Final report - Aquaculture Stewardship Council

Control Union Peru SAC 

Av. Dos de Mayo 1205, San Isidro Lima -‐ Perú 

Tel.: + 5117190400 Fax.: +5114217573 

www.cuperu.com 

Email: info@cuperu.com 

ASC audit checklist 

ASCASS-PAD.F01(01) 

Reportnumber: 

1.1 Client contact data 

CUC number: 821749 

Company name: 

Contact person: 

Address: 

Postal code: 84 

City: 

Country: 

Telephone number: 

e-mail: 

1.2 Audit information 

Date of last external audit : 

Audit date : 20-21/08/2012 

Full name of the lead auditor: 

Auditor: LE TRAN TRUONG THUY - (Environmental part) 

Audit team: 

Auditor: LE ANH NGOC (Social part) 

Technical expert: LY VI CUONG 

Type audit : Announced / Unannounced Initial / Surveillance / Recertification 

1.3 Scope of ASC 

Scope: AQUACULTURE Standard Version: 01 Specie: Pangasius 

Production units 

HUNG VUONG CORPORATION 

LE KIM PHUNG 

BLOCK 44 - MY THO INDUSTRIAL ZONE - TIEN GIANG PROVINCE, VIETNAM 

TIEN GIANG 

VIETNAM 

+84 733 854 245 Fax Number: +84 733 854 248 

info@hungvuongpanga.com 

THE FIRST AUDIT 

821749-ASC-2012-01-LTTT 

LE TRAN TRUONG THUY 

Company name Address and GPS coordinates Receiving water body City Country Products 

Tan My, Phu Tuc, Chau Thanh 

E:106o17'20"972 N:10o19'33"519 

F-01 Phu Tuc farm E:106o17'17"261 N:10o19'21"581 The local channel Ben Tre Vietnam Pangasius 

E:106o17'4"266 N:10o19'28"160 

E:106o17'4"700 N:10o19'38"674 

Report No.: ASC.2012.01.LTTT 1



Tel.: + 5117190400 Fax.: +5114217573 



Changes since last audit: 

YES ☐ 

1.4 Other information 

NO 

Brand name of the company: 

If YES, 

Description: 

Mention other existing certification schemes of licensee: 

N/A 

HUNG VUONG CORPORATION 

No 

Lead Auditor :LE TRAN TRUONG THUY 

Company representative : 

signature 

signature 

Report No.: ASC.2012.01.LTTT 2



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ASC audit checklist 

ASCASS-‐PAD.F01(01) 

Reportnumber: 

PRINCIPLE I: LOCATE AND OPERATE FARMS WITHIN ESTABLISHED LOCAL AND NATIONAL LEGAL FRAMWORKS 

1.1 Criteria: Local and naVonal regulaVons 

1.1.1 

Auditor EvaluaVon (Required CB AcVons) Yes No N/A 

A. Verify farm has all registraVons as required by local and naVonal 

authoriVes. 

B. Verify farm has aquaculture farming licence (as applicable). 

C. Verify farm has a commercial licence (as applicable). 

821749-‐ASC-‐2012-‐01-‐LTTT 

Preamble: 

In order to determine the level of compliance against the ASC Pangasius Standard it :is essenVal to useinformaVon of completed crop.cycle(s), or on a specific point in Vme in the crop (e.g. stocking) for several requirements. For this reason, for first audt-‐s, it is-‐necessary for farms to present full data on at least 

one or more completed crop cycle(s) per site at the Vmeotheassessment. 

Therefore, at the Vme of the first audit: 

•farmer must be able to show full records (e.g. feed-‐use, mortality rate, etc.) of at least 1 completed crop cycle per site (i.e.froni stockingto harvest) and the relevant informaVon for all the crops stocked ater having stocked that crop 

• cerVfier must use these records of each site to calculate the level of compliance othe relevant indicators 

Applicable to all relevant requirements in this Audit Manual; 

Client: At first audit: data of at least Ifull crop cycle per site must be made available to cerVfier. Auditor: At first audit: data of at least Ifull crop cycle per site must be used to determine compliani;e. 

Indicator: Presence of all perVnent: permits and 

registraVons required by local and naVonal authoriVes 

Requirement: Yes 

Applicability: All 

X 

Compliance 

Finding 

Environmental protecVon commitment 8 ha on 2008 approved on 20/01/2009 by Le Van Tu -‐ Chau Thanh province; 12 ha on 04/2012 

approved on 22/05/2012 

Veterinarian hygien condiVon 31/GCN-‐NTTS on 26/07/2012 Mr. Nguyen Van Boi -‐ the branch of Aquaculture department 

The document "no.410/SNN-‐NTTS related to Fisheries program of Ben Tre Forestry and Aquaculture" on 17/05/2012 by The branch of 

Agriculture and Rural development 

"Business licence of joint stock industrial zone" no. 120050529 on 15/01/2007, changed on 27/02/2012 approved by The service of 

Planning and Investment of Tien Giang 

D. Verify compliance The decision no. related to "Ben Tre Forestry and Aquaculture company rent the land of Phu Tuc village, Chau Thanh district" 

1.1.2 

1.1.3 

1.1.4 

Indicator: Presence of documents proving compliance with A. Verify client has records of tax payments to appropriate authoriVes. 

perVnent tax: laws 

[Note; For integrated systems, tax may only apply at the processing 

level. Nonetheless clients must show evidence of tax payment] 



Indicator: Presence of documents proving compliance with 

local and naVonal legal regulaVons on land and water use. 



B. Verify client has current tax law informaVon and a basic 

understanding of tax requirements. 

The decision no. 907/QD-‐CT on 01/7/2012 related to tax payment by Tax bureau of Tien Giang province 

The decision no. 548/CT-‐THNVDT on 17/9/2007 related to "No fee for renVng land" of Tax bureau -‐ the tax service of Ben Tre 

Taking sapmle document on 26/04/2012 by Mr. Nguyen Thanh Tuan and Ms. Nguyen Thi Phuong Tam of TesVng Laboratory – Centre 

A. Verify compliance. If (b), (c) or (d). then enter not applicable for (a). 

Monitoring Technical Resources and Environment Dong Thap 

TesVng analysis result no. 554/KQTN on 26/4/2012 for discharging of the first senlement pond (which for pond 1 to 11). From the mid-‐july 

B. Verify compliance. If (a), (c) or (d), then enter 'not applicable for (b) 

of 2012, the second senlement pond has been used for pond 1, but no have the tesVng analysis to show compliance with the local 

X 

regulaVon before discharging 

C. Verify compliance. If (a), (b) or (d), then enter not applicable for (c) The circular no. 45/2010/TT-‐BNNPTNT of Ministry of Agriculture and Rural development 

D. Verify compliance. If (a), (b) or (c), then-‐enter not applicable for (d) N/A 

A. Verify client has documents to show legal access to and use of land 

and water. 

X 

InstrucVon to Clients for Indicator 1.1.3 -‐Showing Compliance with Water Discharge RegulaVons 

Indicator 1.1.3 requires the farm to show compliance with all water discharge regulaVons at the local and naVonal level. If the authoritaVve regulatory agency has imposed limits on farm water discharge (i.e. by issuing a discharge permit or other 

comparable mechanism) the obligaVon shall rest with the client to demonstrate compliance. Four types of evidence are acceptable: 

a. Statement by a fully independent ISO 17025 accredited laboratory showing that their staff collected samples at discharge; 

b. Results of water tesVng from a fully independent ISO 17025 accredited laboratory; 

Indicator: Presence of documents proving compliance with c. Relevant legal documents showing compliance; or 

perVnent water discharge (including water effluents) d. Statement from local authoriVes with competence on water quality and capacity to test water quality parameters staVng compliance-‐Where regulaVons require monitoring of farm water discharge, that monitoring shall be conducted annually (at a 

regulaVons 

minimum) or more frequently ifrequired under local-‐or naVonal regulaVons. If there is insufficient evidence to show that the farm corn plies with water discharge regulaVons then the auditor will raise a non-‐conformity. 

Note 1: The ASC Pangasius Standard also specifies criteria for some water quality parameters. These are considered seraparetly under Principle 3 below: 


Applicability: Ponds 

Land ownership is available for 20 ha 

B. Verify farm possesses permits and complies with the farm. The circular no. 45/2010/TT-‐BNNPTNT of Ministry of Agriculture and Rural development 

X 

C. As applicable, review evidence to confirm that the farm does not 

need permits far-‐land and water use in the country and region of 

operaVon. 

No have water using limitaVon in aquaculture by Mr. Nguyen Thanh Son on 20/08/2012 by The comminee of people of Phu Tuc village 

PRINCIPLE II: FARMS MUS BE LOCATED, DESIGNED, CONSTRUCTED AND MANAGED TO ADVOID (OR, AT LEAST, MINIMIZE) THEIR NATIVE IMPACTS ON OTHER USERS AND THE ENVIRONMENT 

2.1. Criteria: MeeVng official development plans 

Compliance 

Finding 


Report No.: ASC.2012.01.LTTT 

ASC PANGASIUS STANDARD 

VERSION 1.0 1



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2.1.1 

Indicator: Farms [4] located in approved aquaculture 

development areas 



Footnote |4] Pond, cage and pen-‐based faciliVes 

2.2Criteria: Conversion of noturol ecosystems 

2.2.1 

Indicator: For ponds [5], evidence [6] that only land that 

has been allocated to agriculture or aquaculture for 10 

years prior is used for new pond development orforfarm 

expansion 

Requirement: Yes 

Applicability: Ponds established ater August 31, 2010 

Footnote [5] For Ponds established ater the publicaVon of the PAD standards. 

Footnote [6] From government organizaVons. 

A. Review map to confirm farm locaVon and accuracy of GPS 

coordinates. If possible, verify spaVal informaVon using Google Map, 

satellite images or similar means. 

B. Review plans. If farm states there is no plan, confirm that the 

country and region of operaVon does not have approved aquaculture 

development areas. 

C. Verify farm is located in an approved aquaculture area If there is no 

such areas, auditors response is 'not applicable'. 

Compliance 


A. Verify the declaraVon gives date of farm construcVon and any 

subsequent expansions. IdenVfy any ponds established ater August 

31, 2010. 

B. Review evidence from government organizaVons. Where land-‐use 

maps or spaVal informaVon is provided, cross-‐check against map of 

farm (see 2.1.1) 

C. Verify accuracy of (a) and (b) above during interviews with local 

community members to confirm there is no evidence for conversion 

of wetlands or any other ecosystem (other than agriculture or 

aquaculture land) as applicable under Indicator 2.2.1. 

X 

X 

* GPS (verified on the farm map) 

E:106o17'20"972 N:10o19'33"519 

E:106o17'17"261 N:10o19'21"581 

E:106o17'4"266 N:10o19'28"160 

E:106o17'4"700 N:10o19'38"674 





Finding 

CV03/2012-‐NT on 27/8/2012 showed that the farm was allocated prior to 10 years 

There is no extension ater 31/08/2010 

Interviewed Ms. Huỳnh -‐neighbour od Phu Tuc famr. The farm is from agricultre prior to 10 years. 

2.2.2 

Indicator: Evidence that a contribuVon of at least USD 

$0.50 per ton of fish produced has been paid to the 

environmental and social restoraVon fund [7] annually 



A. Verify the farm has signed a lener staVng commitment to 

contribute to the fund. 

B. Verify evidence that ASC has received the lener. 

C. Verify farm has made payment|s) into the fund. As soon as ASC has 

set-‐up the fund, this informaVon will be posted on the ASC website. 

