharging saline water to

natural freshwater bodies (14)

Requirement: None

Applicability: Farms located in or connected to

natural freshwater bodies

Compliant

2.5.2

Indicator: Allowance for the use of fresh

groundwater in ponds

Requirement: None

Applicability: All

Compliant

2.5.3

Indicator: Water-specific conductance or chloride

concentration in freshwater wells used by the farm

or located on adjacent properties (15)

Requirement: For all freshwater wells (identified

prior to full assessment), specific conductance may

not exceed 1,500 μS/cm and/or chloride concentration

may not exceed 300 mg/L (16)

Applicability: All well water. This criteria applies

only to well water and does not apply to surface

water. Farms located near freshwater wells or

abstracting freshwater from the ground

Compliant

2.5.4

Indicator: Soil-specific conductance or chloride

concentration in adjacent land ecosystems and

agricultural fields (17, 18)

Requirement: No net increase when compared to

the first year of monitoring


Compliant

2.5.5

Indicator: Specific conductance or chloride

concentration of sediment prior to disposal outside

the farm

Requirement: The specific conductance or chloride

concentration values must not exceed those of the

soil in the disposal area (19)


Compliant

3.1.1

Indicator: Farm owners shall commission or

undertake a participatory Social Impact Assessment

(p-SIA) (20) and disseminate results and outcome

openly in locally appropriate language. Local

government and at least one civil society

organization chosen by the community shall have a

copy of this document. The p-SIA process and

document includes a participatory (shared) impact

and risk analysis with surrounding communities and

stakeholders (21). The participatory element

(community input and response) is visibly included

in the report. Outcomes as agreed between farm

and surrounding community on how to manage risks

and impacts are included in the report

Requirement: The p-SIA report adheres to the steps

outlined in Appendix of the Shrimp standard v.1.1; is

available in the local government, the community

and through the chosen community civil

organization; and the report lists dates of meetings

and names of participants

Compliant

3.2.1

Indicator: Farm owners shall develop and apply a

verifiable conflict

resolution policy for local communities. The policy

shall state how conflicts identified in the p-SIA and

new complaints will be tracked transparently, how

third party mediation can be part of the process and

explain how to respond to all received complaints.

Complaint boxes, complaint registers and complaint

acknowledgement receipts (in local language(s)) are

used

Requirement: Completed

Applicability: All

Compliant

3.2.2

Indicator: Areas of conflict (22) or dispute are

recorded and shared among farm, local government

and surrounding community representatives. At

least 50% of the conflicts shall be resolved (23)

within one year from the date of being filed, and a

total of 75% in the period between two successive

audits

Requirement: Completed

Applicability: All

Compliant

3.3.1

Indicator: Farms shall document evidence of

advertising positions to people living within daily

traveling distance from the farm before hiring

people who cannot travel to and from home on a

daily basis (24)

Requirement: Proof of dated job opening

advertisements in surrounding villages, by means of

either/or signposts, billboards or ads in local

magazines or newspapers

Applicability: Medium and large scale farms: those

who hire more than one permanent worker, non

local worker

Compliant

3.3.2

Indicator: Justifications for employment of each

worker are available, and based on profile and

merits (skills, experience or CV in the case of hired

migrant worker)

Requirement: Written and dated records of

applications and interviews with applicants,

including stating whether they are from an outside

community or from the local area. Records must also

state reasons for successful or unsuccessful

applications. Name and contact details of applicants

will make verification possible

Applicability: Medium and large scale farms: those

who hire more than one permanent worker, non

local worker

Compliant

3.4.1

Indicator: Written contract agreements

Requirement: The contracts are written in an

appropriate language (25), and co-signed copies are

kept by both parties

Applicability: Producers practicing contract farming

Compliant

3.4.2

Indicator: Contract provisions

Requirement: The contracts comply with the

Appendix III of the Shrimp standard v.1.1 on content

of basic provisions to ensure that conditions of the

agreement are mutually understood


Compliant

3.4.3

Indicator: Transparency and openness of

negotiations

Requirement: Meetings between the purchaser and

the contract farmers to discuss and negotiate

agreements are held at least twice a year and

documented. Meetings are attended by at least

three representatives of the farm group or

cooperative. All members contributing to the supply

contract must sign their agreement to the

negotiated terms


Compliant

4.1.1.

Indicator: Minimum age of hired workers

Requirement: 18 years of age

Applicability: All

Compliant

4.2.1

Indicator: Right to full final payment and benefits

Requirement: Employers will not withhold any part

of employee salary, property or benefits upon the

termination of employment

Applicability: All

Compliant

4.2.2

Indicator: Employees have the right to keep identity

documents and

work permits

Requirement: Hired workers are not required to

surrender original identity documents with their

employer upon commencing employment

Applicability: All

Compliant

4.2.3

Indicator: Hired workers have the freedom of

movement outside

working hours

Requirement: Hired workers shall be free to leave

the workplace and manage their resting time

Applicability: All

Compliant

4.3.1

Indicator: Anti-discrimination policy in place,

including, but not limited to, how to deal with

discrimination in the workplace and equal access to

all jobs in relation to gender, age, origin (locals vs.

migrants), race or religion, and outlining clear and

transparent company procedures are to raise/file

and respond to discrimination complaints. Clear and

transparent company procedures are outlined to

raise/file and respond to discrimination complaints

Requirement: Policy document is available on farm

and its content is known by workers. Evidence that

the procedures are in place and being used. No

complaints from workers as to adherence to it

Applicability: All

Compliant

4.3.2


Requirement: None

Applicability: All

Compliant

4.3.3

Indicator: Equality of salaries and opportunities. All

hired workers, independent of their gender, origin,

race or religion, receive equal pay, benefits,

promotion opportunities, job security arrangements

and training opportunities for equal work at equal

role and experience levels within the same

hierarchical position

Requirement: Evidence of equality of salaries and

opportunities

Applicability: All

Compliant

4.3.4

Indicator: Respect of maternity rights and benefits

Requirement: Employers shall not test for

pregnancy and shall not sanction and/or

dismiss on the basis of marital status and shall

guarantee legal rights to pregnancy/maternity leave

Applicability: All

Compliant

4.4.1

Indicator: Percentage of workers trained in health

and safety practices, procedures and policies

relevant to the job. Safety equipment provided and

maintained and in use

Requirement: 100% of workers trained. Certificates

of training issued by the relevant competent

national or provincial authority or by such an

authority-recognized training center are required for

operations with more than five employees (26) and

evidence that safety equipment is in use by workers

Applicability: Farms with more than 5 employees

Compliant

4.4.2

Indicator: Monitoring of accidents and incidents

and corrective actions

Requirement: All job-related accidents and

incidents must be recorded and corrective actions

must be documented and implemented

Applicability: All

Compliant

4.4.3

Indicator: Medical expenses coverage

Requirement: Employer must provide a proof of

coverage of all expenses related to any

accident/injury occurring under the responsibility of

the employer when not covered under national law

Applicability: All

Compliant

4.5.1

Indicator: Minimum wage level as applicable to

their specific job/task description

Requirement: All hired (27) workers, including

temporary workers, must receive pay greater than or

equal to legally set minimum wage according to

country or region in country (whichever applies).

Payments must be done: in legal tender, at the

workplace or in the worker’s bank account, at the

frequency specified in the contract, with clearly

documented pay slips given to workers, including

identification of any deductions, advanced

payments and/or agreed contributions

Applicability: All

Compliant

4.5.2

Indicator: Permanent workers are paid fair wages.

Salaries, if not already at a “fair wage” level, are

gradually increased to include sufficient funds for a

worker’s basic needs plus a discretionary income

that allows for savings and/or pension payments

Requirement: Evidence available confirming fair

wages or gradual pay rises through time-series of

pay slips in farm administration and in the hands of

workers

Applicability: All

Compliant

4.5.3

Indicator: Punishment through infringement of

workers’ rights or wages.

Requirement: No allowance for withholding any

part or all of worker salaries, benefits

or rights acquired or stipulated by law. Not even as

punishment of (alleged) wrongdoings on the part of

the worker (cf. ILO 29 and 105).

Applicability: All

Compliant

4.5.4

Indicator: There is a mechanism for setting wages

and benefits (including, if applicable, the

combination of pay and harvest sharing

arrangements)

Requirement: Decision-making criteria and

processes for wage and benefit adjustments are

known by all workers

Applicability: All

Compliant

4.5.5

Indicator: Revolving labour-contract schemes

designed to deny long-time workers full access to

fair and equitable remuneration and other benefits

Requirement: Prohibited

Applicability: All

Compliant

4.6.1

Indicator: Percentage of workers with access to

trade unions, worker organizations, and/or have the

ability to self-organize and the ability to bargain

collectively (28) or to have access to

representative(s) chosen by workers without

management interference

Requirement: 100% of workers have access, if they

so choose, to worker organizations capable of

representing them independently from the

employer.

Applicability: All

Compliant

4.6.2

Indicator: Members of unions or worker

organizations are not discriminated against by

employers

Requirement: Employers shall not interfere with or

penalize workers for exercising

their right of representation

Applicability: All

Compliant

4.7.1

Indicator: Fairness of disciplinary measures

Requirement: No instances of abuses (29)

Applicability: All

Compliant

4.7.2

Indicator: Clear, fair and transparent disciplinary

policies and procedures

Requirement: Evidence of documentation and

communication to all workers

Applicability: All

Compliant

4.7.3

Indicator: Prohibition of harassment

Requirement: Evidences that any instances have

been addressed and resolved

Applicability: All

Compliant

4.8.1

Indicator: Maximum number of regular working

hours: Eight hours/day or 48 hours/week (maximum

average over 17 week period) including “stand‐by”

hours; with at least one full day (including two

nights) off in every seven-day period

Requirement: Reflected in records available on the

farm and 100% compliance expressed in worker

interviews (30)

Applicability: All

Compliant

4.8.2

Indicator: Right to leave the farm after completion

of daily work duties

Requirement: Evidence of freedom of movement for

all employees

Applicability: All

Compliant

4.8.3

Indicator: Minimum time off from work, with the

right but not the obligation to leave farm premises if

accommodations are on the farm, except where

both the employer and employee agree that off-

days cannot be accommodated on the farm

Requirement: Four full 24-hour periods per month

Applicability: All

Compliant

4.8.4

Indicator: Transport provided to workers (in cases

where farm locations are remote) to allow workers

to enjoy relaxation at home, with family or in places

of recreation of their choosing

Requirement: The farm owner shall provide

transport to and from the first location from which

regular public transport is available.

Applicability: All

Compliant

4.8.5

Indicator: Overtime compensation is provided

Requirement: Paid at a premium rate (31) of at

least 25% above the wage for normal hours

Applicability: All

Compliant

4.8.6

Indicator: Overtime is voluntary, and not longer

than 12 hours/week

Requirement: Occasionally (not on a regular basis)

Applicability: All

Compliant

4.8.7

Indicator: Rights to maternity leave, including daily

breaks or a reduction of hours of work to address

child care needs

Requirement: Maternity leave is a minimum of 14

weeks (total period off-duty period including before

and/or after moment of birth) and includes a

guarantee to return to the job. Payment during this

period shall minimally be at the level of social

insurance offered by the country

Applicability: All

Compliant

4.9.1

Indicator: Allowance for labour-only contracting

relationships (32) or false apprenticeship schemes

(33) including revolving / consecutive labour

contracts to deny benefit accrual

Requirement: None

Applicability: All

Compliant

4.9.2

Indicator: All workers have the appropriate and

applicable permits for working in the country

Requirement: Employer has a list of permit

reference numbers or copies of permits for all

concerned workers

Applicability: All

Compliant

4.9.3

Indicator: Workers are fully aware of their

employment conditions and confirmed their

agreement (verbal or written). Written employment

policies and procedures are required when there are

more than five hired workers

Requirement: Evidence of contract agreement for

all workers. Written contracts: a complete contract is

filed in the office, mutually signed and copies are

available to the worker. Verbal agreements:

employer and worker cite consistent employment

conditions in independent interviews

Applicability: All

Compliant

4.9.4

Indicator: Probation period stipulated in contract

Requirement: The probation period shall follow

prevalent law in the country, but not be more than

30 days in cases laws do not exist or are not

applicable (34)

Applicability: All

Compliant

4.9.5

Indicator: In subcontracting (35) or home-working

arrangements, the farm owner shall assure that

labour laws, social security laws and ratified ILO

provisions have been duly respected and complied

with

Requirement: Confirmation that sub-contractors

and intermediaries have contracts with their

workers that are in accordance with laws and

regulations

Applicability: Producers adopting subcontracting or

home-working arrangements

Compliant

4.10.1

Indicator: The employer ensures that all workers

have access to appropriate channels of

communication with managers on matters relating

to labour rights and working conditions

Requirement: Management and the full workforce

meet at least twice per year on the basis of written

agendas and written minutes of the meetings are

available

Applicability: All farms with >5 workers

Compliant

4.10.2

Indicator: Percentage of issues raised by workers

which are recorded, responded to and monitored by

employer

Requirement: 100%


Compliant

4.10.3

Indicator: Clear plan, with process actions and

timeframe, is developed to address complaints, and

comply with

Requirement: List of complaints, corresponding

action plan and timeframe for resolution is available


Compliant

4.10.4

Indicator: Percentage of complaints that are

resolved within three months after being received

Requirement: 90%, according to the timeframe of

4.10.3


Compliant

4.11.1

Indicator: Living conditions for workers

accommodated on the farm are decent and safe

Requirement: All facilities are clean, sanitary,

rainproof, safe and suitable for habitation. Shared

quarters need to include provisions that allow for

visibility privacy, such as walls, curtains or movable

rattan/bamboo screens. Potable water and cooking

facilities or catering facilities are available to all

accommodated workers on the farm premises

Applicability: All

Compliant

4.11.2

Indicator: Adequate facilities for women (36)

Requirement: Separate and suitable sanitary and

toilet facilities are available for men and women,

with the possible exception of married couples

being accommodated together


Compliant

5.1.1

Indicator: Develop and maintain an operational

health plan addressing:

1) Pathogens that can come from the surrounding

environment into the farm (e.g., predator and vector

control),

2) Pathogens that can spread from the farm to the

surrounding environment (e.g., effluent

filtration/sterilization, and waste such as dead-

shrimp management)

3) Spreading of pathogens within the farm. Critical

to avoid cross contamination, detect and prevent

emerging pathogen(s), and monitor external signs of

pathologies and moribund animals

Requirement: Demonstration that the operational

health plan is functional

Applicability: All

Compliant

5.1.2

Indicator: Filtration of inlet water for minimizing

the entry of pathogens

Requirement: Nets, grills, screens or barriers of the

appropriate mesh size (37) are present on all farm or

pond inlets.