X 

"A commitment lener" no. 002/TCK-‐TM-‐HV on 15/08/2011, signed by Mr. Duong Ngoc Minh. The lener was sent to Mr. Bas on 

19/08/2012 and waiVng for Mr. Bas's reply 

Footnote [7] To be idenVfied by the Aquaculture Stewardship Council (ASC). If a fund has yet to be created and recognized by ASC at the Vme of audiVng, then requirement 2.2.2 will not be considered. 

2.2.3 

A. Verify the farm has made a declaraVon. "The declaraVon of the farm" no. 003/BCB-‐TM-‐HV on 15/08/2011 signed by Mr. Duong Ngoc Minh 

B.Review list of construcVon acVviVes and means of disposing of 

earth. 

C. During local community interviews, verify there is no evidence that 

the farm has discharged earth into common water bodies. 

Footnote [8]For ponds established ater the publicaVon of the PAD standards. 

Footnote [9] ExcepVon made for discharge into water bodies belonging to the farm and without negaVve impacts to other water resource users. 

2.2.4 

Indicator: Evidence [8] that no earth has been discharged 

into common [9] water bodies 


Applicability: Ponds established ater August 31, 2010 

Indicator: Evidence [10] of no negaVve Impacts on 

endangered species [11] 



"A statement lener" no. 82/TCK-‐TM, HV on 1/9/2011 for no disposing earth into common water bodies 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi, there is no disposing earth into 

common water bodies. 

A. Review search results for adequacy and completeness. 

"Impact assessment of the pangsaius farm of Hung Vuong company, Phu Tan hamlet -‐ Phu Tuc village -‐ Chau Thanh district -‐ Ben Tre 

province to valuable and rare animal". The assessment was carried out by Can Tho University 

B. Review the source and accuracy of the list. "The list of endangered, valuable, rare wild botany, animal" with the decision no. 32/2006/ND-‐CP on 20/3/2006 of government 

C. Review list for completeness. Compare with results from search of 

IUCN database of red list species (see 6.6.2). 

The list of the species in IUCN around the farm 

D. Review procedures for adequacy. 

X 

"Impact assessment of the pangsaius farm of Hung Vuong company, Phu Tan hamlet -‐ Phu Tuc village -‐ Chau Thanh district -‐ Ben Tre 

province to valuable and rare animal". The assessment was carried out by Can Tho University 

E. During local community interviews, verify there is no evidence that: 

-‐ the farm is presently having a negaVve impact on endangered 

species 

-‐the farm has recently had a negaVve impact (since August 2010). 

Footnote [10] Farmers shall submit the result of a search of published and grey (e.g. local newspapers, magazines) literature. Statements from local communiVes and organizaVons shall also be produced. 

Footnote [11] As set by IUCN and naVonal authoriVes. 

2.3 Criteria: Site connecVvity 

Compliance 


X 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi, 

Finding 



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2.3.1 

Indicator: Farm does not impede navigaVon, aquaVc 

animals or water movement. 


Applicability: Pens and Cages 

A. Inspect site to verify that pens, cages and/or associated farm 

structures do not impede navigaVon, aquaVc animals orwater 

movement. 

B. During local community interviews, verify there is no evidence that 

the farm impedes navigaVon, aquaVc animals or water movement. 

X 

N/A 

N/A 

2.3.2 

Indicator: Minimum width of the water body [15] without 

cages, (see Diagram 1, Annex C) 

Requirement: ≥ 50% 

A. Cross-‐check the current farm map or diagram using Google-‐Map, 

satellite images or similar means (if detailed informaVon is available). 

If current farm layout differs from the most recent available image, 

verify that the map or diagram reflects the actual farm layout. 

X 

N/A 

Applicability: Cages 

B. Verify that calculaVons are accurate and confirm compliance N/A 

Footnote 15] Water body: Any pond, lake; canal; river, stream or any other disVnct mass of water, whether publicly or privately owned, including the banks and shores thereof 

Indicator: Maximum width a farm can occupy calculated 

when the water body level/width is at its minimum (see 

Diagram 2, Annex C) 

A. Cross-‐check the accuracy of the farm map or diagram using Google 

Map, satellite images or similar means (if detailed informaVon is 

available). 

N/A 

2.3.3 

Requirement: ≤ 20% percent of the width of the water 

body 

Applicability:Pens 

B. Verify that calculaVons are acurate and confirm compliance. 

X 

N/A 

C. Inspect site to verify that farm diagrams accurately show the size 

and posiVon of pens within the water body. 

N/A 

2.3.4 

2.4 Criteria: Water use 

Indicator: Maximum number of conVguous pens allowed 

(see Diagram 3, Annex C) 

Requirement: Two, only if a stretch of river bank that is at 

least the length of the two pens is let free from farms on 

both sides of the pens 

Applicability: Pens 

A. Inspect site to verify the farm's diagrams accurately show the size 

and posiVon of pen, and the shoreline distance between pens. 

B. Verify the farm's arrangement of pens is in compliance N/A 

Compliance 


X 

N/A 

Finding 

A. Verify the farm keeps complete records of water intake. "Intake and discharge diary" of pond 7, "Pond informaVon", the total abstractd water is 699.300m3. 

Indicator: Farm complies with water allocaVon [16] limits 

asset by focal authoriVes or a reputable independent 

insVtuVon [17] 

B. Review the water allocaVon limits set for the farm by local 

authoriVes. If local authoriVes do not set water allocaVon limits, 

confirm the farm has an anestaVon. 

The declaraVon of local authority by Mr. Nguyen Thanh Son on 20/08/2012 -‐ The people's comminee of Phu Tuc 

2.4.1 



C. Review evidence that water allocaVon limits have been set for the 

farm-‐ by a reputable independent insVtuVon (as applicable). 

D. Review evidence for reputability of the authority/insVtuVon 

responsible for water allocaVon (as applicable). 

X 

The declaraVon of local authority by Mr. Nguyen Thanh Son on 20/08/2012 -‐ The people's comminee of Phu Tuc 

The declaraVon of local authority by Mr. Nguyen Thanh Son on 20/08/2012 -‐ The people's comminee of Phu Tuc. The farm has no 

informVon of academic insVtuVon about water allocaVon. 

E. Check the farm's water intake against the wafer -‐allocaVon limits. 

Verify compliance with limits set by local authority. Cross-‐check 

against reported values for total water abstracted (see 2.4.2). 

"Intake and discharge diary" of pond 7, "Pond informaVon", the total abstractd water is 699,300m3. In "Fish receiving records" with the 

harvested fish, The volume for this pond is 2,690m3/ton of fish 

Footnote [16] Valid for both surface water and groundwater. Surface water is defined as "water collecVng on the ground or in a stream, river, lake,wetland or ocean." Groundwater is defined as "water beneath the earth's surface that supplies wells and springs." Note the term "surface water" is used here in place of the 

original term "suriicial water" that appeared in the Pangasius Aquaculture Dialogue Standards. 



VERSION 1.0 3



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Footnote [17] A reputable independent insVtuVon can be a government organizaVon, an academic insVtuVon or an organizaVon that is not linked specifically to the aquaculture sector, but has generated water use parameters for the region, or is responsible for water allocaVon. Reputability of the insVtuVon shall be 

demonstrated by the farmer showing peer reviewed arVcles and/or reports on water allocaVon. Documents produced for a sector other than aquaculture are also acceptable. A track record of at least three years of operaVon must be available. 

InstrucVon to Clients for Indicator 2.4.2 -‐CalculaVng the RaVo of Total Water Abstracted per Ton of Fish Produced 

Annex D of the ASC Pangasius Standard provides a formula for calculaVng "Q." which is the raVo of total water abstracted per ton offish produced. Farms must perform these calculaVons using harvest data from individual ponds (i.e. it is done on a crop-by-‐crop 

basis) and then using those results to determine a farm-‐wide average across all ponds. CalculaVons can be done as described here. For the first pond: 

-‐ compute the total volume of water abstracted ("TEV") in cubic meters (m3), during the producVon cycle; 

-‐ compute the total weight offish produced ("A") in metric tons at harvest Vme; and 

-‐ calculate Q. for the first pond using the equaVon: Q=TEV/ A 

Repeat the calculaVons for the second pond, third pond... etc. unVl Q has been determined for each pond that was harvested. Use the Q values from each pond (Q1, Q2, Q3...Qn) to compute the farm-‐wide average, or Qavg 

2.4.2 

Indicator: For ponds. Maximum raVo of total water 

abstracted [18] (not consumed) per ton of fish produced 

(calculate abstracted water using formula in Annex D) 

Requirement: 5,000 m3/metric ton of fish produced 


A. Review calculaVons against intake records to Confirm accuracy. 

B. Verify the farm keeps records showing the weight "of fish 

harvested. 

C. Review calculaVons against sales records and esVmates of current 

stock biomass (weight) to confirm accuracy. If needed, reconcile the 

totals with the weight of any fish that were harvested but not sold (i.e. 

Crops lost ater a disease outbreak). 

D. Review-‐ farm's calculaVons for accuracy. Cross-‐check that water 

volumes (2.4.2a) and harvest weights (2.4.2b) from individual ponds 

can be reconciles with total annual producVon (2.4.2c) and total 

annual water intake (2.4.1e). 

E. Confirm the farm-‐wide, average Q is < 5,OO0m3/metric ton of fish 

produced. 

Footnote [18] Water abstracted is water removed from the water body and introduced into the farm. It includes both surficial water and groundwater. 

PRINCIPLE iii: MINIMIZE THE NEGATIVE IMPACT OF PANGASIUS FARMING ON WATER AND LAND RESOURCES 

3.1 Criteria: Nutrient uVlizaVon efficiency 

Compliance 


X 

"Intake water diary" 

* Pond 5 from 15/11/2011 to 16/05/12. The total abstracted water is 699,300m3 and total weight of harvested fish is 260,000 kg. The 

volume for this pond is 2,690m3/ton of fish 

* Pond 07 from 24/09/11 to 24/03/12. The total abstracted water is 976,800m3 and total weight of harvested fish is 300,000kg. The 


* Pond 5: total weight of harvested fish is 260,000 kg. 

* Pond 07: total weight of harvested fish is 300,000kg. 

Receipt of harvested fish of pond 5 and 7, The total number is equality 

"Intake water diary" 

* Pond 5 from 15/11/2011 to 16/05/12. The total abstracted water is 699,300m3 and total weight of harvested fish is 260,000 kg. The 


* Pond 07 from 24/09/11 to 24/03/12. The total abstracted water is 976,800m3 and total weight of harvested fish is 300,000kg. The 


Two full crops for the first audit (>6mths): Qavg is 2,973 m3/ton of fish 

Finding 

InstrucVon to Clients for Indicators 3.1.1 and 3.1.2-‐Laboratory Analysis ofTP and TN in Feed 

In order to demonstrate compliance with Indicator 3.1.1 and 3.1.2, farms must be able to establish the amount of total phosphoms (TP) and total nitrogen (TN) in feeds. Farms shall be in possession of a declaraVon from each of their feed suppliers 

staVng the maximum TP and TN content. Farms shall then verify supplier declaraVons by tesVng a representaVve number of batches (e.g. 1 sample for every 1,000 tonnes of a feed used) for TP and TN content. Tests shall be performed by a fully 

independent laboratory that is accredited to perform these analyses in accordance with ISO 17025. Results should show that declaraVons made by the feed supplier are accurate and that the feed is within the limits stated in the declaraVon. Farms 

must demonstrate compliance for all feeds used in the crops that are included in the calculaVon, regardless of whether those feeds were farm-‐made or commercially sourced. All calculaVons should be made on a crop-‐by-‐crop basis. 

Note 1; For first audits, farms are not required to check the TP and TN content of feeds using an independent laboratory. 

Note 2; Feed refers to all feeds or feed items, regardless of where or how they are produced, and applies to all farms seeking cerVficaVon. 

3.1.1 

Indicator: Maximum amount of total phosphorus (TP) [19] 

added as feed per metricton of fish produced. 

Requirement: 20 kg/t 

A. Confirm the farm has complete and accurate records for feed used 


B. Verify the farm possesses all dedaraVons for TP content in feed. 

C. Review evidence to confirm that farm checks whether TP content is 

reported accuraiely by feed suppliers (if applicable). 

X 

N/A 

D. Review farm's calculaVons. Cross-‐check purchase records against 

the feed quanVVes reported 



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X 

N/A 

E. Review farm's calculaVons to confirm the farm complies with the 

Requirement 

Footnote [19] TP includes all forms of phosphorus found in the sample (Adapted from Australian Government, Department of Meteorology). 

3.1.2 

3.1.3 

Indicator: Maximum amount of total nitrogen (TN) [20] 

added as feed [21] per metricton offish produced. 

Requirement: 70 kg/t 

Applicability: Pens and Cages; 

Indicator: Amount of TP discharged per metric ton of fish 

produced (SeeTP measurement methodology and 

calculaVon in Annex D) 

Requirement: 7.2 kg/t 


Note: see instrucVons for Indicator 3.1.1 

A. Confirm the farm has complete and accurate records for feed used 

B. Verify the farm posseses declaraVons for TN content in feed. 

C. Review evidence to confirm that farm checks whether TN content is 

reported accuraiely by feed suppliers (if applicable). 

D. Review farm's calculaVons. Cross-‐check purchase records against 

the feed quanVVes reported 

E. Review-‐farm's calculaVons to confirm the farm complies with the 

Requirement 

Footnote [20] TN means the measure of all forms of nitrogen found in the sample, including nitrate, nitrite, ammonia N and organic forms of 

Footnote [21] Feed refers to all feeds or feed items, regardless of where or how they are produced, and applies to all farms seeking cerVficaVon. 

InstrucVon to Clients for Indicator 3.1.3 and 3.1.4 -‐ Sampling and Laboratory Analysis ofTP and TN Discharged 

DeterminaVon of the concentraVon of total phosphorus (TP) in water samples shall be made using the method: Kejidahl and Indo-‐phenol Blue. DeterminaVon of-‐the concentraVon of-‐total nitrogen (TN) in water samples shall be made using the 

method: Kejdahl and Ascorbic acid. DeterminaVons will be made by a fully independent laboratory that is accredited to perform these analyses in accordance with ISO 17025. 

Farms will measure the amount of TP and TN disharged from only a subset of the total number of ponds in producVon: 15% of all ponds (value rounded up to the nearest whole number). At least one of these ponds shall be randomly selected. The 

farm must record the number and idenVty of selected ponds before sampling. Required procedures for collecVng water samples are as follows: 

-‐two water samples are taken: one from the pond (=pond water) and one from the intake (=intake water). The two samples are taken on the same day. 

-‐ all water sample collecVons are done by staff from the fully independent ISO 17025 accredited laboratory 

-‐ all water samples are collected in second half of crop producVon (i.e. ≥ 90 days ater stocking) 

-‐ pond water samples are collected at 50% of pond depth 

-‐ all water samples are collected before 11:00am 

-‐ pond water samples are collected > 6 hours ater the intake of water into the pond 

For first audits, farm records for monitoring TP and TN discharged must cover ≥ 6 months, 

A. Confirm the laboratory is suitably qualified to conduct water 

sampling and analyses. 

B. Review laboratory results for TP concentraVon 

C. Review accuracy of farm's data 

D. Review farm's calculaVons to comfirm accuracy. 

X 

X 

N/A 

TesVng Laboratory -‐ Centre Monitoring Technical Resources and Environment Dong Thap -‐ Vilas 412. 

* Laboratory results for TP concentraVon: 

-‐ Pond water of pond 5: No. of the analysis result: 1206/KQTN taken on 25/03/2012: TP is 0.98 mg/L 


-‐ Intake water at the local channel for pond 5: No. of the analysis result: 1208/KQTN on 25/03/2012: TP is 0.80mg/L 

-‐ Intake water at the Tien river for pond 7: No. of the analysis result: 1207/KQTN on 25/01/2012: TP is 0.80mg/L 

* Pond 5: 

-‐ The total weight of fish produced is 260,000kg 

-‐ The total volume of water discharged 699,300m3 . 

-‐ TP is 0.98 mg/L 

-‐ TP dischagred is 0.59kg/ton of fish. 

* Pond 7: 

-‐ The total weight of fish produced is 300,000 kg 

-‐ The total volume of water discharged 976,800m3. 

-‐ TP is 1.40 mg/L 

-‐ TP dischagred is 1.614 kg/ton of fish 

E. Review farm's calculaVons of average TP to confirm compliance 

with the Requirement. 

The average TP discharged for two full crops is 1.102 kg/ton of fish. 

3.1.4 

InstrucVon to Clients for Indicator 3.1.3 and 3.1.4 -‐ Sampling and Laboratory Analysis ofTP and TN Discharged 

DeterminaVon of the concentraVon of total phosphorus (TP) in water samples shall be made using the method: Kejidahl and Indo-‐phenol Blue. DeterminaVon of-‐the concentraVon of-‐total nitrogen (TN) in water samples shall be made using the 

method: Kejdahl and Ascorbic acid. DeterminaVons will be made by a fully independent laboratory that is accredited to perform these analyses in accordance with ISO 17025. 

Farms will measure the amount of TP and TN disharged from only a subset of the total number of ponds in producVon: 15% of all ponds (value rounded up to the nearest whole number). At least one of these ponds shall be randomly selected. The 

farm must record the number and idenVty of selected ponds before sampling. Required procedures for collecVng water samples are as follows: 

-‐two water samples are taken: one from the pond (=pond water) and one from the intake (=intake water). The two samples are taken on the same day. 

-‐ all water sample collecVons are done by staff from the fully independent ISO 17025 accredited laboratory 

-‐ all water samples are collected in second half of crop producVon (i.e. ≥ 90 days ater stocking) 

-‐ pond water samples are collected at 50% of pond depth 

-‐ all water samples are collected before 11:00am 

-‐ pond water samples are collected > 6 hours ater the intake of water into the pond 

For first audits, farm records for monitoring TP and TN discharged must cover ≥ 6 months, 

Indicator: Amount of TN discharged per metric ton of fish 

produced (See TN measurement methodology and 




VERSION 1.0 5 

Requirement: 27.5 kg/t



Tel.: + 5117190400 Fax.: +5114217573 



3.1.4 

3.2 Criteria: Measuring water quality in receiving water body 

3.2.1 

Indicator: Amount of TN discharged per metric ton of fish 

produced (See TN measurement methodology and 


Requirement: 27.5 kg/t 


Indicator: Percentage change in diurnal dissolved oxygen 

[22] (DO) of receiving waters [23] relaVve to DO at 

saturaVon for the water's specific salinity and 

temperature. An excepVon is made for ponds that 

discharge water with TN and TP lower than the TN and TP 

of the intake water respecVvely (see DO measurement 

methodology in Annex D) 

Requirement: ≤ 65% 


A. Confirm the laboratory is suitably qualified to conduct water 

sampling and analyses. 

B. Review laboratory results for TP concentraVon 

C. Review accuracy of farm'data 

D. review farm's calculaVons to confirm accuracy 

E. Review farm's calculaVons of average TN to confirm compliance 

with the Requirement. 

Compliance 


A. Review data set to confirm that monitoring covers the required 

Vmeframe 

TesVng Laboratory -‐ Centre Monitoring Technical Resources and Environment Dong Thap -‐ Vilas 412. 

* Laboratory results for TN concentraVon: 

-‐ Pond water of pond 5: No. of the analysis result: 1206/KQTN taken on 25/03/2012: TN is 8.80 mg/L 

-‐ Pond water of pond 07: No. of the analysis result: 12027/KQTN taken on 25/01/2012: TN is 5.00 mg/L 

-‐ Intake water at the local channel for pond 5: No. of the analysis result: 1208/KQTN on 25/03/2012: TN is 3.00mg/L 

-‐ Intake water at the Tien river for pond 7: No. of the analysis result: 1207/KQTN on 25/01/2012: TN is 3.00mg/L 

The average TN discharged for two full crops is 12.13 kg/ton of fish. 

Finding 

DO record in receiving waters of the first senlement pond for pond 1 to 11 with more than 6 months from Jan to July 2012 and comply 

with this instrucVon. However, from the mid-‐july of 2012, the second senlement pond has been used for pond 1 because the discharged 

pipe from pond 1 to the first senlement pond for pond 1 to 11 was broken. From that day unVl now, there is no record of DO 

measurement at the receiving water 

B. Verify the farm technicians calibrate equirement as required. Mr. Dinh Thanh Tung is the farm technician calibrate equirement. He can show his acknowledge. 

C. Review calculaVons to confirm accuracy. 

D. Confirm the average percent change in DDO ≤ 65 %. 

E. Witness the farm measuring DO to confirm compliance with 

procedures. On-‐site values should fall within range of farm data for 

DDO. If an out of range measurement is observed, raises a 

non¬conformity. 

The auditor witnessed the farm measuring DO at the receiving water of the senlement pond. 

The senlement pond 1: At 4:45am, The parameter DO, S%o, To is 3.76 mg/L, 0%o and 29oC, respecVvely, and At 15:25pm, The parameter 

DO, S%o, To is 4.5 mg/L, 0%o and 30oC, respecVvely. 

The DDO is 11% which is in range measurement of the farm. 

Footnote [22] DO is the concentraVon of oxygen dissolved in water, expressed in mg/1 or as percent saturaVon, where saturaVon is the maximum amount of oxygen that can theoreVcally be dissolved in water at a given alVtude and temperature (biology-‐online.org). 

Footnote [23] "Receiving water" is the first natural water body that receives the water from the farm and does not belong to the farm. 

3.3 Criteria: Measuring quality of pond effluents Water quality of pond effluents [24] 

Compliance 

Finding 


Footnote [24] This criteria is not perVnent to either cage or pen cultures 

X 

X 

* Pond 5: 

-‐ The total weight of fish produced is 260,000kg 

-‐ The total volume of water discharged 699,300m3 . 

-‐ TN is 8.80 mg/L 

-‐ TN dischagred is 18.88 kg/ton of fish. 

* Pond 7: 

-‐ The total weight of fish produced is 300,000 kg 

-‐ The total volume of water discharged 976,800m3. 

-‐ TN is 5.00 mg/L 

-‐ TN dischagred is 5.379 kg/ton of fish 

InstrucVon to Clients for Indicator 3.2.1 -‐Measuring Percent Change in Diurnal Dissolved Oxygen 

Farms shall monitor the percent change in diurnal dissolved oxygen in receiving waters. Dissolved oxygen (DO) concentraVon is reported relaVve to DO at saturaVon for the water's specific salinity, temperature and alVtude. DO is measured using a 

hand-‐held oxygen meter or a more accurate (chemical) method, with accuracy established in peer-‐reviewed documents. The locaVon of measurements should be the first natural receiving water body and as close as pracVcal to the point of discharge 

but at a distance not exceeding 200m from the point of discharge. In addiVon, the following procedures are followed: 

-‐ DO monitoring is conducted fortnightly (i.e. once every two weeks) 

-‐ On each sampling day, two DO measurements are taken: at 1 hour before sunrise and at 2 hours before sunset (+/-‐ 30 min) 

-‐ DO measurements are taken at 0.3 meters below the water surface. 

-‐Temperature and salinity is recorded at the same Vme that DO is measured. 

Note 1: An exempVon to Indicator 3.2.1 is made for farms that have "cleaner" water (i.e. where the value of the farm TP and TN is lower than that of the intake water. This applies regardless of whether the receiving water is eutrophic. See Indicators 

3.3.1 and 3.3.2 for more informaVon about measuring differences in TN and TP between pond inlet and outlet. 