Applicability: All

Compliant

5.1.3

Indicator: Annual average farm survival rate (38)

(SR):

1) Unfed and non-permanently aerated pond

systems

2) Fed but non-permanently aerated pond (39)

systems

3) Fed and permanently aerated pond systems

Requirement:

SR >25%

SR >45%

SR >60%

Applicability: All

Compliant

5.1.4

Indicator: Percent of stocked post larvae (PLs) that

are Specific Pathogen Free (SPF) (40) or Specific

Pathogen Resistant (SPR) (41) for all important

pathogens (42)

Requirement: 100% if commercially available (43),

i.e., if for any given species, at least 20% of the PLs

stocked in the country are from SPF or SPR stocks,

then the supply is deemed commercially available. If

not commercially available, PLs screened for all

important pathogens can be used

Applicability: All

Compliant

5.2.1

Indicator: Allowance for intentional lethal predator

control of any protected, threatened or endangered

species as defined by the International Union for

Conservation of Nature (IUCN) Red List (44) national

listing processes (45), or other official lists (46)

Requirement: None

Applicability: All

Compliant

5.2.2

Indicator: Allowance for use of lead shot and select

chemicals for predator control

Requirement: None

Applicability: All

Compliant

5.2.3

Indicator: In case lethal predator control is used, a

basic monitoring program must be in place for

documenting the frequency of visits, variety of

species and number of animals interacting with the

farm

Requirement: Yes

Applicability: All

Compliant

5.3.1

Indicator: Allowance for use of antibiotics and

medicated feed on ASC-labelled products (farm can

be certified but specific product receiving medicated

feed will not be authorized to carry ASC label)

Requirement: None

Applicability: All

Compliant

5.3.2

Indicator: Allowance for the use of antibiotics

categorized as critically important by the World

Health Organization (47) (WHO), even if authorized

by the pertinent national authorities

Requirement: None

Applicability: All

Compliant

5.3.3

Indicator: Information on chemical storage and

usage

Requirement: Records of stocks and usage are

available for all products

Applicability: All

Compliant

5.3.4

Indicator: Proper use of chemical products by farm

workers

Requirement: Evidences of worker awareness /

training and instructions are available

Applicability: All

Compliant

5.3.5

Indicator: Allowance for treating water with

pesticides banned or restricted by the Rotterdam

Convention on Prior Informed Consent (PIC), the

Stockholm Convention on Persistent Organic

Pollutants (POPs) or classed as “extremely

hazardous” or “highly hazardous” (classes Ia and Ib)

by the World Health Organization (WHO)

Requirement: None

Applicability: All

Compliant

5.3.6

Indicator: Allowance for discharge of any hazardous

chemicals without previous neutralization (38)

Requirement: None

Applicability: All

Compliant

5.3.7

Indicator: Use of probiotic bacterial strains

excluding the use of fermented product to seed

further batches

Requirement: Only probiotic products approved by

the appropriate competent authorities can be used

Applicability: All

Compliant

6.1.1

Indicator: Use of non-indigenous shrimp species

(39)

Requirement: Allowed, provided it is in commercial

production locally (40) AND there is no evidence (41)

of establishment or impact on adjacent ecosystems

by that species AND there is documentation

(hatchery permits, import licenses, etc.) that

demonstrates compliance with introduction

procedures as identified by regional, national and

international importation guidelines (e.g., OIE and

ICES (42))

Applicability: All

Compliant

6.1.2

Indicator: Prevention measures in place to prevent escapes at harvest and during grow‐out include: A. Effective screens or barriers of appropriate mesh size for the smallest animals present; double screened when non‐ indigenous species.B. Perimeter pond banks or dykes are of adequate height and construction to prevent breaching in exceptional flood event (43)C. Regular, timely inspections are performed and recorded in a permanent register D. Timely repairs to the system are recordedE. Installation and management of trapping devices to sample for the existence of escapes; data is recordedF. Escape recovery protocols in place

Requirement: Yes

Applicability: All

Compliant

6.1.3

Indicator: Escapes and actions taken to prevent

reoccurrence

Requirement: Records are available for inspection

Applicability: All

Compliant

6.2.1

Indicator: PL and broodstock have appropriate

disease-free status and sources meet regional,

national and international importation guidelines

(e.g., OIE and ICES)

Requirement: Documentation provided

demonstrating compliance within two years of

standard's publication date for wild monodon

broodstock sourced locally; applicable immediately

in all other cases

Applicability: All

Compliant

6.2.2

Indicator: Percent of total post larvae from closed

loop hatchery (i.e., farm-raised broodstock)

Requirement: P. vannamei, P. indicus, P. stylirostris

100% P. monodon must be increased over time, and

reach 100% within six years after the publication of

the standard

Applicability: All

Compliant

6.2.3

Indicator: Origin of wild-caught broodstock

Requirement: Sourced from locally fished

broodstock only (44)

Applicability: Farms using seed generated from

wild-caught P. monodon

Compliant

6.2.4

Indicator: Allowance for wild-caught PL other than

natural tidal flow into ponds

Requirement: None

Applicability: All

Compliant

6.3.1

Indicator: Allowance for the culture of transgenic

shrimp (including the offspring of genetically

engineered shrimp)

Requirement: None

Applicability: All

Compliant

7.1.1

Indicator: Evidence of basic traceability of feed

ingredients, including source, species, country of

origin and harvest method demonstrated by the

feed producer (45)

Requirement: List of all ingredients making up more

than 2% of the feed available provided on company

letterhead

Applicability: All

Compliant

7.1.2

Indicator: Demonstration of chain of custody and

traceability for fisheries products in feed through an

ISEAL member or ISO 65 compliant certification

scheme that also incorporates the FAO (46) Code of

Conduct for Responsible Fisheries

Requirement: Yes

Applicability: All

Compliant

7.2.1a

Indicator: Timeframe for 100% (mass balance)

fishmeal and fish oil used in feed to come from

fisheries (47) certified by a full ISEAL member (48)

that has guidelines specifically promoting ecological

sustainability of forage fisheries

Requirement: Within five years following the date

of standards publication

Applicability: All, after March 2019

Compliant

7.2.1b

Indicator: FishSource score (49, 50), for the

fishery(ies) from which a minimum of 80% of the

fishmeal and fish oil by volume is derived (See

Appendix IV, subsection 3 of the Shrimp standard

v.1.1 for explanation of FishSource scoring)

a. for Fishsource Criteria 4 (spawning biomass

assessment)

b. for Fishsource Criteria 1, 2, 3 and 5

Requirement:

a. 8

b. 6

or compliance with alternative interim proposal

7.1.1c

Applicability: All

Compliant

7.2.1c

Indicator: Lacking a FishSource assessment a fishery

could be engaged in an Improvers Programme.

(transparent and public Fisheries Improvement

Project (FIP) with periodic public reporting (refer to

Appendix VII of the Shrimp standard v.1.1)

Requirement: See Appendix VII of the Shrimp

standard v.1.1 for details on compliance

Applicability: All

Compliant

7.2.2

Indicator: Percentage of non-marine ingredients

from sources certified by an ISEAL member’s

certification scheme that addresses environmental

and social sustainability

Requirement: 80% for soy and palm oil within five

years from the date of the ASC Shrimp Standard's

publication

Applicability: All, after March 2019

Compliant

7.3.1

Indicator: Allowance for feed containing ingredients

that are genetically modified ONLY when

information regarding the use of GM ingredients in

shrimp feed is made easily available to retailers and

end consumers, including:

a. Disclosure on the audit reports if GMO ingredients

were used in the feed fed to shrimp

b. Disclosure if GMO ingredients were used in the

feed fed to ASC-certified shrimp all along the supply

chain up to the retailer. Total disclosure on the

revised auditor reports are published on an easy-

access database on the ASC web page (when

available). This database, when available, should be

made available on demand to retailer and

consumers.

c. Use of the most adequate, fast and user-friendly

communication tools to inform retailers and

consumers on all certified products


Compliant

7.3.2

Indicator: List of feed ingredients does not contain

any GMO

Requirement: Yes

Applicability: Farmers using GM-free feed

Compliant

7.3.3

Indicator: Non-GMO feed traceability by the feed

producer and on the farm

Requirement: Yes


Compliant

7.3.4

Indicator: Samples taken randomly by the auditor

are tested negative by PCR

Requirement: Yes


Compliant

7.4.1

Indicator: Feed Fish Equivalence Ratio (FFER) (52) L.

vannamei and P. monodon

Requirement:

L. vannamei ≤1.35:1 and

P. monodon ≤1.9: 1

Applicability: All

Compliant

7.4.2 a

Indicator: Economic Feed Conversation Ratio (eFCR)

Requirement: Records are available

Applicability: All

Compliant

7.4.2.b

Indicator: Protein Retention Efficiency

Requirement: Records are available

Applicability: All

Compliant

7.5.1

Indicator: Nitrogen effluent load per ton of shrimp

produced over a 12-month period (53)

Requirement:

Less than 25.2 kg N per ton of shrimp for L.

vannamei. Less than 32.4 kg N per ton of shrimp for

P. monodon

Applicability: All

Compliant

7.5.2

Indicator: Phosphorous effluent load per ton of

shrimp produced over a 12-month period

Requirement: Less than 3.9 kg P per ton of shrimp

for L. vannamei. Less than 5.4 kg P per ton of shrimp

for P. monodon

Applicability: All

Compliant

7.5.3

Indicator: Responsible handling and disposal of

sludge and sediments removed from ponds and

canals

Requirement: No discharge or disposal of sludge

and sediments to public waterways and wetlands

Applicability: All

Compliant

7.5.4

Indicator: Treatment of effluent water from

permanently aerated ponds

Requirement: Evidence that all discharged water

goes through a treatment system (54), and

concentration of settleable solids in effluent water <

3.3 mL/L (55)

Applicability: Farms with permanently aerated

ponds

Compliant

7.5.5

Indicator: Percentage change in diurnal dissolved

oxygen (DO) relative to DO at saturation in receiving

water body (56) for the water's specific salinity and

temperature


Applicability: All

Compliant

7.6.1

Indicator: Energy consumption (57) by sources (58)

over a 12-month period

Requirement: Records available for all activities

Applicability: All

Compliant

7.6.2

Indicator: Annual Cumulative Energy Demand

(megajoules/ton of shrimp produced) (59) over a 12-

month period

Requirement: Records available for verification of

calculations

Applicability: All

Compliant

7.7.1

Indicator: Safe storage and handling of chemicals

and hazardous materials (60)

Requirement: Evidence of procedures in place.

Applicability: All

Compliant

7.7.2

Indicator: Responsible handling and disposal of

wastes based on risk assessment and possibilities of

recycling

Requirement: Evidence of procedures in place.

Applicability: All

Compliant


Corresponds to ASC Shrimp standard version 1.1

Indicator No 5.3.1 5.3.2 5.3.5 5.3.6 7.2.1a 7.2.1bImpact Category Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Chemicals/therapeutants Feed Feed

Indicator Text

Allowance for use of antibiotic and medicated feed on ASC‐labelled products (farm can be certified but specific product receiving medicated feed will not be authorized to carry ASC label).

Allowance for the use of antibiotics categorized as critically important by the World Health Organization (WHO), even if authorized by the pertinent national authorities.

Allowance for treating water with pesticides banned or restricted by the Rotterdam Convention on Prior Informed Consent (PIC), the Stockholm Convention on Persistent Organic Pollutants (POPs) or classed as “extremely hazardous” or “highly hazardous” (classes Ia and Ib) by the World Health Organization (WHO).