DO record of senlement pond 1 to 11 and DDO at the receiving water of the senlement ponds, the calculaVon based on Annex D of 

standard, DDO avg is from 6.7%-‐21.15%% for more 6 months 



VERSION 1.0 6



Tel.: + 5117190400 Fax.: +5114217573 



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). 

Requirement: 100% 


InstrurVon to Clients on Indicators 3.3.1 and 3.3.2 -‐ Measuring Change in TP and TN Betwen Inlet and Outlet 

Pre-‐amble: If the concentraVon of Inlet TN or Inlet TP falls below the detecVon limits of the analyVcal method, use the limit concentraVon as the input value in these calculaVons. DeterminaVon of the concentraVon of total phosphorus (TP) in water 

samples shall be made using the method: Kejidahl and Indo-‐phenol Blue. DeterminaVon of the concentraVon of total nitrogen (TN) in water samples shall be made using the method: Kejdahl and Ascorbic acid. DeterminaVons will be made by a fully 

independent laboratory that is accredited to perform these analyses in accordance with ISO 17025. Laboratory results will be accompanied by a statement that indicates compliance to the methodology set in theASC Pangasius Standard and this Audit 

Manual. Farms will measure the change in TP and TN from only a subset of the total number of ponds in producVon: 15% of all ponds (value rounded up to the nearest whole number). At least one at of these ponds shall be randomly selected. The 

farm must record the number and selecVon of ponds before sampling. Required procedures for collecVng water samples are. as follows: 

-‐ samples are collected by staff from the fully independent accredited laboratory; 

-‐ samples are taken from the 'inlet' and the 'outlet' (inlet = the water in the intake canal, as close as possible to the farm being cerVfied. Outlet =the actual water being discharged not the receiving water. For farms using a water treatment system this 

could be the water in the final part of the treatment system before being discharged); 

-‐ samples are collected from pond inlets and outlets during the second half of crop producVon (i.e. > 90 days ater stocking); 

-‐ on each sampling day, at least two samples are collected from the outlet and these are'tak en at least-‐1 hourapart (use the average value in calculaVons below); and 

-‐ at a minimum the farm must sample from one pond per year. 

Percent Change in TP =(Outlet TP Conc.)-‐ (Inlet TP-‐Conc.) / (Inlet TP Conc.)x100 

Percent Change in TN=(Outlet TN Conc.)-‐ (Inlet TP-‐Conc.) / (Inlet TN Conc.)x100 

When more than one pond is sampled, determine a "farm-‐wide average" by calculaVng the average percent, change for all sampled ponds. 

For first audits, farm records for monitoring percent change in TP and TN must cover ≥ 6 months 

A. Review laboratory results for TP. 

X 

* Laboratory results for TP concentraVon: 

-‐ Intake water at the local channel for pond 5: No. of the analysis result: 1208/KQTN on 25/03/2012: TP is 0.80mg/L 

-‐ Intake water at the Tien river for pond 7: No. of the analysis result: 1207/KQTN on 25/01/2012: TP is 0.80mg/L 

-‐ senlement pond: 

+ Discharged water at the local channel for pond 5: No. of the analysis result: 341/KQTN on 25/03/2012: TP is 1.15mg/L 

(with 1 hour apart: 342/KQTN on 25/03/2012. TP is 1.50 mg/L) 

+ Discharged water at the local channel for pond 7: No. of the analysis result: 83/KQTN on 25/01/2012: TP is 1.10mg/L 


-‐ Water pond: 



B. Review calculaVons to verify accuracy. Checked the calculaVon of the farm. The result of %TP is 43.75% and 37.5%. 

C. Confirm the average percent change inTP is ≤ 100%. If any single 

value falls outside limits, raise a non-‐conformity. 

The average percent change in TP is 40.625% 

3.3.2 

Indicator: Maximum average percentage change of TN 

between inlet [25] and outlet [26] (SeeTN measurement 

methodology and TN discharge formula in Annex D). 

Requirement: 70% 


D. Contact accredited laboratory which performed the sampling for TP 

and TN fo confirm compliance with procedures 

Note: see instrucVons for Indicator 3.3.1 

A. Review laboratory results for TN. 

X 

Contact accredited laboratory named Mr. Dinh Tien Huu and Ms. Thai Thi Thuy Trang. Their taking sample complies with this instrucVon 

* Laboratory results for TN concentraVon: 

-‐ Intake water at the local channel for pond 5: No. of the analysis result: 1208/KQTN on 25/03/2012: TN is 3.00mg/L 

-‐ Intake water at the Tien river for pond 7: No. of the analysis result: 1207/KQTN on 25/01/2012: TN is 3.00mg/L 

-‐ senlement pond: 

+ Discharged water at the local channel for pond 5: No. of the analysis result: 341/KQTN on 25/03/2012: TN is 5.00mg/L 


+ Discharged water at the local channel for pond 7: No. of the analysis result: 83/KQTN on 25/01/2012: TN is 4.70mg/L 

(with 1 hour apart: 1209/KQTN on 25/01/2012. TN is 5.00 mg/L) 

-‐ Water pond: 

+ Pond water of pond 5: No. of the analysis result: 1206/KQTN taken on 25/03/2012: TN is 8.80 mg/L 

+ Pond water of pond 07: No. of the analysis result: 12027/KQTN taken on 25/01/2012: TN is 5.00 mg/L 

B. Review calculaVons to verify accuracy. Checked the calculaVon of the farm. The result of %TN is 66.67% và 56.67%. 

Footnote 

Footnote 

C. Confirm the average percent change in TN is ≤ 70%. If any single 

value falls outside limits, raise a non-‐conformity. 

D. Contact accredited laboratory which performed the sampling for TP 

and TN to confirm compliance with procedures. 

[25] Inlet: The water in the intake canal, as close as possible-‐to the farm or pond being cerVfied. 

[26] Outlet: The actual water being discharged, not the receiving water. 

The average percent change in TN is 61.67% 

Contact accredited laboratory's staffs named Mr. Dinh Tien Huu and Ms. Thai Thi Thuy Trang. Their taking sample complies with this 

instrucVon 



VERSION 1.0 7



Tel.: + 5117190400 Fax.: +5114217573 



3.3.3 

Footnote 

3.4.1 

Indicator: Minimum dissolved oxygen (DO) concentraVon 

in water discharged (See DO measurement methodology 

in Annex D) 

Requirement: 3 mg/l 

Applicability: ponds 

3.4 Criteria: Sludge disposal for ponds and pens, not cages [27] 

A. Review data set to confirm that monitoring covers the required 

Vmefram 

B. Confirm DO in water discharged by farm is > 3 mg/1. If any single 

X 

value falls outside limits, raise a non-‐comformity. 

C. During the on-‐site visit, observe how the farm calibrates equipment 

and takes DO measurements (or takes samples for chemical analysis) 

to confirm compliance. 

Compliance 


[27] For cage culture, there are no requirements forbenthic monitoring included, as cages account for a small percentage of producVon. This situaVon will be monitored and revised if the producVon of cage culture rises significantly. 

Indicator: Evidence that sludge is not discharged directly 

into receiving waters or natural ecosystems [28] 



InstrucVon to Clients for Indicator 3.3.3-‐Measuring DO in Water Discharged 

See Indicator 3.2.1 fora general descripVon of the equipment and method used to measure dissolved oxygen (DO). Take DO measurements at the outlet where water is discharged (i.e. measure DO in the actual water being discharged, not in the 

receiving water. For farms using a water treatment system this could be the water in the final part of the treatment system before being discharged). Test DO at least once per week. 

"The DO record of discharged water in weekly" of the first senlement pond for pond 1 to 11 with more than 6 months from Jan to July 

2012 and comply with this instrucVon. However, from the mid-‐july of 2012, the second senlement pond has been used for pond 1 because 

the discharged pipe from pond 1 to the first senlement pond for pond 1 to 11 was broken. From that day unVl now, there is no record of 

DO measurement in the second senlement pond 

"The DO record of discharged water in weekly" of setlement pond of 1-‐11, DO from 3.5mg/L -‐ 4.6mg/L. DOavg is 3.996mg/L (24/9/2011 -‐ 

17/3/2012), tu 24/3-‐18/8/2012 la 3.877mg/L 

The auditor observed calibraVon of equipment and measurements is 3.7mg/L which is the range of the farm measurement 

A. Review the farm's sludge management plan. the farm's sludge management plan on 01/09/2011, 

records of sludge disposal in 03 months. There is only the volumn of the wet slugde but there is no weight of dried sludge as ferVlizaVon 

B. Review records to confirm appropriate disposal according to plan.. 

to trees in the farm 

C. If yes to (c), confirm farm has appropriate documentary evidence. N/A, just use as ferVlizer in the farm 

X 

D. If yes to (d), inspect sludge repository during on-‐site visit. A sludge repository is used within the farm 

E. During local community and employee interviews, verify there is no 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi, there is no evidence that the farm 

evidence that the farm discharged sludge directly into receiving 

discharged sludge directly into receiving waters on natural ecosystems 

waters on natural ecosystems 

Finding 

Footnote 

[28] The complex of a community and its environment funcVoning as an ecological unit in nature. More simply, it's both living and non-‐living things that interact with each other. In these standards, both the terrestrial and aquaVc ecosystems are considered 

3.4.2 

Indicator: Evidence of a sludge repository of appropriate 

size (See sludge repository formula in Annex D) 


Applicability: Farms managing the sludge using a 

repository 

3.5 Criteria: Waste managerment 

3.5.1 

3.5.2 

Indicator: Evidence of farm solid wastes being discharged 

into the natural environment 

Requirement: None 


Indicator: Evidence of human and animal solid wastes 

being discharged into the natural environment 

Requirement: None 


InstrucVon to Clients for Indicator 3.4.2 -‐Size of Sludge Repository 

A Sludge Repository Formula is given in Annex D of the ASC Pangasius Standard. Farms shall document how this formula was used to calculate the appropriate size (minimum volume) of a sludge repository. Farms may, for example, document their 

calculaVons in the sludge management plan (see 3.4. 1a). All sludge areas and volumes must be considered in the calculaVon. For 'Area of Pond', consider only the area of the pond from which sludge has to be removed over the following 2 months. 

Note 1: If the Sludge Repository Formula yields a negaVve number then the repository exceeds the minimum volume (i.e. it is an appropriate's size). 

A. Review farm's calculaVons to verify accuracy. Confirm compliance. 

B. During on-‐site visit, inspect the farm's sludge repository. 

Compliance 


A. Review the farm's solid waste management plan 

B. Inspect the farm for any evidence of solid waste (e.g. bags, 

containers) being discharged into the natural environment 

surrounding the farm. 

C. Confirm that the farm's solid waste management plan is 

implemented and effecVve. Evaluate If there is a risk or potenVal for 

discharges. 

A. Inspect the farm's solid waste system for any evidence of human or 

animal solid wastes being discharged into the natural environment 

B. Verify that emptying and maintenance fallow the schedule. 

C. Inspect sepVc toilets to verify there is no leakage or direct discharge 

into the natural environment. Verify that empying and maintenance 

follow the schedule. 

D. Inspect site to verify that the farm buries any animal feces (if 

applicable). 

X 

X 

X 

The farm used the area of sludge pond mulVplying by the depth and by this calculaVon, this sludge can be enough space to contain sludge 

but not base on the calculaVon of Annex D 

By observaVon on site and the area provided by the farm, the sludge pond will based on the depth of sludge pond. But now the sludge 

pond is full. However, from the day is full and unVl now is not over 2 months without pumping sludge. Besides, the farm is digging up the 

new sludge pond. The farm needs to provide the plan with the area of new sludge pond and the plan to keep sludge as annex D 

Finding 

"the farm's solid waste management plan" no. 006/KH-‐TM,HV on 16/08/2011, by Mr. Ngo Thanh Van Phuc Toai. The management of feed 

packing used as coat when mixing feed is in lack 

The farm has contract for collecVng and disposing solid waste as well as record. The farm has contract for collecVng and disposing solid 

waste as well as record. No discharged into the natural environment surrounding the farm. 

Inspect the farm, solid waste is around pond 6, 8, 10 and domitory of worker. 

Waste treatment for human in SepVc tanks. "the farm's solid waste management plan" no. 006/KH-‐TM,HV on 16/08/2011, by Mr. Ngo 

Thanh Van Phuc Toai. 

"Management and operaVon management of sepVc tank" on 01/07/2012 

"The plan of using Vme and the empty tank" on 01/09/2011. 

no leakage or direct discharge into the natural environment 

No have animal 



VERSION 1.0 8

3.5.2 



Tel.: Indicator: + 5117190400 Evidence of Fax.: human +5114217573 

and animal solid wastes 


being discharged into the natural environment 




X 

E. Review construcVon contracts (if applicable). 

"CompleVon design" for management area of Phu Tuc farm-‐Chau Thanh district, Ben Tre province 

*"To check and take over the building for using" on 27/06/2012 

3.5.3 

Indicator: Evidence of chemical and medicine wastes being 

discharged into the natural environment 


A. Review farm's plan for management of chemical and medicinal 

wastes. 

B. Inspect the farm for any evidence of chemical or medicinal waste 

being discharged into the natural enviroment surrounding the farm. 

X 

Waste treatment for human in SepVc tanks. "the farm's solid waste management plan" no. 006/KH-‐TM,HV on 16/08/2011, by Mr. Ngo 

Thanh Van Phuc Toai. 

no evidence of chemical or medicinal waste being discharged into the natural enviroment surrounding the farm 


C. Confirm that the farm's plan is implemented and effecVve. 

Evaluate if there is a risk or potenVal for discharges. 

the farm's plan is implemented and effecVve 

InstrucVon to Clients for Indicator 3.5.4 -‐ Preparing a Plan for Disposal of Dead/Moribund Fish 

Prepare a plan for the proper disposal of dead/moribund fish that specifies the means of disposal using one or more of the following categories: incineraVon (excluding regular burnimg, as not allowed); burial; fermentaVon and as ferVlizer; specVc 

tank; producVon of fish meal or fish oil; feed for annimals other than pangasius (requires statement from aquaVc animal health specialist, see Principle 6); sold. 

3.5.4 

Footnote 

Dead fish should never be used for human consumpVon unless specifically slaughtered and processed for that putpose in an appropriate facility. 

A. Review the farm's plan for compliance with Indicator 3.5.4 "Dead fish management plan" on 16/08/2011 by Mr. Ngo Thanh Van Phuc Toai 

B. Verify by inspecVon (as applicable). N/A.No burial. Selling fish as ferVlizer 

C.Verify by review of documentary evidence (as applicable). 

N/A.No burial. Selling fish as ferVlizer 

D. Verify by inspecVon (as applicable). N/A.No using as feed. Selling fish as ferVlizer 

X 

E. Verify that farm possesses wrinen statement(s) from aquaVc health 

specialist (as applicable). 

N/A.No using as feed. Selling fish as ferVlizer 

F. Verify review of documentary evidence (as applicable) The contract of selling fish. The record of selling is in place 

G. Confirm the farm's plan is effecVvely implemented. Evidence will 

include interviews with farm workers who confirm that disposal 

followed the plan. 

Compliance 


A. Review calculaVons. Verify the farm keep records of energy 

consuntpVon. 

B. Verify the farm-‐maintains accurate records of-‐mortaliVes and 

disposals. 

Compliance 


A. Review declaraVons. Confirm that the farmed species is accurately 

idenVfied in purchase records. 

B.Review map to confirm farm locaVon within river basin. 

Dead fish around pond 6 

[30] Proper disposal of dead fish include: incineraVon, burial, fermentaVon and use as ferVlizer and producVon offish meal or fish oil. Dead fish should never be used for human consumpVon. Also acceptable if there is strong evidence that the mortality w^sitqt talked by an infecVous agent or a 

pesVcide/chemical pollutant, the fish can be used as feed for animals other than pangasius. Evidence on the cause of mortality shall be provided by the aquaVc animal health specialist (see Principle 6). 

3.6 Criteria: Energy consumpVon 

3.6.1 

Indicator: Evidence of proper disposal (30) of 

dead/moribund fish 



Indicator: InformaVon available on the following variables 

(per year per farrn in the cerVficaVon unit): 

-‐ Fuel used 

-‐ QuanVty of electricity 

-‐ Amount of dead fish for each disposal method. 



PRINCIPLE IV: CONSERVE SPECIES DIVERSITY AND WILD POPULATIONS 

4.1 Criteria: Presence ofpongosius in the woter droinoge system 

Indicator: Farm located in a river basin where the farmed 

species is indigenous or has a self-‐recruit ins 1321 stock 

established before Ist January 2005 

X 

The records of energy such as electricity and fuel oil is available 

"The dead fish monitoring record" by Mr. Huynh Minh Huy 

Note: If the farmed species is not indigenous to the river basin and the species does not have a self-‐recuiVng stock estabished, then Indicator 4.1.1. does not apply. Enter 'not applicable' here and proceed to assess farm compliance against Indicator 

4.1.3. 

"Seedling record lener" for all ponds realeased. 

"Contract of purchasing seedling" 176/HD-‐HV on 20/8/2011 

Reviewed map to confirm farm locaVon within river basin 

Finding 

Finding 

4.1.1 


C. Confirm that documentaVon show the farmed species is indigenous 

to the river basin. 

Applicability: Farms in a river basin where the species is 

D. Confirm that documentaVon shows the farmed species has a self-either 

indigenous or has a self-‐recruiVng stock established 

recruiVng stock that was established in the river basin before 1st 

January 2005. 

X 

"Freshwater fish distribuVon in Mekong Delta" June 2005 of Mekong River Commission for Sustanable Development, (DistribuVon and 

Ecology of some Important River Fish Species of the Mekong river Basin) MRC Technical Paper No. 10, 

the farmed species is indigenous to the river basin, provide documentary evidence of FAO (Sauvage, 1878) 



VERSION 1.0 9

4.1.1 

Indicator: Farm located in a river basin where the farmed 


species is indigenous or has a self-‐recruit ins 1321 stock 

Av. established Dos de Mayo before 1205, Ist January San 2005 Isidro Lima -‐ Perú 

Tel.: + 5117190400 Fax.: +5114217573 





either indigenous or has a self-‐recruiVng stock established 

X 

E. Verify the idenVty of the farmed species by direct observaVon 

during on-‐site visit. 

By direct observaVon during on-‐site visit, there is only pangasius 

4.1.2 

Indicator: If a self-‐recruiVng stock is established, evidence 

of no negaVve impacts on the environment [33] 



not-‐indigenous and a self-‐recruiVng stock is established 

A. Review evidence of no negaVve impact. If a self-‐recruiVng stock has 

not become established in the river basin, or if the species is 

indigenous to the river basin, Indicator 4.1.2 is not applicable. 

X 

indigenous species 

Footnote 

Footnote 

[32] Self-‐recruiVng is defined as naturally reproducing. Peer-‐reviewed papers, official government (competent authority) statements or other comparable references on mulVple incidences of different age classes at different Vmes-‐and locaVon are necessary as evidence. 

[33] Peer-‐reviewed papers, official government (competent authority) statements or other corn parable references are necessary as evidence 

InstrucVons to Clients and Auditor for Indicator 4.1.3 -‐ parVcular weight is given to peer reviewed evidence, especially papers in journals that have a track record of publishing on the subject. Cert if ier to verify that the evidence credibly demonstrates 

Indicator: If the speefe is not indigenous and does.not 

that operaVons are compliant with meeVng internaVonal norms around the prevenVon of introducVon of non indigenous species in the natural environment outside of client's farm. 

have 6 self-‐recruiVng stock established, evidene.e that the 

species cannot establish in the river basin [34] 

4.1.3 



not indigenous and does not have a self-‐recruiVng stock 

established 

A. Review evidence provided by the farm to confirm that the farmed 

species can not establish in the river basin. 

X 

indigenous species 

Footnote: [34] Peer-‐reviewed publicaVon in a reputable journal is required as evidence that the species cannot be established. 

4.2 Criteria: GeneVc diversity 

Compliance 


Finding 

4.2.1 

Indicator: DemonstraVon [35] that the seed [36] has been 

generated from the pangasius populaVon naturally 

reproducing in the river basin [37] 


A. Review evidence to confirm pangasius is indigenous to the river 

basin or else has a self-‐recruiVng stock established there. 

B. Review map to confirm the farm's locaVon coincides with an 

indigenous pangasius populaVon or a self-‐recruiVng stock that has 

established in the river basin 

C. Review declaraVons. Confirm that the source of the seed is 

Applicability: Farms in a river basin where the species is accurately idenVfied in purchase records. 

either indigenous or has a self-‐recruiVng stock established 

D. Verify that sourcing of seed is in compliance with the requirement 

X 

"Freshwater fish distribuVon in Mekong Delta" June 2005 of Mekong River Commission for Sustanable Development, (DistribuVon and 

Ecology of some Important River Fish Species of the Mekong river Basin) MRC Technical Paper No. 10, 

Reviewed map to confirm farm locaVon within river basin 





Footnote [35] A thorough map of pangasius establishment that indicated the range of the species, as well as disVnct stocks, will be necessary. 

Footnote [36] Throughout these standards, the word "seed" is used for pangasius seed only. 

Footnote [37] This standard is applicable to all farms using seed sourced from either populaVons which are indigenous or populaVons which are established before January 2005. 

4.3. Criteria: Source of seed 

Compliance 


4.3.1 

Indicator: Allowance, for use of wild-‐caught seed for grow 

out 


A. Verify declaraVon of no wild-‐caught seed for grow out. declaraVon of no wild-‐caught seed for grow out 

B. Verify that farm has statements from seed suppliers 

X 



Finding 


C. Verify the farm maintains accurate records for sourcing of seed. Seedling record lener for all ponds realeased. 

4.4 Criterio: GeneVcolly engineered ond hybridized strains 

4.4.1 

Report Applicability: No.: ASC.2012.01.LTTT 

All 

Compliance 


Indicator: No use of geneVcally engineered (transgenic) or A. Verify declaraVon of no use of geneVcally engineered or hybrid 

hybrid seed 

strains. 


X 

declaraVon of no use of geneVcally engineered or hybrid strains 


VERSION 1.0 10 

Finding

4.4.1 



Tel.: + 5117190400 Fax.: +5114217573 



Indicator: No use of geneVcally engineered (transgenic) or 

hybrid seed 



X 

B. Verify that farm maintains statements from seed suppliers. Seedling record lener for all ponds realeased. 

Footnote [31] A-‐geneVcally modifed organism (GMO) is an organism, with the except ion of human beings, in which the geneVc material has been altered in a way that does-‐not occur naturally by maVng and/or natural recombinaVon (DirecVve 2001/18/EC) 

4.5 Criterio: Escapees. 

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 

prevenVng fish of any size (in the holding unit being 

assessed) to escape 

Compliance 


A. Review records for fish size in different holding units. "InformaVon collecVon record" of all ponds is in place 

B. Review records for mesh or grill size. X 

"Net maintenance record" is in place 

Finding 



C. Duringthe on-‐site visit, inspecVng the size of net mesh or grills to 

confirm compliance. 