Allowance for discharge of any hazardous chemicals without previous neutralization

Timeframe for 100% (mass balance) fishmeal and fish oil used in feed to come from fisheries certified by a full ISEAL member that has guidelines specifically promoting ecological sustainability of forage fisheries (In Years)

FishSource score, for the fishery(ies) from which a minimum of 80% of the fishmeal and fish oil by volume is derived (See Appendix IV, subsection 3 for explanation of FishSource scoring)a. for Fishsource Criteria 4 (spawning biomass assessment) (or compliance with alternative interim proposal 7.1.1c)


7.2.1c 7.2.2 7.4.1a 7.4.1b 5.1.3a 5.1.3b 5.1.3c 6.2.2aFeed Feed Feed Feed Mortality/survival/escapes Mortality/survival/escapes Mortality/survival/escapes other

FishSource score , for the fishery(ies) from which a minimum of 80% of the fishmeal and fish oil by volume is derived (See Appendix IV, subsection 3 for explanation of FishSource scoring) b. for Fishsource Criteria 1, 2, 3 and 5 (or compliance with alternative interim proposal 7.1.1c)

Percentage of non-marine ingredients from sourcescertified by an ISEAL member’s certification scheme that addresses environmental and social sustainability

Feed Fish Equivalence Ratio (FFER) L. vannamei

Feed Fish Equivalence Ratio (FFER) P. monodon

Annual average farm survival rate (SR):1) Unfed and non-permanently aerated pond systems

Annual average farm survival rate (SR): 2) Fed but non-permanently aerated pond systems

Annual average farm survival rate (SR): 3) Fed and permanently aerated pond systems.

Percent of total post larvae from closed loop hatchery for L. vannamei, P. indicus, P. stylirostris(i.e., farm-raised broodstock)

6.2.2b 2.5.3a 2.5.3b 7.5.1a 7.5.1b 7.5.2a 7.5.2b 7.5.4 7.5.5 4.3.2other Water quality Water quality Water quality Water quality Water quality Water quality Water quality Water quality Social

Percent of total post larvae from closed loop hatchery for P.Monodon ( must be increased over time, and reach 100% within six years after the publication of the standard.)(i.e., farm-raised broodstock)

Water-specific conductance in freshwater wells used by the farm or located on adjacentproperties. (in μS/cm)

Chloride concentration in freshwater wells used by the farm or located on adjacent properties. (in mg/l)

Nitrogen effluent load per ton of shrimp produced for L. vannameiover a 12-month period.

Nitrogen effluent load per ton of shrimp produced for P. monodonover a 12-month period.

Phosphorous effluent load per ton of shrimp produced for L. vannamei. over a 12-month period

Phosphorous effluent load per ton of shrimp produced for P. monodonover a 12-month period

Treatment of effluent water from permanently aerated ponds. Evidence that all discharged water goes through atreatment system, and concentration of settleable solids ineffluent water (in ml/l)

Percentage change in diurnal dissolved oxygen (DO)relative to DO at saturation in receiving water body for thewater's specific salinity and temperature.


4.4.1 4.6.1 4.10.2 4.1.1 4.8.1 4.8.3 4.8.5 4.9.4 4.10.4Social Social Social Social Social Social Social Social Social

Percentage of workers trained in health and safety

practices, procedures and policies relevant to the job. Safety equipment provided and maintained and in use.

Percentage of workers with access to trade unions,worker organizations, and/or have the ability to self-organize and the ability

to bargain collectively or to have access to representative(s) chosen by workers without management

interference

Percentage of issues raised by workers which are

recorded, responded to and monitored by employer.

Minimum age of hired workers

Percentage of compliance: Maximum

number of regular working hours per week

(48 hours/week)

Minimum time (in days) off from work, with the right but not the obligation to leave farm premises if

accommodations are on the farm, except where both the employer and employee agree

that off-days cannot be accommodated on the farm

Overtime compensation is provided (minimum percentage

above the wage for normal hours)

Probation period stipulated in contract

(In days)

Percentage of complaints that are resolved within

three months after being received.




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCorresponds to ASC Pangasius standard version 1.21.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 1.16 1.17 1.18 1.19 1.20 1.21 1.22




Indicator Number



evaluation decision



(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of submitted

VRVR used

Q&A submitted/used

Root cause analysis

NC correction NC Corrective action Auditor evaluation Extension justificationNew deadline for NC

close-outNotes

1.1.1

Indicator: Presence of all pertinent permits and registrations required by local and national authorities

Requirement: Yes

Applicability: All

Compliant

1.1.2

Indicator: Presence of documents proving compliance with pertinent tax laws

Requirement: Yes

Applicability: All

Compliant

1.1.3

Indicator: Presence of documents proving compliance with pertinent water discharge (including water effluents) regulations

Requirement: Yes

Applicability: Ponds

Compliant

1.1.4

Indicator: Presence of documents proving compliance with local and national legal regulations on land and water use

Requirement: Yes

Applicability: All

Compliant

2.1.1

Indicator: Farm (6) located in approved aquaculture development areas

Requirement: Yes

Applicability: All

Compliant

2.2.1

Indicator: For ponds (7), evidence (8) farm has not been sited or expanded in natural wetland (as defined by Ramsar)

Requirement: After May 1999

Applicability: For Ponds

Compliant

2.2.2

Indicator: Evidence that a contribution of at least USD $0.50 per tonne of fish produced has been paid to the environmental and social restoration fund (9) annually

Requirement: Yes

Applicability: All

Compliant

2.2.3

Indicator: The farm has not discharged earth into common water bodies (10,11)

Requirement: Yes

Applicability: All

Compliant

2.2.4

Indicator: The farm has not had a negative impact on endangered species (12,13)

Requirement: Yes

Applicability: All

Compliant

2.3.1

Indicator: Farm does not impede navigation, aquatic animals or water movement

Requirement: Yes

Applicability: Pens and Cages

Compliant

2.3.2

Indicator: For cages, minimum width of the water body (16) without cages (see Diagram 1, Annex C of the Pangasius standard v.1.2)


Applicability: Cages

Compliant

2.3.3

Indicator: For pens, maximum width a farm can occupy calculated when the water body level/width is at its minimum (see Diagram 2, Annex C of the Pangasius standard v.1.2)

Requirement: ≤ 20% percent of the width of the water body

Applicability: Pens

Compliant

2.3.4

Indicator: For pens, maximum number of contiguous pens allowed (see Diagram 3, Annex C of the Pangasius standard v.1.2)

Requirement: Two, only if a stretch of river bank that is at least the length of the two pens is left free from farms on both sides of the pens

Applicability: Pens

Compliant

2.4.1

Indicator: Farm complies with water allocation (17) limits as set by local authorities or a reputable independent institution (18)

Requirement: Yes


Compliant

2.4.2

Indicator: For ponds. Maximum ratio of total water abstracted (19) (not consumed) per ton of fish produced (calculate abstracted water using formula in Annex D of the Pangasius standard v.1.2)

Requirement: 5,000 m3/metric ton of fish produced


Compliant

3.1.1

Indicator: For cages and pens, maximum amount of total phosphorus (TP) (20) added as feed per metric ton of fish produced

Requirement: 20 kg/t

Applicability: Pens and Cages

Compliant

3.1.2

Indicator: For cages and pens, maximum amount of total nitrogen (TN) (21) added as feed (22) per metric ton of fish produced.

Requirement: 70 kg/t

Compliant

3.1.3

Indicator: For ponds, amount of TP discharged per metric ton of fish produced (See TP measurement methodology and calculation in Annex D of the Pangasius standard v.1.2)

Requirement: 7.2 kg/t


Compliant

3.1.4

Indicator: For ponds, amount of TN discharged per metric ton of fish produced (See TN measurement methodology and calculation in Annex D of the Pangasius standard v.1.2)

Requirement: 27.5 kg/t


Compliant

3.2.1

Indicator: Percentage change in diurnal dissolved oxygen (23) (DO) of receiving waters (24) relative to DO at saturation for the water's specific salinity and temperature. An exception is made for ponds that discharge water with TN and TP lower than the TN and TP of the intake water respectively (see DO measurement methodology in Annex D of the Pangasius standard v.1.2)

Requirement: <=65%

Applicability: All

Compliant

3.3.1

Indicator: Maximum average percentage change of TP between inlet and outlet (See TP measurement methodology and TP discharge formula in Annex D of the Pangasius standard v.1.2)

Requirement: 100%


Compliant

3.3.2

Indicator: Maximum average percentage change of TN between inlet (26) and outlet (27) (See TN measurement methodology and TN discharge formula in Annex D of the Pangasius standard v.1.2)

Requirement:: 70%


Compliant

3.3.3

Indicator: Minimum dissolved oxygen (DO) concentration in water discharged (See DO measurement methodology in Annex D of the Pangasius standard v.1.2)

Requirement: 3 mg/l


Compliant

3.4.1

Indicator: Evidence that sludge is not discharged directly into receiving waters or natural ecosystems (29)

Requirement: Yes

Applicability: All

Compliant

3.4.2

Indicator: Evidence of a sludge repository of appropriate size (See Sludge Repository formula in Annex D of the Pangasius standard v.1.2)

Requirement: Yes

Applicability: Farms managing the sludge using a repository

Compliant

3.5.1

Indicator: Evidence of farm solid wastes being discharged into the natural environment

Requirement: None

Applicability: All

Compliant

3.5.2

Indicator: Evidence of human and animal solid wastes being discharged into the natural environment

Requirement: None

Applicability: All

Compliant

3.5.3

Indicator: Evidence of chemical and medicine wastes being discharged into the natural environment

Requirement: None

Applicability: All

Compliant

3.5.4

Indicator: Evidence of proper disposal (31) of dead/moribund fish

Requirement:: Yes

Applicability: All

Compliant

3.6.1

Indicator: Evidence of an energy use assessment of on-farm energy consumption, measured in kilojoule/t fish/year.

Requirement: Yes

Applicability: All

Compliant

4.1.1

Indicator: Farm located in a river basin where the farmed species is indigenous or has a self-recruiting (33) stock established before 1st January 2005

Requirement: Yes

Applicability: Farms in a river basin where the species is either indigenous or has a self-recruiting stock established

Compliant

4.1.2

Indicator: If a self-recruiting stock is established, evidence of no negative impacts on the environment (34)

Requirement: Yes

Applicability: Farms in a river basin where the species is not indigenous and a self-recruiting stock is established

Compliant

4.1.3

Indicator: If the species is not indigenous and does not have a self-recruiting stock established, evidence that the species cannot establish in the river basin (35)

Requirement: Yes

Applicability: Farms in a river basin where the species is not indigenous and does not have a self-recruiting stock established

Compliant

4.2.1

Indicator: Demonstration (36) that the seed (37) has been generated from the pangasius population naturally reproducing in the river basin (38)

Requirement: Yes

Applicability: Farms in a river basin where the species is either indigenous or has a self-recruiting stock established

Compliant

4.3.1

Indicator: Allowance for use of wild-caught seed for grow out

Requirement: None

Applicability: All

Compliant

4.4.1

Indicator: No use of genetically engineered (transgenic (39)) or hybrid seed

Requirement: Yes

Applicability: All

Compliant

4.5.1

Indicator: Evidence that inlets and outlets to culture systems and all confinements are equipped with net mesh or grills appropriately sized to retain the stocks in culture preventing fish of any size (in the holding unit being assessed) to escape

Requirement: Yes

Applicability: All

Compliant

4.5.2

Indicator: Evidence of regular, timely inspections (at least once a day); mitigation and repairs are performed on net mesh or grills and recorded in a permanent register (available for inspection)

Requirement: Yes

Applicability: All

Compliant

4.5.3

Indicator: Bund (40) height sufficient (41) to prevent water spillage, along with escapees, in the rainy season when flooding occurs

Requirement: Yes


Compliant

4.5.4

Indicator: Presence of trapping devices (42) placed in effluent/drainage canals or on water outlets to capture escapees, a record of findings and actions taken (available for inspection)

Requirement: Yes

Applicability: All

Compliant

4.6.1

Indicator: Evidence that the bund has remained intact (43) throughout the culture cycle

Requirement: Yes

Applicability: All

Compliant

4.6.2

Indicator: Evidence assuring there has been no intentional release (44)

Requirement:: Yes

Applicability: All

Compliant

5.1.1

Indicator: Use of uncooked or unprocessed fish and/or fish products (45) (including trash fish) as feed

Requirement: No

Applicability: All

Compliant

5.1.2

Indicator: Use of pangasius fish processing by-products (46) as feed or feed ingredients

Requirement: No

Applicability: All

Compliant

5.1.3

Indicator: Fish products used in feed are not in the “threatened categories” (47) on the International Union for Conservation of Nature (IUCN) Red List of Threatened Species (48)

Requirement: Yes

Applicability: All

Compliant

5.1.4

Indicator: Fish products used in feed are not from species listed in the Convention on International Trade in Endangered Species (CITES) Appendices I, II and III (49)

Requirement: Yes

Compliant

5.1.5

Indicator: ISEAL-certified fishmeal and fish oil products must be used in feed

Requirement: Within 3 years of becoming available in a region

Applicability: Not required (50)

Compliant

5.1.6

Indicator: ISEAL certified fishmeal and fish oil products must be used in feed

Requirement: Within 5 years from the publication date of the PAD standards

Applicability: Not required (54)

Compliant

5.1.7

Indicator: Up to when requirement 5.1.5 or 5.1.6 can be met:

Interim Option A: Fishmeal or fish oil products used in feed have been sourced from fisheries with an average FishSource (FS) score

Interim Option B: Fish Products used in feed have been sourced from facilities certified as being in compliance with Sections 11 (Responsible Sourcing), 2 (Traceability), and 3 (Responsible Manufacturing) of the International Fishmeal and Fish Oil Organisation’s (IFFO) “Responsible Sourcing Program for Certification of Responsible Practice for Fishmeal and Fish Oil Production

Requirement: For option A: ≥ 6.0 for all categories For Option B: Yes

Applicability: All

Compliant

5.1.8

Indicator: Evidence of disclosure to the buyer of the pangasius, of inclusion of transgenic (51) plant raw material, or raw materials derived from transgenic plants, in the feed.