Duringthe on-‐site visit, inspecVng the size of net mesh or grills to confirm compliance 

4.5.2 

Indicator: Evidence of regular, Vmely inspecVons (at least 

once a day); miVgaVon and repairs are performed on net 

mesh or grills and recorded in a permanent register 

(available for inspecVon). 



A. Review records to verify inspecVons are regular and Vmely. "Net maintenance record" is regular and Vmely 

B. Review the register to verify repairs are performed and recorded. "Net maintenance record" is regular and Vmely 

c. Witness the farm performing an inpecVon of meshes and grills to 

confirm that the program is effecVve. 

X 

no change the mesh from the begining to the harvest 

4.5.3 

Footnote [38] 

Indicator: Bund [38] height sufficient [39] to prevent water 

spillage, along with escapees, in the rainy season when 

flooding occurs. 



Bund: berm containing the water in the pond. 

A. Review records covering >= 10 years or statement to establish the 

maximum height of high water when flooding occurs. 

B. Review statement and map. During the on-‐site visit, inspect farm to 

verity that bund height is sufficient to prevent spillage when flooding 

occurs. 

Note: dyke, dike, bund and berm all have the same meaning for this 

criteria. 

C. During local community and employee interviews, verify there is no 

evidence for spillage or escapement from the farm in the last 12 

months. 

X 

"Maximum height of hight flood water level from 2002 -‐ 2011" by Ben Tre hydrometeorological center 

The statement of the local authority. The map showed the lowest point by Mr. Vo Van Ban on 20/08/2012 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi, no evidence for spillage or 

escapement from the farm 

4.5.4 

Footnote [40] 

A. Review how the farm uses trapping devices to monitor escapees. 

Verify that trapping devices do not injure/corn promise fish (e.g. gill 

02 trapping devices at the run out of senlement. not injure 

Indicator: Presence of trapping devices [40] placed in 

nets). 

effluent/drainage canals or on water outlets to capture 

escapees, a record of findings and acVons taken (available 

for inspecVon) 

B. Review records of inspecVon and observed escapees. records of inspecVon and observed escapees 

X 


Applicability: AII 

C. Review the suitability of any acVon taken by the farm to reduce 

escapement 

D. During the on site visit, inspect to verify that traps are configured 

properly and located suitably to ensure effecVve farm-‐wide 

monitoring of escapees. 

These devices should not injure or compromise fish health (e.g., gill nets). 

4.6 Criteria: Pond Maintenance 

Compliance 


records of inspecVon and observed escapees 

A. Review farm's procedure for bund monitoring and repair. "Bund monitoring and repair plan" 

During the on site visit, inspect to verify that traps are configured properly and located suitably to ensure effecVve farm-‐wide monitoring 

of escapees. 

Finding 

4.6.1 

Indicator: Evidence that bund has remained intact [41] 

throughout the culture cycle 





X VERSION 1.0 11



Tel.: + 5117190400 Fax.: +5114217573 



4.6.1 

Indicator: Evidence that bund has remained intact [41] 

throughout the culture cycle 



B. Review records for evidence that the bund has remained intact in 

the last 12 months. If a bund was found to be corn promised, there 

shall be evidence that repairs were completed as soon as pracVcal. 

C. Inspect bunds to confirm compliance. Examine-‐for any signs of 

collapse and note evidence of repairs. 

D. During local community and employee interviews, verify that bunds 

have remained intact throughout the culture cycle. 

X 

"Bund monitoring and repair diary" 

No signs of collapse 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi, bunds have remained intact 

throughout the culture cycle. 

Footnote [41] 

Has not been affected in such a way to allow the escape in part or all of the farmed stock. 

4.6.2 

Indicator: Evidence assuring there has been no intenVonal 

release [42] 



A. Review declaraVon to confirm compliance. a declaraVon of the farm for no intenVonal releases 

B. Review records to confirm that all stockings can be accounted by 

harvest or disposal 

C. Review annual producVon records to determine if there are 

significant discrepancies that could idicate the possibility of 

intenVonal release. 

X 

Record and receipt of the harvested fish between the farm and the processign unit 

a wrinen jusVficaVon for any periods of inacVvity lasVng longer than 3 months of pond 5 is in place 

Footnote [42] 

The original intent of footnote [42] from the PangasiusAquaculture Dialogue Standards has been clarified here for audiVng purposes. It now reads: "Significant discrepancies between the number (or biomass) of fish-‐stocked and the number ( or biomass) of fish sold in the absence of disease outbreaks, major 

thet or escapes would indicate the possibility of intenVonal release." 

PRINCIPLE 5. USE FEED AND FEEDING PRACTICLES THAT ENSURE THAT FEED INPUTS ARE SUSTAINABLE AND MINIMIZED 

5.1 Criteria: Sustainability of feed ingredients 

Compliance 

Finding 


5.1.1 

Indicator: Use of uncooked or unprocessed fish and/or fish 

products [43] (including trash fish) as feed 

Requirement: No 

A. Review-‐ farm's records for commetcially sourced feeds Receipt purchases of commercial feed is in place withing more than 6 monhts. There is ony one feedmill supplier 

B. Review ingredients to verrfy that farm-‐made feed had no uncooked 

or unprocessed fish and/or fish products (including trash fish). 

X 

N/A 


C. Verify that farm records are sufficient to account for all feed used. 

There should be no indicaVon of unexplained sources of feed. 

N/A only have commercial feed 

Footnote [43] Fish products are defined as all forms of fish or products derived from fish (e.g., whole fresh, frozen; minced, dried, meals; oils, and processing by-‐products) 

5.1.2 

Indicator: Use of pangasius fish processing by-‐products 

[44] as feed or feed ingredients 

Requirement: No 

A. Review farm's declaraVon to confirm that no by-‐products of 

pangasius fish used as feed for pangasius 

B. Review manufacturer's declaracVon to confirm no pangasius by-products 

were in feed 

X 

The declaraVon of farm signed on 16/08/2012 

The feedmill manufacturer's declaracVon on 24/07/2012, no by product from pangasius 

Footnote [44] 


C. Review farm documentaVon to confirm that no pangasius by-products 

were used In feed preparaVon (if applicable) 

N/A No farm-‐made feed 

Trimmings, viscera, heads and frames from the processing of fish—either wild or farmed—are processing by-‐products. Generally, these-‐ are not counted as part of the "fish product" amount when calculaVng feed fish equivalencies, as this helps promote the best use of the wild-‐caught fish. However, it is not 

acceptable to use pangasius by-‐products in pangasius diets 

5.1.3 

Indicator: Fish products used in feed are not in the 

"threatened categories" [45] on the InternaVonal Union 

for ConservaVon of Nature (IUCN) Red List of Threatened 

Species [46] 


InstrucVons to Clients for Indicator 5.1.3-‐ Confirm there are no lUCN Red List Species in Feed 

For the purposes of this Indicator, the ASC definiVon of 'fish products' shall encompass all wild-‐capture marine resources, including finfish and invertebrate species (e.g. shrimp, crab, squid). Farms must be aware that feeds which contain any IUCN Red 

Listed species.do not comply with the Standard, ThisrestricVon extends to feeds, that use by-‐pro ducts (e.g. trimming) or aquacultured products of IUCN Red Listed species. 

For each fish product used as a feed ingredient, determine whether the species, is on the IUCN Red list as follows: 

-‐ goto hnp://www.iucnredlist.org/ 

-‐ in the primary search field enter the genus and species 

-‐ click on "run search" and record the status of the species, 

Note: The IUCN Red List uses nine categories for ranking species according to threat, and search results may include species that are not currently threatened. For the purposes of determining whether the feed complies with Indicator 5.1.3, consider 

only species idenVfied as "Vulnerable", "Endangered", or "CriVcally Endangered". Species that are listed in other IUCN categories (e.g. "Not evaluated","Data Deficient") and "Least Concern"), may be end uded from further analyses. 



A. Confirm that farm has records of ingredients from all commercially 

sourced feeds. 

a statement from feed manufacturer idenVfying the origin of all fish products used as feed ingredients (fishmeal on 24/07/2012) 

X 


VERSION 1.0 12

5.1.3 

Indicator: Fish products used in feed are not in the 

"threatened categories" [45] on the InternaVonal Union 

Control for ConservaVon Union Peru of Nature SAC (IUCN) Red List of Threatened 

Av. Species Dos de [46] Mayo 1205, San Isidro Lima -‐ Perú 

Tel.: + 5117190400 Fax.: +5114217573 



Email: Applicability: info@cuperu.com 

All 

B. Repeat search of IUCN database to verify that farm is in 

possesseion of accurate result 

X 

Verified in IUCN database to show farm is in possesseion of accurate result 

C. Confirm that farm has provides sufficient evidence of compliance N/A no farm-‐made feed 

Footnote 

Footnote 

5.1.4 

Footnote 

[45] Vulnerable, Endangered and CriVcally Endangered. 

[46] www.iucnredlist.org Use latest version. A period of one year is allowed for adaptaVon to any new amendment, therefore if a new animal is added to the IUCN list, producers have one year to meet the standards. 

Indicator: Fish products used in feed are not from species 

listed in the ConvenVon on InternaVonal Trade in 

Endangered Species (CITES) Appendices I, II or III [47] 



[47] hnp://www.cites.org/eng/app/appendices.html 

A. Confirm that farm has a statement from the feed manufacture 

verifying the origin of all fish products used as ingredients in all 

commercial feeds. 

B. Repeat search of CITES database to verify that farm is in possession 

of an accurate result 

C. Confirm that farm has provided sufficient evidence of compliance N/A no farm-‐made feed 

X 


Verified CITES database to show farm is in possesseion of accurate result 

Indicator: ISEAL-‐cerVfied fishmeal and fish oil products 

must be used in feed 

Note 1; "becoming available in a region" means being commercially available in the region (UN regions) by at least one independent producers and indicated in grey literature (the date of appearing in grey literature is to be used). 

Note 2; "products" does not apply to trimmings and aquacultured products as feed ingredients (see Indicator 5.1.3). 

5.1.5 

Requirement: Within 3 years of becoming available in a 

region 

Applicability: All, ater 3 years of ISEAL-‐cerVfied fishmeal 

and fish oil becoming available in the region of producVon. 

Not applicable if only trimming and aquaculture products 

are used 

A. Confirm that farm has statement from feed manufacturer 

indenVfying the origin of all fish products used as feed ingredients (to 

specify genus, species and region of harvest) 

B. Review evidence and confirm compliance. No in Vietnam unVl now 

X 


5.1.6 

Indicator: ISEAL cerVfied fishmeal and fish oil products 

must be used in feed. 

Requirement: Within 5 years from the publicaVon date of 

the PAD standards 

A. Confirm that farm possesses informaVon about feed ingredients. a statement from feed manufacturer idenVfying the origin of all fish products used as feed ingredients (fishmeal on 24/07/2012) 

X 

Applicability: All, ater August 2015. Not applicable if only 

trimming and aquaculture products are used 

B. Re view evidence and confirm compliance. No in Vietnam unVl now 

5.1.7 

Indicator: 

InstrucVon to Clients for Indicator 5.1.7 -‐FishSource Score of Products Used in Feed 

Interim OpVon A: Fishmeal or fish oil products used in To determine FishSource scores offish species used as feed ingredients, do the following:. 

feed have been sourced from fisheries with an average -‐ go to hnp://www.fishsource.org/ 

FishSource (FS) score 

-‐ select "Species" drop down tab to the let 

Interim OpVon B: Fish Products used in feed have been -‐select the species that is uVlized by the farm as a source of fish meal or oil 

sourced from faciliVes cerVfied as being in compliance -‐confirm that the search idenVfies the correct species, then select the top tab that reads "Scores" 

with SecVons 11 (Responsible Sourcing), 2 (Traceability), -‐Review scores to verify average FS scores > 6.0; no individual score < 6.0, and no "N/A" for "Stock assessment" category (category 4 in Fish Source scoring). 

and 3 (Responsible Manufacturing) of the InternaVonal If results show the species does not meet all three of the above criteria, then the feed does not meet requirements of the ASC Pangasius Standard. If the species has not been assessed (i.e. it is not listed on the FishSource website), then the feed does 

Fishmeal and Fish Oil OrganisaVon's IFFO) "Responsible not meet requirements of the Standard. Contact FishSource via Sustainable Fisheries Partnerships to idenVfy the species as a priority for assessment. 