Requirement: Yes, for each individual raw material containing > 1% transgenic content.

Applicability: All

Compliant

5.2.1

Indicator: Maximum weighted (56) average of economic Feed Conversion Ratio (eFCR) for the complete production cycle

Requirement: 1.68

Applicability: All

Compliant

5.2.2

Indicator: Maximum Fish Feed Equivalence Ratio (FFER)

Requirement: 0.5

Applicability: All

Compliant

6.1.1

Indicator: Maximum average real percentage mortality, from stocking to harvest, during the grow-out period (See Real Percent Mortality formula in Annex D of the Pangasius standard v.1.2)

Requirement: 20 %

Applicability: All

Compliant

6.2.1

Indicator: Use only veterinary medicines, chemicals and biological products approved for aquaculture by relevant national authorities and not banned for food fish use in the potential importing country

Requirement: Yes

Applicability: All

Compliant

6.2.2

Indicator: Use only veterinary medicines and chemicals for therapeutic use prescribed by an aquatic animal health specialist (61) based on a verified condition; follow the label specifications concerning the use of the substance for the given purpose (62)

Requirement: Yes

Applicability: All

Compliant

6.2.3

Indicator: Follow the aquatic animal health specialist recommendations on:1- How to apply the veterinary medicine and chemicals prescribed2 - How to handle & store the veterinary medicines and chemicals prescribed3 - who needs to be informed about the disease and how4 - How to limit the spread of the disease to neighbouring wild or farmed populations

Requirement: Yes

Applicability: All

Compliant

6.2.4

Indicator: Allowance to sell fish or fish products before the completion of the withdrawal period specified on veterinary medicine or chemical labels or 750 °D if no withdrawal is specified on label

Standard: None

Applicability: All

Compliant

6.2.5

Indicator: Allowance for the use of antibiotics critical for human medicine, as categorised by the World Health Organization (WHO) (63)

Requirement: None

Applicability: All

Compliant

6.2.6

Indicator: Allowance for prophylactic use of veterinary medicines (excluding vaccines) prior to any evidence of a specific disease problem

Standard: None

Applicability: All

Compliant

6.2.7

Indicator: Allowance for use of veterinary medicine (excluding vaccines) to serve as growth promoters (64)

Requirement: None

Applicability: All

Compliant

6.2.8

Indicator: Calculation and verification of the total amount of each antibiotic (active ingredient) used per tonne of fish produced per year and of the frequency of treatments

Requirement: Measured in kilograms of active ingredient of individual antibiotic/tonne of fish produced/year

Applicability: All

Compliant

6.3.1

Indicator: Presence of a written pangasius health plan reviewed yearly, updated and approved by a specified aquatic animal health specialist (65) (See Annex E of the Pangasius standard v.1.2 for Health Plan Checklist)

Requirement: Yes

Applicability: All

Compliant

6.4.1

Indicator: Availability of records of the name, reasons for use, dates, amounts and withdrawal times of all veterinary medicines and chemicals used in hatchery and grow-out facilities

Requirement: Yes

Applicability: All

Compliant

6.4.2

Indicator: Availability of records of the source, size and quality of the seed stocked. Records of seed quality should include: 1- Description of gross signs and any abnormalities 2- List of veterinary medicines, chemicals and biological products used in earlier life stages 3- Results of pathogen testing as legislated

Requirement: Yes

Applicability: All

Compliant

6.4.3

Indicator: Daily records showing regular monitoring of fish for signs of stress (66) or disease are kept

Requirement: Yes

Applicability: All

Compliant

6.4.4

Indicator: All mortality events with daily mortality above the average daily mortality in the farm are reported to the aquatic animal health specialist

Requirement: Yes

Applicability: All

Compliant

6.5.1

Indicator: Minimum average growth rate

Requirement: 3.85 g/day

Applicability: All

Compliant

6.5.2

Indicator: Maximum fish density at any time

Requirement: 38 kg/m2 for ponds and pen

Applicability: Ponds and Pens

Compliant

6.5.3

Indicator: Maximum fish density at any time

Requirement: 80 kg/m3 for cages

Applicability: Cages

Compliant

6.6.1

Indicator: Use of lethal predator (67) control

Requirement: No

Applicability: All

Compliant

6.6.2

Indicator: Mortality of IUCN red listed species.


Applicability: All

Compliant

7.1.1

Indicator: Compliance with labour laws in the country where pangasius is produced

Requirement: Yes

Compliant

7.2.1

Indicator: Minimum age of workers

Requirement: Yes

Applicability: All

Compliant

7.2.2

Indicator: For workers under 18 years olds

1 - Work does not jeopardize schooling 2 - Work, when added to the hours of schooling, does not exceed 10 hour/day 3 - Work is restricted to light work (70) 4 - Work is restricted to non-hazardous work (71)

Requirement: Yes

Applicability: Farms with employees younger than 18 years old

Compliant

7.3.1

Indicator: Workers are free to terminate their employment and receive full payment until the last day of their employment, based on reasonable (73) notice given to their employer (74)

Requirement: Yes

Applicability: All

Compliant

7.4.1

Indicator: The employer provides a non-hazardous working and living environment

Requirement: Yes

Applicability: All

Compliant

7.4.2

Indicator: Workers are aware of the health and safety hazards (75) at the work place and how to deal with them

Requirement: Yes

Applicability: All, Farm-Wide

Compliant

7.4.3

Indicator: The employer records all accidents, even if minor, (76) and take preventive and corrective action for each

Requirement: Yes

Applicability: All

Compliant

7.4.4

Indicator: Employer ensures that all permanent workers have health insurance (77)

Requirement: Yes

Applicability: All

Compliant

7.5.1

Indicator: Workers (79) have the right to form or join organizations to defend their rights (including their right to collective bargaining), without interference from the employer and without suffering negative consequences as a result of exercising this right (80)

Requirement: Yes

Applicability: All

Compliant

7.6.1

Indicator: Workers do not suffer any discrimination (81) from the employer or other workers

Requirement: Yes

Applicability: All

Compliant

7.7.1

Indicator: Employers treat all workers with dignity and respect

Requirement: Yes

Applicability: All

Compliant

7.8.1

Indicator: Maximum number of regular working hours

Requirement: 8h/day or 48h/week (although these do not have to be consecutive hours)

Applicability: All

Compliant

7.8.2

Indicator: Workers have the right to leave the farm after completing the standard work-day

Requirement: Yes


Compliant

7.8.3

Indicator: Minimum time off

Requirement: Two nights/week off if residing on the farm and a total of four days/month off for all workers


Compliant

7.8.4

Indicator: Overtime hours 1- Are voluntary 2- do not exceed a maximum of 12 hours per week 3- occur on an exceptional (not regular) basis 4- are paid at a premium rate (82), ( i.e. an additional 20% is paid to the normal salary)

Requirement: Yes


Compliant

7.9.1

Indicator: The employer pays at least minimum wages as defined by law, or ensures that wages cover basic needs, (83) plus some discretionary income, (84) whichever is higher

Requirement: Yes


Compliant

7.9.2

Indicator: Workers have the right to know the mechanism for setting the wages and benefits

Requirement: Yes

Applicability: All

Compliant

7.9.3

Indicator: Wages shall be paid in cash or in a manner most convenient to workers

Requirement: Yes

Applicability: All

Compliant

7.10.1

Indicator: Workers have copies of, and can understand, their labour contract (85)

Requirement: Yes

Applicability: All

Compliant

7.10.2

Indicator: Maximum length of probation period stated in the contract for workers, other than farm managers and workers with an university degree

Requirement: 1 month

Applicability: All

Compliant

7.10.3

Indicator: Maximum length of probation period stated in the contract for farm managers and workers with an university degree

Requirement: 2 months

Applicability: All

Compliant

7.11.1

Indicator: The employer ensures all workers have appropriate channels to communicate anonymously with employers on matters relating to labour rights and working conditions

Requirement: Yes

Applicability: All

Compliant

7.11.2

Indicator: Percentage of issues raised by workers which are registered, tracked and responded to by the employer

Requirement: 100%

Applicability: All

Compliant

7.11.3

Indicator: Percentage of complaints that are resolved (86) within one month after being received (87)

Requirement: 90%

Applicability: All

Compliant

7.11.4

Indicator: A plan for addressing the yet to be resolved conflicts is developed and complied with

Requirement: Yes

Applicability: All

Compliant

7.11.5

Indicator: Timeframe for the contracting (88) of suppliers and service providers that ensure suitable health and safety conditions for their workers (89)

Requirement: Within 1 year from achieving certification

Applicability: All

Compliant

7.12.1

Indicator: Records of the hours worked by every worker employed in the farm are available

Requirement: Yes


Compliant

7.13.1

Indicator: A participatory Social Impact Assessment (p-SIA) (90) is conducted (See Annex F of the Pangasius Standard for more information) and identified impact are mitigated

Requirement: Yes

Applicability: All

Compliant

7.13.2

Indicator: Local communities, (91) local government and at least one civil society organization chosen by community have a copy of the p-SIA in locally appropriate language

Requirement: Yes

Applicability: All

Compliant

7.14.1

Indicator: A verifiable conflict resolution policy (92,93), for local communities is developed and applied

Requirement: Yes

Applicability: All

Compliant

7.14.2

Indicator: Complaint boxes, complaint registers, and complaint acknowledgement receipts in local language(s) are used

Requirement: Yes

Applicability: All

Compliant

7.14.3

Indicator: Percentage of conflicts resolved within the date of being filed

Requirement: Within 6 months 50%Within 1 year 75% Within 2 years 100%

Applicability: All

Compliant

7.15.1

Indicator: Evidence of advertising positions within local communities before migrant workers are hired

Requirement: Yes

Applicability: All

Compliant

7.15.2

Indicator: An explanation on the reasons for employing each worker is available and the explanation justifies not employing workers from local communities

Requirement: Yes, if workers outside the local community are employed

Applicability: All

Compliant

Metric table Where the requirement is ''None'', please use 0 (zero) if requirement is

met

Corresponds to ASC Pangasius standard version 1.2

Indicator No 3.1.1 3.1.2 5.1.7 5.2.1 5.2.2 6.1.1 2.3.2 2.3.3 2.3.4 6.5.1 6.5.2 6.5.3Impact Category Feed Feed Feed Feed Feed Mortality/survival/escapes Other Other Other Other Other Other

Indicator Text

for cages and pens, Maximum amount of total phosphorus (TP) added as feed

per metric ton of fish produced. (in Kg/T)

for cages and pens, Maximum amount of total nitrogen (TN) [20]

added as feedper metric ton of fish produced. (in

Kg/T)

Interim Option A: Fishmeal or fish oil products used in feed

have been sourced from fisheries with an average

FishSource (FS) score

Maximum weighted average of economic Feed Conversion

Ratio (eFCR) for the complete production cycle

Maximum Fish Feed Equivalence Ratio (FFER)

Maximum average real percentage mortality, from stocking to

harvest, during the grow-out period.

Minimum width of the water body without

cages. (%)

For pens, Maximum width a farm can occupy calculated when the

waterbody level/width is at its

minimum. (%)

Maximum number of contiguous pens allowed.

Minimum average growth rate in

g/day/fish

Maximum fish density at any time in kg/m2

Maximum fish density at any time in kg/m3


2.4.2 3.1.3 3.1.4 3.2.1 3.3.1 3.3.2 3.3.3 4.3.1 6.6.2 7.8.1a 7.8.1b 7.8.3aWater quality Water quality Water quality Water quality Water quality Water quality Water quality Wildlife interactions Wildlife interactions Social Social Social

For ponds. Maximum ratio of total water abstracted (not

consumed) per ton of fish produced(in m3/metric ton of fish produced). (calculate abstracted water

usingformula in Annex D)

for ponds, Amount of TP discharged per metric ton of fish

produced (See TPmeasurement methodology and

calculation in Annex D) (in Kg/T)

for ponds, Amount of TN discharged per metric ton of fish produced (in Kg/T).

Percentage change in diurnal dissolved oxygen (DO) of

receiving waters [23] relative to DO at saturation for the water's specific salinity and temperature. An exception is made for ponds that discharge water with TN and TP lower than the TN and TP of the

intake water respectively.

Maximum average percentage change of TP between inlet and outlet (See TP measurement methodology and TP discharge formula in Annex D).

Maximum average percentage change of TN between inlet and outlet (See TN measurement methodology and TN discharge formula in Annex D).

Minimum dissolved oxygen (DO) concentration in water discharged (in mg/l).(See DO measurement

methodology in Annex D)

Allowance for use of wild-caught seed for

grow out

Mortality of IUCN red listed species.

Maximum number of regular working hours

per Day

Maximum number of regular working hours

per Week

Minimum nights/week off for workers residing

on the farm

7.8.3b 7.10.2 7.10.3 7.11.2 7.11.3 7.11.5 7.14.3a 7.14.3b 7.14.3cSocial Social Social Social Social Social Social Social Social

Minimum time in days/month off for all

workers

Maximum length of probation period stated

in the contract forworkers, other than farm managers and

workers with an university degree (in

Months)

Maximum length of probation period stated

in the contract forfarm managers and

workers with an university degree

percentage of issues raised by workers

which are registered,tracked and responded

to by the employer

Percentage of complaints that are resolved within onemonth after being

received

Timeframe in years for the contracting of

suppliers and serviceproviders that ensure suitable health and

safety conditions for their workers

Percentage of conflicts resolved within 6

months of the date of being filed

Percentage of conflicts resolved within 1 year

of the date of being filed

Percentage of conflicts resolved within 2

years of the date of being filed




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCo rre spo n ds to ASC F latf i sh stan dard ve rsio n 1 . 01 . 1 1 . 2 1 . 3 1 . 4 1 . 5 1 . 6 1 . 7 1 . 8 1 . 9 1 . 1 0 1 . 1 1 1 . 1 2 1 . 1 3 1 . 1 4 1 . 1 5 1 . 1 6 1 . 1 7 1 . 1 8 1 . 1 9 1 . 2 0 1 . 2 1 1 . 2 2

P ro po se d by Uo C an d ac c e pte d by CAB



Ind ica t or Number Ind ica t or Tex t Audit Ev idence

Ind ica t or eva lua t ion

Descript ion , jus t if ica t ion and conclus ion for t he eva lua t ion decis ion

Dat e of NC det ect ionMinor NC det ect ed for

s it es (Lis t s it e ID's )

Ma jor NC det ect ed for s it es

(Lis t s it e ID's )

Deadl ine for NC close-out

Act ua l da t e of c lose-out NC St a t us VR submit t ed

St a t us of s ubmit t ed

VRVR used

Q&A submit t ed/use

d

Root cause ana lys is NC correct ion NC Correct ive act ion Audit or eva lua t ion Ex t ens ion jus t if ica t ion

New deadl ine for NC close-out Not es

1.1.1

In dic ato r : Documents demonstrating compliance with all relevant local and national laws and regulations.

R e qu i re m e n t: Yes.

Appl i c abi l i ty: All.

Compliant

1.1.2

In dic ato r : Documents demonstrating compliance with all tax laws.



Compliant

1.1.3

In dic ato r : Documents demonstrating compliance with all labour laws and regulations.



Compliant

1.1.4

In dic ato r : Documents demonstrating compliance with regulations and permits concerning water quality impacts.



Compliant

2.1.1

In dic ato r : Redox potential or total ‘free’ sulphide levels in sediment immediately outside of the Allowable Zone of Effect (AZE) (1) attributed to farm operations

Re qu i re m e n t: Redox potential > 0 millivolts (mV) OR Sulphide ≤ 1,500 micromoles/l OR No

significant difference (2) in redox potential or total ‘free’ sulphide levels in sediment at the edge of the AZE in comparison to control sites

Appl i c abi l i ty: All farms

Compliant

2.1.2

In dic ato r : Benthic faunal index score (choosing asuitable benthic index to the composition of thebenthos being sampled)

R e qu i re m e n t: AZTI Marine Biotic Index (AMBI (3)) score ≤ 3.3, or Shannon-Wiener Index score > 3, orBenthic Quality Index (BQI) score ≥ 15, orInfaunal Trophic Index (ITI) score ≥ 25 orBENTIX (4) score ≥ 3.5 orNo significant change in benthic faunal index scores at the edge of the AZE in comparison to control site

Compliant

2.1.3

In dic ato r : For farms that use copper nets or copper-treated nets, evidence of testing for copper levels in the sediment immediately outside of the AZE

Re qu i re m e n t: Yes

Appl i c abi l i ty: All farms that use copper or copper treated nets

Compliant

2.1.4

In dic ato r : Evidence that copper (Cu) levels (5) are < 34 mg Cu/kg dry sediment weightORIn instances where the copper in the sediment exceeds 34 mg Cu/kg dry sediment weight, demonstration that the Cu concentration is not significantly different compared to background concentrations as measured at three reference sites in the water body (6)

R e qu i re m e n t: Yes


Compliant

2.2.1

In dic ato r : Weekly average percent saturation (7) of dissolved oxygen (DO) (8) on farm (Appendix 1-2)

R e qu i re m e n t: ≥70% (9)


Compliant

2.2.2

In dic ato r : Maximum percentage of weekly samples from 2.2.1 that fall under 2 mg/litre DO (Appendix 1-2)

R e qu i re m e n t: 5%

Appl i c abi l i ty: All

Compliant

2.2.3

In dic ato r : Quarterly monitoring of TAN, NO3, and

TP levels on the farm and at a reference site (10)

(Appendix 1-3)R e qu i re m e n t: Yes


Compliant

2.2.4

In dic ato r : Evidence that the type of biocides used in net antifouling are approved according to legislation in the European Union, the United States, Australia, or Japan



Compliant

2.2.5

In dic ato r : Evidence that all chemicals used on the farm that are discharged to effluent are recorded and quantified



Compliant

2.2.6

In dic ato r : Annual median concentration of total suspended solids in effluent compared to influent measured in the outflow or in the receiving water beyond zone of initial dilution

Re qu i re m e n t: <5 mg/L


Compliant

2.2.7

In dic ato r : Annual median concentration of total ammonia nitrogen in effluent or receiving water beyond mixing zone (11)

R e qu i re m e n t: <0.6 mg/L


Compliant

2.3.1

In dic ato r : The farm shall assess the farm’s (potential) impacts on biodiversity and nearby ecosystems that contains at a minimum the components outlined in Appendix 1 (see Standard).



Compliant

2.3.2

In dic ato r : Allowance for the farm to be sited in a protected area (12) or High Conservation Value Areas (13) (HCVAs)

Re qu i re m e n t: None (14)


Compliant

2.3.3

Indicator: Allowance for siting in mangrove

ecosystems (15) and other natural wetlands (16),

Requirement: None for farms built (with or without

permits) after May 1999, except for pumping stations

and inlet/outlet canals provided they have been

permitted by authorities and an equivalent area is

rehabilitated as compensation.

For farms built or permitted before May 1999, farmers

are required to compensate/offset impacts via

rehabilitation of at least 50% of the affected ecosystem

(17).

Applicability: All

Compliant

2.4.1

In dic ato r : Use of submerged acoustic deterrent devices (ADDs)

Re qu i re m e n t: Not allowed


Compliant

2.4.2

In dic ato r : Number of mortalities (18) of

endangered or red-listed (19) animals in the farm

lease area and adjacent areas due to farm operations, personnel or associates over the previous 2 years

Re qu i re m e n t: 0.


Compliant

2.4.3

In dic ato r : Allowance for intentional lethal action against predators/wildlife on the farm site.

R e qu i re m e n t: None, unless human safety is immediately threatened.


Compliant

2.4.4

In dic ato r : All lethal incidents are recorded and categorized (20) and reported to ASC.



Compliant

2.4.5

In dic ato r : In the event of any lethal incident, evidence that an assessment of the probability of lethal incident(s) has been undertaken and demonstration of concrete steps taken by the farm to reduce the risk of future incidences

Re qu i re m e n t: Yes.


Compliant

2.5.1

In dic ato r : Biological oxygen demand (BOD)

Re qu i re m e n t: ≤ 30 mg/l average and no higher than 50 mg/l


Compliant

2.5.2

In dic ato r : Total suspended solids



Compliant

2.5.3

In dic ato r : Total Ammonia Nitrogen

Re qu i re m e n t: ≤ 1 mg/l average and no higher than 1.5 mg/l


Compliant

2.6.1

Indicator: Evidence that sludge is not discharged

directly into receiving waters or natural ecosystems

(21)

Requirement: Yes

Applicability: All

Compliant

2.6.2

Indicator: Specific conductance or chloride

concentration of sludge prior to disposal outside the

farm

Requirement: The specific conductance or chloride

concentration values must not exceed those of the soil

in the disposal area.


Compliant

2.6.3

Indicator: Allowance for discharging saline water to

natural freshwater bodies (22).

Requirement: None

Applicability: Farms located in or connected to natural

freshwater bodies

Compliant

2.6.4

Indicator: Water-specific conductance or chloride

concentration in freshwater wells used by the farm or

located on adjacent properties (23).

Requirement: For all freshwater wells (identified prior

to full assessment), specific conductance may not

exceed 1,500 mhos per centimetre and/or chloride

concentration may not exceed 300 milligrams per litre

(24).

Applicability: All well water. This criteria applies only to

well water and does not apply to surface water. Farms

located near freshwater wells or abstracting freshwater

from the ground.

Compliant

2.6.5

Indicator: Soil-specific conductance or chloride

concentration in adjacent land ecosystems and

agricultural fields (25).

Requirement: No net increase when compared to the

first year of monitoring


Compliant

3.1.1

In dic ato r : Culture of a non-native species (26).

R e qu i re m e n t: None, unless commercial (27) farming of the species already occurs in the region at the time of first publication of the ASC Flatfish Standard, or a closed land-based production system with de minimis (28) risk of escapes and/or pest and pathogen transfer to wild populations is used


Compliant

3.2.1

In dic ato r : Culture of transgenic (29) fish

R e qu i re m e n t: Not permitted


Compliant

3.3.1

In dic ato r : Evidence of a well-designed, maintained and managed culture system, infrastructure and farm management (30) to minimize escapes during grow- out and harvest.



Compliant

3.3.2

In dic ato r : The farm shall count all fish at every stocking, grading and harvest event with a counting accuracy of ≥98% (31)



Compliant

3.3.3

In dic ato r : Total amount of known escapes (32)

allowed per production cycle (calendar year)

R e qu i re m e n t: 4% (33) of stocked count based on ≥98% counting accuracy


Compliant

3.3.4

In dic ato r : Total amount of unexplained loss (34) per production cycle

Re qu i re m e n t: 2% of stocked count based on ≥98% counting accuracy


Compliant

3.3.5

In dic ato r : Number of known escapes and unexplained losses are documented and made public as well as reported to ASC on an annual basis.



Compliant

3.4.1

In dic ato r : Source of fingerlings

Re qu i re m e n t: Hatchery only


Compliant

3.4.2

In dic ato r : Traceability of all hatchery purchased fingerlings to their source.



Compliant

3.4.3

In dic ato r : The fingerling supplier has a documented fish health and bio-security protocol or a comparable 3rd party certificate



Compliant

3.4.4

In dic ato r : The receiving facility (35) has a documented bio-security protocol, including quarantining, with respect to purchased fingerlings



Compliant

3.4.5

In dic ato r : All trans-national imported fingerlings must be accompanied by documentation required by importing countries (e.g. health certificate)



Compliant

3.4.6

In dic ato r : The farm shall not release deformed fish into the wild and will dispose them in a responsible manner.



Compliant

3.5.1

In dic ato r : Allowance to use wild harvested broodstock of IUCN red-listed species classified as Endangered or Critically Endangered, for fingerling production.

R e qu i re m e n t : No.


Compliant

3.5.2

In dic ato r : Documented procedures are in place to limit non- controlled spawning of broodstock and evidence that these procedures are being followed



Compliant

4.1.1

In dic ato r : Evidence of traceability, demonstrated by the feed producer, of all fishmeal and fish oil ingredients (36)



Compliant

4.2.1

In dic ato r : Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in Appendix 2 (see standard)

R e qu i re m e n t: (a) FFDRm Halibut ≤2.45 (now), 2.2 (3 years), 2.0 (6 years)(b) FFDRm Turbot ≤3.21 (now), 2.8 (3 years), 2.5 (6 years)(c) FFDRm Flounder ≤2.18 (now), 1.9 (3 years), 1.6 (6 years)


Compliant

4.2.2

In dic ato r : Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in Appendix 2 (see standard)

R e qu i re m e n t: (a) FFDRm Halibut ≤4.0 (now), 3.5 (3 years), 3.0 (6 years)(b) FFDRm Turbot ≤3.78 (now), 3.4 (3 years), 3.0 (6 years)(c) FFDRm Flounder ≤2.64 (now), 2.2 (3 years), 2.0 (6 years)


Compliant

4.3.1

In dic ato r : Timeframe for at least 90% fishmeal or fish oil used in feed to come from fisheries (37) certified under an ISEAL member’s accredited certification whose primary goal is to promote ecological sustainability

R e qu i re m e n t: (se e n o te abo ve )


Compliant

4.3.2

In dic ato r : Prior to achieving 4.3.1 the fishmeal or fish oil used in feed must have a FishSource stock health score of 6.0 or higher or show evidence of being engaged in a credible and time bound fisheries improvement project (FIP)



Compliant

4.3.3

In dic ato r : Feed containing fishmeal and/or fish oil

originating from by-products (38) or trimmings from

fish species which are categorized as vulnerable, endangered or critically endangered, according to the IUCN Red List of Threatened Species (39)

R e qu i re m e n t: None


Compliant

4.3.4

In dic ato r : Feed ingredients which come from other fish from the same genus

Re qu i re m e n t: None


Compliant

4.4.1

In dic ato r : Presence and evidence of traceability and a responsible sourcing policy for the feed manufacturer for feed ingredients which comply with internationally recognized moratoriums and local laws (40)



Compliant

4.4.2

In dic ato r : Documentation of the use of

transgenic[30]

plant raw materials, or raw materials derived from genetically modified plants, in the feed



Compliant

4.4.3

In dic ato r : Percent of non-marine ingredients from sources certified by an ISEAL Member’s certification scheme that addresses environmental and social sustainability

R e qu i re m e n t: 80% for soy and palm oil within 5 years following the date of the publication of the ASC Flatfish Standard


Compliant

4.5.1

In dic ato r : Evidence that non-biological waste (including net pens) from grow-out site is either disposed of properly or recycled.