Sourcing Program for CerVficaVon of Responsible PracVce 

forFishmeal and Fish Oil ProducVon 

Requirement: ≥6.0 with no individual score < 6.0 or an N/A 

in the stock assessment category. Yes 

Applicability: Up to when standard 5.1.5 or 5.1.6 can be 

met. Not applicable if only trimming and aquaculture 

products are used 

5.2. Criteria: Efficient management of feed use on the form 

Report Indicator: No.: Maximum ASC.2012.01.LTTT 

weighted [50] average of economic 

Feed-‐Conversion RaVo (eFCR) for the complete producVon 

cycle. 

A. Verify that farm possesses informaVon about feed ingredients. a statement from feed manufacturer idenVfying the origin of all fish products used as feed ingredients (fishmeal on 24/07/2012) 

B. Review FS scores and IFFO cerVficaVon for species used-‐in feed. 

Cross check against species listed in feed supplier declaraVons (see 

5.1.3a). 

X 

use by-‐product 

Compliance 

Finding 


A. Review records to confirm that farm has records for all seed receipts and/or statements from seed supplier indicaVng average weight of seed and numbers. 


VERSION 1.0 13



Tel.: + 5117190400 Fax.: +5114217573 



5.2.1 

Indicator: Maximum weighted [50] average of economic 

B. Confirm that farm has complete and acccurate record for feed. 

records showing the type of feed "diary of pond 5, and 07; Feed inventory of the farm, FCR calucaVon of pond 5 is 1.65 and pond 07 is 

1.678; eFCR of two ponds is 1.65 

Feed-‐Conversion RaVo (eFCR) for the complete producVon 

cycle. 

C. Verify the farm keeps records showing weight of fish harvested. records (e.g. receipts) showing weight of fish harvested 

X 

Requirement: 1.68 


D. Review calculaVon for accuracy and completeness calculaVon for accuracy and completeness 

E. Review calculaVons far accuracy. Confirm compliance. eFCR of two ponds is 1.65 

Footnote [50] 

WeighVng to be conducted by the amount offish produced in different farming units (e.g. ponds, pens and cages). 

5.2.2 

Indicator: Maximum Fish Feed Equivalence RaVo (FFER) 

Requirement: 0.5 

A. Verify that farm possesses informaVon about percent inclusion of 

fish meal and fish oil for all feed types. 

X 

By-‐products from fish processing of species. No need to calculate FFER 


B. Review calculaVon verify accuracy. Confirm compliance. By-‐products from fish processing of species. No need to calculate FFER 

PRINCIPLE 6. Minimize ecosystem and human health impacts, while maximizing fish health, welfare and ensuring food safety 

6.1 Criteria: MortaliVes 

Compliance 

Auditor EvaluaVon (Required CB AcVons). Yes No N/A 

Finding 

6.1.1 

InstrucVons to Clients for Indicator 6.1.1 -‐ CalculaVng Average Real Percentage Mortality 

Calculate the Real Percentage Mortality using the stocking & harvesVng data from every enclosure used by the farm in the last.12 months. Do one calculaVon per enclosure as follows: 

1) Determine the number of fish stocked. This number may be obtained from 

-‐ direct counts of fingerlings, or 

-‐ computed by taking the total weight of stocked fish and dividing by the average weight of the fish stocked. 

2) Determine the number of fish harvested. This number may be obtained from 

-‐ direct counts of harvested fish, or 

Indicator: Maximum average real percentage mortality, -‐ computed by taking the total weight of harvested fish and dividing by average weight of the fish harvested. 

from stocking to harvest, during the grow-‐out period (See 3) Using the formula in Annex D, compute the Real Percentage Mortality for the enclosure. 

Real Percent Mortality formula in Annex D). 

4) Repeat steps 1-‐3 for every other enclosure used by the farm. 

5) Compute the average RPM for all enclosures over the last 12 months (see Note.1). For first audits, records must cover at least 1 full crop per site (see preamble). 


Note 1: Only use counts of live fish in these calculaVons. Do not include counts ofrfead fish when determining number of harvested fish or number of stocked fish. 

Note 2: Only use informaVon from complete crops. 


A. Review receipts. Confirm that farm records are are sufficient to 

dertemine of seed stocked into each enclosure. 

Receipts and/or statements from seed supplier indicaVng average weight of seed and numbers 

B. Review records. Confirm that farm records are suffiicient to 

determine number of fish harvested from each enclosure. 

X 

harvest records for pond 5 and 07, diary of pond 5 and 7; 

C. Review farm's calculaVon to verify accuracy. Confirm that average 

real percentage mortality is ≤ 20% Pond 5 is 11.31%, Pond 07 is 19.727; Average is 15.52% 

6.2 Criteria: Veterinary medicines and chemicals 

Compliance 

Finding 


A. Review list of medicines, chemicals and biological products. suppliers and contact informaVon in a list of all veterinary medicines, chemicals and biological products 

6.2.1 

Indicator: Use only Veterinary medicines, chemicals and 

biological products approved for aquaculture by relevant 

naVonal authoriVes and not banned for food fish use in 

the potenVal imporVng country. 


B. Review records to confirm farm usage of products. During on-‐site 

inspecVon, verify there is no evidence for unrecorded use of any 

veterinay medicines, chemicals or biological products (i.e. no empty 

containers or non-‐inventoried warehouse supplies). 

Confirm that listed products used are approved for aquaculture. 

C. Review list. sales receipts between the farm and Hung Vuong company 

X 

D. Confirm that listed products used are approved for aquaculture. The ist of Export market no. 1471/QD-‐BNN-‐QLCL ngay 20/06/2012 and 2864/QD-‐BNN-‐QLCL ngay 14/11/2011 cua BNNPTNT 




VERSION 1.0 14

6.2.1 


Av. Indicator: Dos de Use Mayo only 1205, Veterinary San Isidro medicines, Lima chemicals -‐ Perú and 

Tel.: biological + 5117190400 products approved Fax.: +5114217573 

for aquaculture by relevant 


naVonal authoriVes and not banned for food fish use in 

the potenVal imporVng country. 



X 

6.2.2 


E. Review list and compare to farm's sales receipts The ist of Export market no. 1471/QD-‐BNN-‐QLCL ngay 20/06/2012 and 2864/QD-‐BNN-‐QLCL ngay 14/11/2011 cua BNNPTNT 

F. Review list. 2864/QD-‐BNN-‐QLCL on 24/11/2011 -‐ The list of parameter of chemical used in Aquculture products" by MARD 

G. Review list. list of Switzeland and Europe 

H.Review eveidence. Cross check the farm export's markets (i.e. the 

imporVng countries) against the list of products that are banned (see 

2864/QD-‐BNN-‐QLCL on 24/11/2011 -‐ The list of parameter of chemical used in Aquculture products" by MARD 

6.2.1e) in those countries. 

A. Review records of prescripVons or writen advice for veterinary 

Indicator: Use only veterinary medicines and chemicals for medicines and chemicals. 

records of prescripVons of pond 05 on 08/05/2012 used 12 litres BKC80 by Mr. Huynh Minh Huy 

therapeuVc use prescribed by an aquaVc animal health 

specialist [55] based on a verified condiVon; follow the 

label specificaVons concerning the use of the substance 

for the given purpose [56] 

B. Review wrinen descripVons. Confirm use approved by AAH 

Specialist. 

X 



C. Review jusVficaVon from AAH Specialist as applicable. 

records of prescripVons of pond 05 on 08/05/2012 used 12 litres BKC80 by Mr. Huynh Minh Huy who observed the applicaVon of the 

worker 


D. Review evidence. Confirm that AAH Specialist is suitably qualified. records of prescripVons by Huynh Minh Huy -‐ AAH Specialist in 60 hours on 23-‐25/04/2012 by the sustainable fishery group of Vietnam 

Footnote 

Footnote 

[55] AquaVc animal health specialist defined following government's regulaVons, if such regulaVons exist in the producing country. If the government does not regulate on this, the following people can be considered as specialists: 

• Veterinarians with at least three months of academic training on fish health management (for a total of at least 60 hours). This training may be included with the veterinary degree. 

• Aquaculturists (with university or vocaVonal degree) who have completed at least three months of training on fish pathology and treatment (for a total of at least 60 hours). This training may be included with the university or vocaVonal degree. 

[56] Label specificaVons may be overridden by the recommendaVons of the aquat c animal health specialist when jusVficaVon for the decision is documented in the farm book or approved in the animal health plan. 

Indicator: Follow the aquaVc animal health specialist 

recommendaVons on: 

1-‐ how to apply the veterinary medicine and chemicals 

prescribed 

2 -‐ how to handle & store the veterinary medicines and 

chemicals prescribed 

3 -‐ who needs to be informed about the disease and how 

4 -‐ how to limit the spread of the disease to neighboring 

wild or farmed populaVons 

A. Review health events to verify that the farm has wrinen 

recommendaVons from the AAH Specialist addressing each of these 

four points. 

6.2.3 X 

6.2.4 

B. Review farm's declaraVon to confirm following recommendaVons of 

the AAH Specialist. 

Chemical and medicine instrucVon on 01/09/2011 and animal health plan on 01/09/2012 

declaraVon that the farm follows the recommendaVons of the aquaVc animal health specialist on 01/09/2011 by Mr. Huynh Minh Huy 


C. During on-‐site visits, inspect to verify proper storage according to 

the AAH Specialist's recommendaVons. 

During on-‐site visits, proper storage according to the AAH Specialist's recommendaVons. 


D. During on-‐site visits, make direct observaVons to confirm there is 

no evidence of any of the recommendaVons not having been 

the chemical storage is follow the recommendaVon of AAH Specialist 

followed. 

A. Review records of withdrawals. 

Indicator: Allowance to sell fish or fish products before the 


compleVon of the withdrawal period specified on 

veterinary medicine or chemical labels or 750 °D if no 

withdrawal is specified on label. 

B. Review labels and compleVon dates of withdrawal periods. labels indicaVng duraVon of withdrawal periods of BKC80. The witdrawal day followed the labels 

X 

Standard: None 


C. Evaluate evidence-‐to verify that no fish were hasrvested before 

compleVon of withdrawal period. 

BKC 80 is the water environment treatment, so no have withdraw period 

6.2.5 

Footnote 

Indicator: Allowance for the use of anVbioVcs criVcal for 

human medicine, as categorized by the World Health 

OrganizaVon [57]. 

Requirement: None 


A. Review list of anVbioVcs used. a list of all veterinary medicines, chemicals and biological products to 01/05/2012. 

B. Review declaraVon. Cross check list of anVbioVcs used by the farm 

(see 6.2.5a) against the WHO list of anVbioVcs criVcal to human 

medicine. 

C. During on-‐site visits, verify there is no evidence of use of anVbioVcs 

criVcal for human medicine through direct observaVon and 

inspecVon. 

//www.who.int/enVty/foodborne_disease/resistance/anVmicrobiaIs_ human.pdf 

A. Verify the AAH Specialist declareres there is no known 

unauthorized prophylacVc use of veterinary medicines. 

Indicator: Allowance for prophylacVc use of veterinary 

medicines (excluding vaccines) prior to any evidence of a 

Report specific No.: disease ASC.2012.01.LTTT 

problem. 