Compliant

4.5.2

In dic ato r : Evidence of appropriate storage and/or disposal of biological waste



Compliant

4.5.3

In dic ato r : Evidence of appropriate storage and/or disposal of chemical and hydrocarbon wastes



Compliant

4.5.4

In dic ato r : Spill prevention and response plan for chemicals/hydrocarbons originating from farming operations



Compliant

4.5.5

In dic ato r : For any farm that cleans nets on-land, evidence that net-cleaning sites have effluent treatment (42)



Compliant

4.6.1

In dic ato r : Presence of an energy use assessment verifying the energy consumption on the farm and representing the production cycle (calendar year), as outlined in Appendix 3

R e qu i re m e n t: Within two years of the initial audit (measured in kilojoule/t fish/production cycle)


Compliant

4.6.2

In dic ato r : Records of greenhouse gas (GHG (43)) emissions (44) on farm and evidence of an annual GHG assessment, as outlined in Appendix 3(see standard)

R e qu i re m e n t: Yes, within two years of the initial audit


Compliant

4.6.3

In dic ato r : Documentation of GHG emissions of the feed (45) used during the previous production cycle reported (calendar year) to ASC, as outlined in Appendix 3

R e qu i re m e n t: Yes, within three years of the initial audit


Compliant

4.6.4

In dic ato r : Evidence of a documented strategy to reduce GHG per unit of production (measured in kilojoule/t fish produced)



Compliant

5.1.1

In dic ato r : Evidence of a veterinary approved Fish Health Management Plan (FHMP) (46)



Compliant

5.1.2

In dic ato r : Farm maintains a fish health management record keeping system



Compliant

5.2.1

In dic ato r : Use of therapeutic treatments that are listed as critically important for human medicine by the World Health Organization (47)

R e qu i re m e n t: Not permitted.


Compliant

5.2.2

In dic ato r : Prophylactic use of chemical antimicrobial treatments.



Compliant

5.2.3

In dic ato r : On-farm documentation that includes, at a minimum, detailed information on all chemicals (48) and therapeutants used during the most recent production cycle, the amounts used (including grams per kg of fish produced), the dates used, which group of fish were treated and against which diseases, proof of proper dosing, and all disease and pathogens detected on the site



Compliant

5.2.4

In dic ato r : Allowable farm level anti-parasiticide treatment (bath), not including freshwater or hydrogen peroxide



Compliant

5.2.5

In dic ato r : Number of treatments (49) of antibiotics over the most recent production cycle (calendar year)R e qu i re m e n t: ≤ 3


Compliant

5.3.1

In dic ato r : All recovered mortalities are removed and disposed of in a responsible manner



Compliant

5.3.2

In dic ato r : Classification of mortalities

Re qu i re m e n t: All recovered mortalities are recorded and classified by cause of death


Compliant

5.3.3

In dic ato r : When unexplained mortalities exceed ≥0.5% / per day, samples are submitted for analysis by a veterinarian or designated fish health expert



Compliant

5.3.4

In dic ato r : Evidence of a farm specific mortalities reduction program that includes defined annual targets for reductions in mortalities and reductions in unexplained mortalities.



Compliant

6.1.1

Indicator: Evidence that workers have access to trade

unions (if they exist) and union representative(s)

chosen by themselves without managerial interference.

Requirement: Yes

Applicability: All

Compliant

6.1.2

Indicator: Evidence that workers are free to form

organizations, including unions, to advocate for and

protect their rights.

Requirement: Yes

Applicability: All

Compliant

6.1.3

Indicator: Evidence that workers are free and able to

bargain collectively for their rights.

Requirement: Yes

Applicability: All

Compliant

6.2.1

Indicator: Number of incidences of child (50) labour

(51)

Requirement: None

Applicability: All except as noted 6.2.1a

Compliant

6.2.2

Indicator: Percentage of young workers (52) that are

protected (53)

Requirement: 100%

Applicability: All

Compliant

6.3.1

Indicator: Number of incidences of forced (54),

bonded (55) or compulsory labour

Requirement: None

Applicability: All

Compliant

6.4.1

Indicator: Evidence of comprehensive (56) and

proactive anti-discrimination policies, procedures and

practices

Requirement: Yes

Applicability: All

Compliant

6.4.2


Requirement: None

Applicability: All

Compliant

6.5.1

Indicator: Percentage of workers trained in health and

safety practices, procedures (57) and policies on a

yearly basis

Requirement: 100%

Applicability: All

Compliant

6.5.2

Indicator: Evidence that workers use Personal

Protective Equipment (PPE) effectively

Requirement: Yes

Applicability: All

Compliant

6.5.3

Indicator: Presence of a health and safety risk

assessment and evidence of preventive actions taken

Requirement: Yes

Applicability: All

Compliant

6.5.4

Indicator: Evidence that all health- and safety-related

accidents and violations are recorded and corrective

actions are taken when necessary

Requirement: Yes

Applicability: All

Compliant

6.5.5

Indicator: Evidence of employer responsibility and/or

proof of insurance (accident or injury) for 100% of

worker costs in a job-related accident or injury when

not covered under national law

Requirement: Yes

Applicability: All

Compliant

6.5.6

Indicator: Evidence that all diving operations are

conducted in a manner that protects the health and

safety of divers (58)

Requirement: Yes

Applicability: All

Compliant

6.6.1

Indicator: The percentage of workers whose basic (59)

wage (before overtime and bonuses) is below the

minimum wage (60)


Applicability: All

Compliant

6.6.2

Indicator: Evidence that the employer is working

toward the payment of basic needs wage (61)

Requirement: Yes

Applicability: All

Compliant

6.6.3

Indicator: Evidence of transparency in wage-setting

and rendering (62)

Requirement: Yes

Applicability: All

Compliant

6.7.1

Indicator: Percentage of workers who have contracts

(63)

Requirement: 100%

Applicability: All

Compliant

6.7.2

Indicator: Evidence of a policy to ensure social

compliance of its suppliers and contractors

Requirement: Yes

Applicability: All

Compliant

6.8.1

Indicator: Evidence of worker access to effective, fair

and confidential grievance procedures

Requirement: Yes

Applicability: All

Compliant

6.8.2

Indicator: Percentage of grievances handled that are

addressed (64) within a 90-day timeframe

Requirement: 100%

Applicability: All

Compliant

6.9.1

Indicator: Incidences of excessive or abusive

disciplinary actions

Requirement: None

Applicability: All

Compliant

6.9.2

Indicator: Evidence of a functioning disciplinary action

policy whose aim is to improve the worker (65)

Requirement: Yes

Applicability: All

Compliant

6.10.1

Indicator: Incidences, violations or abuse of working

hours (66) and overtime laws

Requirement: None

Applicability: All

Compliant

6.10.2

Indicator: Overtime is limited, voluntary, (67) paid at a

premium rates and restricted to exceptional

circumstances

Requirement: Yes

Applicability: All

Compliant

6.11.1

In dic ato r : Farm employees accommodated on the farm have access to clean, sanitary, safe and suitable living conditions



Compliant

6.11.2

In dic ato r : Existence of separate sanitary and toilet facilities for men and women; with the exception of work sites with fewer than 10 employees or where married couples are working and accommodated together


Appl i c abi l i ty: All farms and accommodation and worksites except as permitted exclusions (6.11.2a).

Compliant

7.1.1

Indicator: Evidence of regular and meaningful (68)

consultation and engagement with community

representatives and organizations

Requirement: Yes.

Applicability: All.

Compliant

7.1.2

Indicator: Presence and evidence of an effective (69)

policy and mechanism for the presentation, treatment

and resolution of complaints by community

stakeholders and organizations

Requirement: Yes.

Applicability: All.

Compliant

7.1.3

Indicator: For new farms (70), evidence of engagement

and consultation with surrounding communities

about potential social impacts from the farm.

Requirement: Yes.

Applicability: All new farms (see note).

Compliant

8.1

Indicator: Presence of documents issued by pertinent

authorities proving compliance with local and national

authorities on land and water use, effluent regulations

and use of treatments.

Requirement: Yes.

Applicability: All.

Compliant

8.2

Indicator: New introductions of exotic species from

the date of publication of the Flatfish Standard, unless

the hatchery/fingerling facility is a closed production

system (71).

Requirement: None.

Applicability: All.

Compliant

8.3

Indicator: Allowance for siting in National Protected

Areas (72).

Requirement: None (73, 74).

Applicability: All

Compliant

8.4

Indicator: Evidence that the egg and fingerling

producer must have an equivalent or better health

status than that of the grow-out facility, and must

follow all national and local (jurisdictional) guidance

on disease management.

Requirement: Yes.

Applicability: All.

Compliant

8.5

Indicator: Evidence of disclosure to the grow-out farm

of all chemical and antibiotic treatments on eggs and

fry, including the reason for their use and the quantity

used.

Requirement: Yes.

Applicability: All.

Compliant

8.6

Indicator: Allowance for the use of therapeutic

treatments, including antibiotics or other treatments,

that are banned under European Union (EU) law or

listed as critically important for human medicine by the

World Health Organization (76).


Applicability: All.

Compliant

8.7

Indicator: Presence of a fish health management plan

implemented in agreement with the facility’s

designated veterinarian or fish health specialist

Requirement: Yes.

Applicability: All.

Compliant

8.8

Indicator: Evidence of company-level policies and

procedures that demonstrate the company's

commitment to each of the 8 key ILO labour issues

described in Principle 6.

Requirement: Yes.

Applicability: All.

Compliant

8.9

Indicator: Evidence of regular communication,

engagement and consultation with surrounding

communities

Requirement: Yes

Applicability: All

Compliant


Corresponds to ASC Flatfish standard version 1.0

Indicator No 2.1.1a 2.1.1b 2.1.2a 2.1.2b 2.1.2c 2.1.2d 2.1.2e 2.1.4 2.2.1 2.2.2 2.2.6 2.2.7 2.4.2 2.5.1 2.5.2Impact

CategoryBenthic Benthic Benthic Benthic Benthic Benthic Benthic Benthic Water quality Water quality Water quality Water quality Wildlife interactions Water quality Water quality

Indicator Text

Redox potential in sediment immediately

outside of the Allowable Zone of Effect (AZE)

attributed to farm operations.

Total ‘free’ sulphide levels in

sediment immediately outside

of the Allowable Zone of

Effect (AZE) attributed to farm

operations.




Infaunal Trophic Index (ITI

BENTIX

score

Evidence that copper levels are < 34 mg Cu/kg dry

sediment weight OR In instances where the copper

(Cu) in the sediment exceeds 34 mg Cu/kg dry

sediment weight, demonstration that the Cu

concentration is not significantly different compared

to background concentrations as measured at three

reference sites in the water body

Weekly average

saturation percentage

of dissolved oxygen

(DO) on farm

Maximum percentage of weekly samplesfrom 2.2.1 that fall under 2 mg/L DO

Annual median concentration of

total suspended solids in effluent

compared to influent measured in

the outflow or in the receiving

water beyond zone of initial

dilution

Annual median concentration of total ammonia nitrogen in effluent or receiving water beyond mixing zone

Number of mortalities of

endangered or red-listed animals

in the farm lease area and

adjacent areas due to farm

operations, personnel or

associates over the previous 2

years

Biological oxygen

demand (BOD)

Total

suspended

solids


2.5.3 2.6.4a 2.6.4b 3.3.3 3.3.4 4.2.1a 4.2.1b 4.2.1c 4.2.1d 4.2.1e 4.2.1f 4.2.1g 4.2.1h 4.2.1i 4.2.2a 4.2.2b 4.2.2c

Water quality Water quality Water quality Mortality/survival/escapes Mortality/survival/escapes Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed

Total Ammonia

Nitrogen

Water‐specific conductance

in freshwater wells used by the

farm or located on adjacent

properties (in mhos per

centimetre)

Chloride concentration in freshwater

wells used by the farm or located on

adjacent properties (in milligrams

per litre)

Total amount of known escapes

allowed per production cycle (in

%) (based on

≥98% counting accuracy)

Total amount of unexplained

loss per production cycle (in %)

Halibut Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (NOW)

Halibut Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (3 YEARS)

Halibut Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (6 YEARS)

Turbot Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (NOW)

Turbot Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (3 YEARS)

Turbot Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (6 YEARS)

Flounder Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (NOW)

Flounder Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (3 YEARS)

Flounder Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (6 YEARS)

Halibut Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Halibut Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Halibut Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

4.2.2d 4.2.2e 4.2.2f 4.2.2g 4.2.2h 4.2.2i 4.4.3 5.2.5 6.2.2 6.5.1 6.7.1 6.8.2 6.2.1 6.3.1 6.4.2 6.6.1 6.9.1 6.10.1

Feed Feed Feed Feed Feed Feed Feed Chemicals/therapeutants Social Social Social Social Social Social Social Social Social Social

Turbot Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Turbot Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Turbot Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

Flounder Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Flounder Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Flounder Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

Percentage of non-

marine ingredients

from sources certified

by an ISEAL Member’

s certification scheme that

addresses environmental

and social sustainability

Number of treatments of

antibiotics over the most

recent production cycle

Percentage of

young workers

that are protected

Percentage of

workers trained in

health and safety

practices,

procedures and

policies on a

yearly basis

Percentage

of workers

who have

contracts

Percentage of

grievances

handled that are

addressed

within a 90-day

timeframe

Number of

incidences of

child labour

Number of

incidences of

forced, bonded

or compulsory

labour

Number of

incidences of

discrimination

The percentage of

workers whose

basic wage (before

overtime and

bonuses) is below

the minimum wage

Incidences of

excessive or abusive

disciplinary actions

Incidences,

violations or abuse

of working hours

and overtime laws




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes

Adjust the column width as needed to show the whole text or provide more space to writeCo rre spo n ds to ASC Tro pic al Marin e F in f i sh stan dard ve rsio n 1 . 01 . 1 1 . 2 1 . 3 1 . 4 1 . 5 1 . 6 1 . 7 1 . 8 1 . 9 1 . 1 0 1 . 1 1 1 . 1 2 1 . 1 3 1 . 1 4 1 . 1 5 1 . 1 6 1 . 1 7 1 . 1 8 1 . 1 9 1 . 2 0 1 . 2 1 1 . 2 2




Ind ica t or Number

Ind ica t or Tex t Audit Ev idenceInd ica t or eva lua t ion

Descript ion , jus t if ica t ion and conclus ion for t he eva lua t ion

decis ion

Dat e of NC det ect ion

Minor NC det ect ed for s it es


Ma jor NC det ect ed for s it es


Deadl ine for NC close-out

Act ua l da t e of c lose-out

NC St a t usVR

submit t edSt a t us of

s ubmit t ed VRVR used

Q&A submit t ed/use

dRoot cause ana lys is NC correct ion

NC Correct ive

act ionAudit or eva lua t ion

Ex t ens ion jus t if ica t ion

New deadl ine for NC close-out

Not es

1.1.1

In dic ato r : Documents demonstrating compliance with all relevant local and national laws and regulations.



Compliant

1.1.2

In dic ato r : Documents demonstrating compliance with all tax laws.



Compliant

1.1.3

In dic ato r : Documents demonstrating compliance with all labour laws and regulations.



Compliant

1.1.4

In dic ato r : Documents demonstrating compliance with regulations and permits concerning water quality impacts.



Compliant

2.1.1

In dic ato r : Redox potential or total ‘free’ sulphide levels in sediment immediately outside of the Allowable Zone of Effect

(AZE)[1]

attributed to farm operations

Re qu i re m e n t: Redox potential > 0 millivolts (mV) OR Sulphide ≤ 1,500 micromoles/l OR No significant

difference[2] in redox potential or total ‘free’ sulphide levels in

sediment at the edge of the AZE in comparison to control sites


Compliant

2.1.2

In dic ato r : Benthic faunal index score (choosing asuitable benthic index to the composition of thebenthos being sampled)

R e qu i re m e n t: AZTI Marine Biotic Index (AMBI[3]

) score ≤ 3.3, or Shannon-Wiener Index score > 3, orBenthic Quality Index (BQI) score ≥ 15, orInfaunal Trophic Index (ITI) score ≥ 25 or

No significant change in benthic faunal index scores at the edge of the AZE in comparison to control site Appl i c abi l i ty: All farms

Compliant

2.1.3

In dic ato r : For farms that use copper nets or copper-treated nets, evidence of testing for copper levels in the sediment immediately outside of the AZE



Compliant

2.1.4

In dic ato r : Evidence that copper levels (4)

are < 34 mg Cu/kg dry sediment weightORIn instances where the Cu in the sediment exceeds 34 mg Cu/kg dry sediment weight, demonstration that the Cu concentration is not significantly different compared to background concentrations as measured at three reference sites in the water body (5)



Compliant

2.2.1

In dic ato r : Weekly average saturation percentage[6]

of

dissolved oxygen (DO)[7]

on farm (Appendix 1-2)

R e qu i re m e n t: ≥70%[8]


Compliant

2.2.2

In dic ato r : Maximum percentage of weekly samples from 2.2.1 that fall under 2 mg/litre DO (Appendix 1-2)

R e qu i re m e n t: 5%


Compliant

2.2.3

In dic ato r : Quarterly monitoring of TAN, NO3, and TP levels

on the farm and at a reference site[9]

(Appendix 1-3)R e qu i re m e n t: Yes


Compliant

2.2.4

In dic ato r : Evidence that the type of biocides used in net antifouling are approved according to legislation in the European Union, the United States, Australia, or Japan



Compliant

2.3.1

In dic ato r : The farm shall assess the farm’s (potential) impacts on biodiversity and nearby ecosystems. The assessment shall contain at a minimum the components outlined in Appendix 1



Compliant

2.3.2

In dic ato r : Allowance for the farm to be sited in a protected area (10) or High Conservation Value Areas (11) (HCVAs)

Re qu i re m e n t: None (12)


Compliant

2.3.3

In dic ato r : Allowance for siting in mangrove ecosystems (13) and other natural wetlands (14) R e qu i re m e n t: None for farms built (with or without permits) after May 1999, except for pumping stations and inlet/outlet canals (provided they have been permitted by authorities and an equivalent area is rehabilitated as compensation). For farms built or permitted before May 1999, farmers are required to compensate/offset impacts via rehabilitation of at least 50% of the affected ecosystem (15).


Compliant

2.4.1

In dic ato r : Use of submerged acoustic deterrent devices

R e qu i re m e n t: Not allowed


Compliant

2.4.2

In dic ato r : Number of mortalities (16) of endangered or red-

listed (17) animals in the farm lease area and adjacent areas

due to farm operations, personnel or associates over the previous 2 years

Re qu i re m e n t: 0.


Compliant

2.4.3

In dic ato r : Allowance for intentional lethal action against predators/wildlife on the farm site.

R e qu i re m e n t: None, unless human safety is immediately threatened.


Compliant

2.4.4

In dic ato r : All lethal incidents are recorded and categorized (18) and reported to ASC.



Compliant

2.4.5

In dic ato r : In the event of any lethal incident, evidence that an assessment of the probability of lethal incident(s) has been undertaken and demonstration of concrete steps taken by the farm to reduce the risk of future incidences



Compliant

2.5.1

In dic ato r : Biological oxygen demand (BOD)


Appl i c abi l i ty: Pond Culture

Compliant

2.5.2

In dic ato r : Total suspended solids



Compliant

2.5.3

In dic ato r : Total Ammonia Nitrogen

Re qu i re m e n t: ≤ 1 mg/l average and no higher than 1.5 mg/l


Compliant

2.5.4

In dic ato r : Evidence that all non-dietary chemicals used on the farm that are discharged to effluent are recorded and quantified



Compliant

2.6.1

Indicator: Evidence that sludge is not discharged directly into

receiving waters or natural ecosystems (17)

Requirement: Yes

Applicability: All

Compliant

2.6.2

Indicator: Specific conductance or chloride concentration of sludge

prior to disposal outside the farm.

Requirement: The specific conductance or chloride concentration

values must not exceed those of the soil in the disposal area.


Compliant

2.6.3

Indicator: Allowance for discharging saline water to natural

freshwater bodies (18).

Requirement: None

Applicability: Farms located in or connected to natural freshwater

bodies

Compliant

2.6.4

Indicator: Water-specific conductance or chloride concentration in

freshwater wells used by the farm or located on adjacent properties

(19).

Requirement: For all freshwater wells (identified prior to full

assessment), specific conductance may not exceed 1,500 μS/cm

and/or chloride concentration may not exceed 300 mg/L (20).

Applicability: All well water. This criteria applies only to well water

and does not apply to surface water. Farms located near freshwater

wells or abstracting freshwater from the ground.

Compliant

2.6.5

Indicator: Soil-specific conductance or chloride concentration in

adjacent land ecosystems and agricultural field (21).

Requirement: No net increase when compared to the first year of

monitoring


Compliant

3.1.1

In dic ato r : Culture of a non-native species (22).

R e qu i re m e n t: None (23), unless the farmed species is ecologically established (24) in the region at time of publication of the ASC Tropical Marine Finfish Standard v1.0


Compliant

3.2.1

In dic ato r : Culture of transgenic (24) fish

R e qu i re m e n t: Not permitted


Compliant

3.3.1

In dic ato r : Evidence of a well-designed, maintained and managed culture system, infrastructure and farm management (25) to minimize escapes during grow- out and harvest.



Compliant

3.3.2

In dic ato r : The farm shall count all fish at every stocking, grading and harvest event with a counting accuracy of ≥98% (26)



Compliant

3.3.3

In dic ato r : Total amount of known escapes (27) allowed per

production cycle

R e qu i re m e n t: 4% (28) of stocked count based on ≥98% counting accuracy


Compliant

3.3.4

In dic ato r : Number of known escapes and unexplained losses[28] are documented and made public as well as reported to ASC on an annual basis.



Compliant

3.4.1

In dic ato r : Source of fingerlings

Re qu i re m e n t: Hatchery only (29)


Compliant

3.4.2

In dic ato r : Traceability of all hatchery purchased fingerlings to their source.



Compliant

3.4.3

In dic ato r : The fingerling supplier has a documented fish health and bio-security protocol or a comparable 3rd party certificate



Compliant

3.4.4

In dic ato r : The receiving facility (30) has a documented bio-security protocol, including quarantining, with respect to purchased fingerlings



Compliant

3.4.5

In dic ato r : All trans-national imported fingerlings must be accompanied by documentation required by importing countries (e.g. health certificate)



Compliant

3.4.6

In dic ato r : The farm shall not release deformed fish into the wild and will dispose them in a responsible manner.



Compliant

3.5.1

In dic ato r : Allowance to use wild harvested broodstock of IUCN red-listed species classified as Endangered or Critically Endangered, for fingerling production.

R e qu i re m e n t : No.


Compliant

3.5.2

In dic ato r : Documented procedures are in place to limit non- controlled spawning of broodstock and evidence that these procedures are being followed



Compliant

4.1.1

In dic ato r : Evidence of traceability, demonstrated by the feed producer, of all fishmeal and fish oil ingredients (31)



Compliant

4.2.1

In dic ato r : Fishmeal Forage Fish Dependency Ratio (FFDRm) for grow-out (calculated using formulas in Appendix 2 (see standard)

R e qu i re m e n t: (a) FFDRm Barramundi ≤2.25 (now), 1.8 (3 years), 1.4 (6 years)(b) FFDRm Grouper and Snapper ≤3.45 (now), 3.0 (3 years), 2.6 (6 years)(c) FFDRm Pompano ≤2.8 (now), 2.4 (3 years), 2.0 (6 years)(d) FFDRm Yellow Croaker ≤3.63 (now), 3.2 (3 years), 2.9 (6 years)

Compliant

4.2.2

In dic ato r : Fish Oil Forage Fish Dependency Ratio (FFDRo) for grow-out (calculated using formulas in Appendix 2 (see standard)

R e qu i re m e n t: (a) FFDRo Barramundi ≤2.75 (now), 2.3 (3 years), 2.0 (6 years)(b) FFDRo Grouper and Snapper ≤3.55 (now), 3.0 (3 years), 2.6 (6 years)(c) FFDRo Pompano ≤2.73 (now), 2.3 (3 years), 2.0 (6 years)(d) FFDRo Yellow Croaker ≤4.05 (now), 3.8 (3 years), 3.5 (6 years)

Compliant

4.3.1

In dic ato r : Timeframe for at least 90% fishmeal or fish oil used in feed to come from fisheries (32) certified under an ISEAL member’s accredited certification whose primary goal is to promote ecological sustainability



Compliant

4.3.2

In dic ato r : Prior to achieving 4.3.1 the fishmeal or fish oil used in feed must have a FishSource stock health score of 6.0 or higher or show evidence of being engaged in a credible and time bound fisheries improvement project (FIP)



Compliant

4.3.3

In dic ato r : Feed containing fishmeal and/or fish oil originating

from by-products (33) or trimmings from fish species which are

categorized as vulnerable, endangered or critically endangered, according to the IUCN Red List of Threatened Species (34)

R e qu i re m e n t: None


Compliant

4.3.4

In dic ato r : Feed ingredients which come from other fish from the same genus



Compliant

4.4.1

In dic ato r : Presence and evidence of traceability and a responsible sourcing policy for the feed manufacturer for feed ingredients which comply with internationally recognized moratoriums and local laws (35)



Compliant

4.4.2

In dic ato r : Documentation of the use of transgenic (36) plant raw materials, or raw materials derived from genetically modified plants, in the feed



Compliant

4.4.3

Indicator: Percent of non-marine ingredients from sources certified by an ISEAL Member’s certification scheme that addresses environmental and social sustainability

Requirement: 80% for soy and palm oil within 5 years following the date of the publication of the ASC Tropical Marine Finfish Standard

Applicability: All.

Compliant

4.5.1

In dic ato r : Evidence that non-biological waste (including net pens) from grow-out site is either disposed of properly or recycled.



Compliant

4.5.2

In dic ato r : Evidence of appropriate storage and/or disposal of biological waste



Compliant

4.5.3

In dic ato r : Evidence of appropriate storage and/or disposal of chemical and hydrocarbon wastes



Compliant

4.5.4

In dic ato r : Spill prevention and response plan for chemicals/hydrocarbons originating from farming operations



Compliant

4.5.5

In dic ato r : For any farm that cleans nets on-land, evidence

that net-cleaning sites have effluent treatment (37)



Compliant

4.6.1

In dic ato r : Presence of an energy use assessment verifying the energy consumption on the farm and representing the production cycle (calendar year), as outlined in Appendix 3

R e qu i re m e n t: Within two years of the initial audit (measured in kilojoule/t fish/production cycle)


Compliant

4.6.2

In dic ato r : Records of greenhouse gas (GHG (38)) emissions (39) on farm and evidence of an annual GHG assessment, as outlined in Appendix 3(see standard)

R e qu i re m e n t: Yes, within two years of the initial audit


Compliant

4.6.3

In dic ato r : Documentation of GHG emissions of the feed (40) used during the previous production cycle reported (calendar year) to ASC, as outlined in Appendix 3 subsection B

Re qu i re m e n t: Yes, within three years of the initial audit


Compliant

4.6.4

In dic ato r : Evidence of a documented strategy to reduce GHG per unit of production (measured in kilojoule/t fish produced)



Compliant

5.1.1

In dic ato r : Evidence of a veterinary approved Fish Health Management Plan (FHMP) (41)



Compliant

5.1.2

In dic ato r : Farm maintains a fish health management record keeping system



Compliant

5.2.1

In dic ato r : Use of therapeutic treatments that are listed as critically important for human medicine by the World Health Organization (42)



Compliant

5.2.2

In dic ato r : Prophylactic use of antimicrobial treatments.



Compliant

5.2.3

In dic ato r : On-farm documentation that includes, at a minimum, detailed information on all chemicals (43) and therapeutants used during the most recent production cycle, the amounts used (including grams per kg of fish produced), the dates used, which group of fish were treated and against which diseases, proof of proper dosing, and all disease and pathogens detected on the site



Compliant

5.2.4

In dic ato r : Allowable farm level anti-parasiticide treatment (bath), not including freshwater or hydrogen peroxide



Compliant

5.2.5

In dic ato r : Number of treatments (44) of antibiotics over the most recent production cycle (calendar year)R e qu i re m e n t: ≤ 3


Compliant

5.3.1

In dic ato r : All recovered mortalities are removed and disposed of in a responsible manner



Compliant

5.3.2

In dic ato r : Classification of mortalities

Re qu i re m e n t: All recovered mortalities are recorded and classified by cause of death


Compliant

5.3.3

In dic ato r : When unexplained mortalities exceed ≥0.5% / per day, samples are submitted for analysis by a veterinarian or designated fish health expert



Compliant

5.3.4

In dic ato r : Evidence of a farm specific mortalities reduction program that includes defined annual targets for reductions in mortalities and reductions in unexplained mortalities.



Compliant

6.1.1

Indicator: Evidence that workers have access to trade unions (if

they exist) and union representative(s) chosen by themselves

without managerial interference.

Requirement: Yes

Applicability: All

Compliant

6.1.2

Indicator: Evidence that workers are free to form organizations,

including unions, to advocate for and protect their rights.

Requirement: Yes

Applicability: All

Compliant

6.1.3


collectively for their rights.

Requirement: Yes

Applicability: All

Compliant

6.2.1


Requirement: None

Applicability: All except as noted 6.2.1a

Compliant

6.2.2

Indicator: Percentage of young workers (47) that are protected (48)

Requirement: 100%

Applicability: All

Compliant

6.3.1

Indicator: Number of incidences of forced (48), bonded(49) or

compulsory labour

Requirement: None

Applicability: All

Compliant

6.4.1

Indicator: Evidence of comprehensive (50) and proactive anti-


Requirement: Yes

Applicability: All

Compliant

6.4.2


Requirement: None

Applicability: All

Compliant

6.5.1


practices, procedures (51) and policies on a yearly basis

Requirement: 100%

Applicability: All

Compliant

6.5.2

Indicator: Evidence that workers use Personal Protective Equipment

(PPE) effectively

Requirement: Yes

Applicability: All

Compliant

6.5.3



Requirement: Yes

Applicability: All

Compliant

6.5.4

Indicator: Evidence that all health- and safety-related accidents and

violations are recorded and corrective actions are taken when

necessary

Requirement: Yes

Applicability: All

Compliant

6.5.5


insurance (accident or injury) for 100% of worker costs in a job-

related accident or injury when not covered under national law

Requirement: Yes

Applicability: All

Compliant

6.5.6

Indicator: Evidence that all diving operations are conducted in a

manner that protects the health and safety of divers (52)

Requirement: Yes

Applicability: All

Compliant

6.6.1

Indicator: The percentage of workers whose basic (53) wage

(before overtime and bonuses) is below the minimum wage (54)


Applicability: All

Compliant

6.6.2

Indicator: Evidence that the employer is working toward the

payment of basic needs wage (55)

Requirement: Yes

Applicability: All

Compliant

6.6.3


(56)

Requirement: Yes

Applicability: All

Compliant

6.7.1

Indicator: Percentage of workers who have contracts (57)

Requirement: 100%

Applicability: All

Compliant

6.7.2

Indicator: Evidence of a policy to ensure social compliance of its

suppliers and contractors

Requirement: Yes

Applicability: All

Compliant

6.8.1

Indicator: Evidence of worker access to effective, fair and

confidential grievance procedures

Requirement: Yes

Applicability: All

Compliant

6.8.2

Indicator: Percentage of grievances handled that are addressed (58)

within a 90-day timeframe

Requirement: 100%

Applicability: All

Compliant

6.9.1

Indicator: Incidences of excessive or abusive disciplinary actions

Requirement: None

Applicability: All

Compliant

6.9.2

Indicator: Evidence of a functioning disciplinary action policy

whose aim is to improve the worker (59)

Requirement: Yes

Applicability: All

Compliant

6.10.1

Indicator: Incidences, violations or abuse of working hours (60)

and overtime laws

Requirement: None

Applicability: All

Compliant

6.10.2

Indicator: Overtime is limited, voluntary, (61) paid at a premium

rates and restricted to exceptional circumstances

Requirement: Yes

Applicability: All

Compliant

6.11.1

In dic ato r : Farm employees accommodated on the farm have access to clean, sanitary, safe and suitable living conditions



Compliant

6.11.2

In dic ato r : Existence of separate sanitary and toilet facilities for men and women; with the exception of work sites where with fewer than 10 employees or where married couples are working and accommodated together


Appl i c abi l i ty: All farms and accommodation and worksites except as permitted exclusions (6.11.2a).

Compliant

7.1.1

Indicator: Evidence of regular and meaningful (62) consultation and

engagement with community representatives and organizations

Requirement: Yes.

Applicability: All.

Compliant

7.1.2

Indicator: Presence and evidence of an effective (63) policy and

mechanism for the presentation, treatment and resolution of

complaints by community stakeholders and organizations

Requirement: Yes.

Applicability: All.

Compliant

7.1.3

Indicator: For new farms (64), evidence of engagement and

consultation with surrounding communities about potential social

impacts from the farm.

Requirement: Yes.

Applicability: All new farms (see note).

Compliant


Corresponds to ASC Tropical Marine Finfish standard version 1.0

Indicator 2.1.1a 2.1.1b 2.1.2a 2.1.2b 2.1.2c 2.1.2d 2.1.4 2.2.1 2.2.2 2.4.2 2.5.1 2.5.2 2.5.3 2.6.4a 2.6.4bImpact

CategoryBenthic Benthic Benthic Benthic Benthic Benthic Benthic Water quality Water quality Wildlife interactions Water quality Water quality Water quality Water quality Water quality

Indicator Text

Redox potential in sediment immediately

outside of the Allowable Zone of Effect (AZE)

(in mV)

Total ‘free’ sulphide levels in

sediment immediately

outside of the Allowable

Zone of Effect (AZE) (in

micromoles/l)




Infaunal Trophic Index (ITI)

Evidence that copper levels are < 34

mg Cu/kg dry sediment weight OR In

instances where the copper (Cu) in the

sediment exceeds 34 mg Cu/kg dry

sediment weight, demonstration that the

Cu concentration is not significantly

different compared to background

concentrations as measured at three

reference sites in the water body

Weekly average

saturation percentage

of dissolved oxygen

(DO) on farm

Maximum percentage of weekly samplesfrom 2.2.1 that fall under 2 mg/L DO

Number of mortalities of endangered

or red-listed animals in the farm

lease area and adjacent areas due

to farm operations, personnel or

associates over the previous 2 years

Biological

oxygen

demand

(BOD)

Total

suspended

solids

Total

Ammonia

Nitrogen

Water‐specific conductance in

freshwater wells used by the farm or

located on adjacent properties (in

mhos per centimetre)

Chloride concentration in freshwater

wells used by the farm or located on

adjacent properties (in mg/l)


3.3.3 4.2.1a 4.2.1b 4.2.1c 4.2.1d 4.2.1e 4.2.1f 4.2.1g 4.2.1h 4.2.1i 4.2.1j 4.2.1k 4.2.1l 4.2.1m 4.2.2a 4.2.2b 4.2.2c 4.2.2d 4.2.2e

Mortality/survival/escapes Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed Feed

Total amount of known

escapes allowed per

production cycle (in %)

(based on ≥98%

counting accuracy)

Barramundi

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (NOW)

Barramundi

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (3

YEARS)

Barramundi

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (6

YEARS)

Grouper and

Snapper Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (NOW)

Grouper and

Snapper Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (3 YEARS)

Grouper and

Snapper Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (6 YEARS)

Pompano Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (NOW)

Pompano Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (3 YEARS)

Pompano Fishmeal

Forage Fish

Dependency Ratio

(FFDRm) for grow-

out (6 YEARS)

Yellow Croaker

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (NOW)

Yellow Croaker

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (3

YEARS)

Yellow Croaker

Fishmeal Forage

Fish Dependency

Ratio (FFDRm) for

grow-out (6

YEARS)

Barramundi Fish

Oil Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Barramundi Fish

Oil Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Barramundi Fish

Oil Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

Grouper and

Snapper Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Grouper and

Snapper Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Grouper and

Snapper Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

4.2.2f 4.2.2g 4.2.2h 4.2.2i 4.2.2j 4.2.2k 4.3.2 4.3.3 4.3.4 4.4.3 5.2.4 5.2.5 6.2.2 6.5.1 6.7.1 6.8.2

Feed Feed Feed Feed Feed Feed other Feed Feed Feed Parasites Chemicals/therapeutants Social Social Social Social

Pompano Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (NOW)

Pompano Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (3 YEARS)

Pompano Fish Oil

Forage Fish

Dependency Ratio

(FFDRo) for grow-

out (6 YEARS)

Yellow Croaker

Fish Oil Forage

Fish Dependency

Ratio (FFDRo) for

grow-out (NOW)

Yellow Croaker

Fish Oil Forage

Fish Dependency

Ratio (FFDRo) for

grow-out (3

YEARS)

Yellow Croaker

Fish Oil Forage

Fish Dependency

Ratio (FFDRo) for

grow-out (6

YEARS)

Prior to achieving 4.3.1 the fishmeal or fish oil used in feed must have a FishSource stock health score of 6.0 or higher or show evidence of being engaged in a credible and time bound fisheries improvement project (FIP)

Feed containing fishmeal and/or fish

oil originating from by-products or

trimmings from fish species which are

categorised as vulnerable,

endangered or critically endangered,

according to the IUCN Red List of

Threatened Species

Feed ingredients

which come from

other fish from the

same genus

Percentage of non-marine

ingredients from sources

certified by an ISEAL Member’

s certification scheme that

addresses environmental and social

sustainability (80% within 5 years of

release of TMFF standard)

Allowable farm level anti-

parasiticide treatment (bath),

not including freshwater or

hydrogen peroxide

Number of treatments of

antibiotics over the most

recent production cycle

Percentage of

young workers

that are

protected

Percentage of

workers trained in

health and safety

practices,

procedures and

policies on a

yearly basis

Percentage of

workers who

have contracts

Percentage of

grievances

handled that are

addressed within a

90-day timeframe

6.2.1 6.3.1 6.4.2 6.6.1 6.9.1 6.10.1

Social Social Social Social Social Social

Number of incidences

of child labour

Number of incidences of

forced, bonded or

compulsory labour

Number of

incidences of

discrimination

The percentage of

workers whose

basic wage(before

overtime and

bonuses) is below

the minimum wage

Incidences of

excessive or

abusive disciplinary

actions

Incidences, violations

or abuse of working

hours and overtime

laws




NC Code (CAB)

Indicator Number






(List site ID's)


(List site ID's)



NC StatusVR

submittedStatus of

submitted VRVR used

Q&A submitted/



outNotes