6.2.6 X 

Standard: None 

X 

declaraVon of the farm . Cross check list of anVbioVcs used by the farm against the WHO list of anVbioVcs criVcal to human medicine. 

no evidence of use of anVbioVcs criVcal for human medicine through direct observaVon and inspecVon. 

[57] Refer to the second WHO Expert meeVng on CriVcally Important AnVmicrobialsfor Human Medicine: CategorizaVon for the Development of Risk Management Strategies to Contain AnVmicrobiaI Resistance due to Non-‐human AnVmicrobial use, 25-‐31 May 2007 hnp: 

a declaraVon from the aquaVc animal health specialist indicaVngthat s/he is not aware of any unauthorized prophylacVc use of veterinary 

medicines (prior to evidence of a specific disease problem) by the farm in the last 12 months by Mr. Tran Minh Huy 


VERSION 1.0 15



Tel.: + 5117190400 Fax.: +5114217573 



Indicator: Allowance for prophylacVc use of veterinary 

medicines (excluding vaccines) prior to any evidence of a 

specific disease problem. 

B. Verify farm maintains records of all purchases of veterinary 

medicines. 

receipts for all purchases of veterinary medicines 

6.2.6 

6.2.7 

Footnote 

Standard: None 


Indicator: Allowance for use of veterinary, medicine 

(excluding vaccines) to serve as growth promoters [58]. 



C. During on-‐site visits, inspect the inventory of veterinary medicines 

to verify that all supplies are accounted for. 

D. Reconcile the quanVVes purchased against stocks held on-‐site and 

records for usage (e.g. 6.2.5a) based on reviewing a sample of 

medicines. 

A. Verify the AAH Specialist supports the declaraVon that there is no 

use of veterinaty medicine as growth promoters. 

B. Reconcile the quanVVes of veterinary medicines purchased against 

stocks held on-‐site and records for usage (e.g. 6.2.5a) based on 

reviewing a sample of medicines. 

[58] Growth promoters: Veterinary medicines, such as anVbioVcs, to be given to healthy fish for the sole purpose of making them grow faster (i.e., not to treat a specific disease). 

6.3 Criteria: Pangasius health plan 

6.3.1 

Indicator: Presence of a wrinen pangasius health plan 

reviewed yearly; updated and approved by a specified 

aquaVc animal health specialist [59] (See Annex E for 

health Plan). 

on-‐site visits, inspect the inventory of veterinary medicines 

Reconcile the quanVVes purchased against stocks held on-‐site and records for usage based on reviewing a sample of medicines.: receipt, 

inventry of chemical, the record of using chemical, prescriopVon, the output record (daily), input recor of feed and chemical 

a declaraVon from the aquaVc animal health specialist Ms. Tran Minh Huy, no use of veterinaty medicine as growth promoters. 

Reconcile the quanVVes of veterinary medicines purchased is balanced 

Compliance 

Finding 


A. Review health plan for compliance with Annex E the farm's wrinen pangasius health plan containing all required elements (Annex E)ngay 01/05/2012 

B. Confirm that the farm's aquaVc animal health specialist has 

reviewed and approved the pangasius health plan. 

C. Confirm that farm has health plan reviewed, updated, and 


approved every 12 months. For first audit, the response is "not 

applicable". 


D. During on-‐site visit, verify that the plan is implemented and 

effecVve. 

Footnote [59] GlobaIG.A.P. AB 5.2.3 was taken as reference and amended to fit with the requirements of the PAD stakeholders. 

6.4 Criteria: Holding-‐unit specific record-‐keeping 

Compliance 


X 

X 

X 

the farm's wrinen pangasius health plan containing all required elements (Annex E)ngay 01/05/2012 

N/A 

the plan is implemented and effecVve. 

Finding 

6.4.1 

Indicator: Availability of recocds of the name, reasons for 

A.Verify the farm maintains purchase records. 

use, dates, amounts and withdrawal Vmes of all veterinary 

medicines and chemicals used in hatchery and grow-‐out 

B. Verify the farm maintains records showing withdrawal Vmes at the 

faciliVes 

grow-‐out facility. 

C. Verify that farm maintains relevant declaraVons from the AAHS at 


the grow-‐out facility. 

X 

records that idenVfy all the veterinary medicines 

the farm maintains records showing withdrawal Vmes at the grow-‐out facility. 

declaraVons by the farm's aquaVc animal health specialist staVng the date, diagnosis, treatment and withdrawal Vmes (if different from 

the label) 


D. Verify the farm possesses declaraVons from all seed suppliers. declaraVon from seed suppliers idenVfying any chemicals or veterinary medicines that were used in producVon of seed 

6.4.2 

Indicator: Availability of records of the source, size and 

quality of the seed stocked. Records of seed quality should 

include: 

1-‐ DescripVon of gross signs and any abnormaliVes 

2-‐ List of veterinary medicines, chemicals and biological 

products used in earlier life stages 

3-‐ Results of pathogen tesVng as legislated 

A. Verify the farm maintains records for seed quality as required X records of the source, size and quality of the seed stocked in the fingerling receipt 





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6.4.3 

Indicator: Daily records showing regular monitoring of fish 

for signs of stress [60] or disease are kept 


A. Review daily records to confirm that all reporVng etements are 

included. Verify compliance. 

X daily records (e.g. diary) of monitoring for stress or disease of pond 5 and 07 

Footnote 

6.4.4 


[60] Signs of stress or disease include abnormal behaviour (e.g., swimming), reduced appeVte and external abnormaliVes (e.g., lesions, spots and fin erosion). 

InstrucVons to Clients for Indicator 6.4.4-‐ Establishing a Thresh old for the ReporVng of Mortality Events 

Indicator 6.4.4 requires that farms report all significant mortality events to the aquaVc animal health specialist. The ASC Pangasius Standard does not prescribe a specific threshold value for all farms to apply across all circumstances. Instead, the 

Pangasius Standard requires farms to confer with their aquaVc animal health specialist to develop a threshold for reporVng mortality events that is appropriate for idenVfying significant or "above average" mortality events based on farm data. In 

establishing a threshold, the farm must consider the following: 

-‐thresholds must be generated using farm data for mortality and this shall include farm informaVon from at least 1 randomly selected pond; 

-‐thresholds must be stage-‐specificto account for differing mortality rates during the 1st week, the 1st month, and any month ater that; 

Indicator: All mortality events with daily mortality above -‐the farm's aquaVc health specialist must set and approve the threshold value, not the farmer; and 

the average daily mortality in the farm are reported to the -‐the farm must describe how the threshold was-‐established in the farm's Pangasius Health Plan. 

aquaVc anirnal health specialist 

A. Review daily mortality records Record of pond 5 and pon 7 


B. Verify the farm's AAH Specialist has reviewed daily mortality 


records before specifying a threshold for the reporVng of mortality 

events. 

Diary of mortality threshold of Mr. Tran Minh Huy 

C. Review the proposed mortality threshold in the farm's Pangasius 

health Plant to confirm compliance with requirements. 

X 

mortality threshold in the farm's Pangasius health Plant to confirm compliance with requirements 

D. Review reporVng records and cross-‐check against daily mortality 

records to confirm compliance with requirements. 

Diary of mortality threshold of Mr. Tran Minh Huy. There is no dead fish over thresold unVl the Vme of audit 

6.5 Criteria: Fish Welfare 

Compliance 


Finding 

InstrucVons to Clients for Indicator 6.5.1-‐ CalculaVng Average Growth Rate 

Annex D of the ASC Pangasius Standard provides formulas for calculaVng yield and average growth rate (AGR). Farms must perform these calculaVons using havest and stocking data from individual ponds (i.e. it is calculated on a crop-‐by-‐crop basis). It 

should be done as follows: 

Yield (from Pond1) = total weight of fish harvested (from Pond1) -‐ total weight of fish stocked (Pond1) 

AGRP1 = YieldP1 / duraVon of producVon cycle (Pond1) 

Where weights are given in grams (g), duraVon is given in number of days (d), AGR is computed in units of grams per day (g/d), and enclosure are idenVfied by subscripts P1, P2, P3 etc. 

Repeat the AGR calculaVons for the second pond, third pond..: etc. unVl an AGR has been determined for each pond that was harvested. For first audits, records must cover at least 1 full crop per site (see preamble). Next calculate the farm-‐wide 

weighted average AGR using the following formula: 

6.5.1 

Indicator: Minimum average growth rate 

Requirement: 3.85 g/day 


Weighted Average AGR = (AGRP1 x YieldP1) + (AGRP2 x YieldP2)... + (AGRPn x YieldPn) ] / (YieldP1 +YieldP2 ...+ YieldPn) 

Note of clarificaVon from the pangasiusAquaculture Dialogue Steering Comminee: 

Indicator 6.5.1 was developed under the assumpVon that: 

-‐ fish are stocked at 80 grams, 

-‐ harvested at 1,000 grams and 

-‐ average producVon cycle is 8 months. 

Given that specific growth rates of Pangasius are variable with body size (i.e. size and age dependent), formulas will yield a: reduced level of. absolute growth if fish are harvested at a substanVally smaller size than 1 kg. (e.g. farms that harvest fish at 6 

00-‐70 Og average body weight). 

Auditors are instructed as to evaluate Indicator 6.5.1 as follows. Farms must provide auditors with sufficient informaVon to verify average fish size and weight at stocking, average fish size and weight at harvest, and average duraVon of producVon 

cycle. Auditors shall review the farm's calculaVons of observed growth rate and monitor whether the farm is in compliance. 

A. Verify farm maintains records of the weight of fish stocked in each 

enclosure. 

records (e.g. receipts from seed suppliers) 


X 


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6.5.2 

Indicator: Maximum fish density at anyVme 

Requirement: 38 kg/m2 for ponds and pen 

Applicability: Ponds and Pens 

B. Verify farm maintains records of the weight of fish harvested from 

each enclosure. 

X 

records of the weight of fish harvested of pond 

C. Review calculaVon to confirm accuracy and completeness. Review calculaVon 

D. Verify that the farm-‐wide weighted average AGR complies with the 

requirements. Pond 5: 3.853g/day; pond 07: 3.869g/day; aveage is 3.861g 

A. Review farm's calculaVon of surface area for each enclosure and 

confirm by inspecVon during on site audit. 

Pond 5: 3.853g/day; pond 07: 3.869g/day 

B. Confirm the farm keeps accurate record of total weight of fish 

harvested from each pond and/or pen. 

Pond 5: 3.853g/day; pond 07: 3.869g/day 

C. Review calculaVons for fish density at harvest to verify compliance X 

monthly esVmates of fish density is in place 

D. Review monthly esVmates of fish density to verify compliance. 

monthly esVmates of fish density : "pond 5: during farimg from 1.3-‐30.5kg/m2 

Pond 11: during farimg from 1.1-‐ 20.7kg/m2" 

Indicator: Maximum fish density at anyVme 

A. Review farm's calculaVon of volume for each cage and confirm by 

inspecVon during on site audit. 

B. Confirm the farm keeps acurate record of total weight of fish 

harvested from each cage. 

N/A 

N/A 

6.5.3 

Requirement: 80 kg/m3 for cages 

Applicability: Cages 

C. Review calculaVons for fish density at harvest to verify compliance X N/A 

D. Review monthly esVmates of fish defisity to verify compliance. N/A 

6.6 Criteria: Predator control 

6.6.1 

Footnote 

Indicator: Use of lethal predator [61] control 

Requirement: No 


Compliance 


A. Review predator control procedure and list of predator control 

devices. 

B. Inspect site to verify no use of lethal predator controls. no use of lethal predator controls. 

[61] Predators are defined as animals which have the potenVal to kill healthy pangasius. These standards include all types of predators during 

X 

Finding 

a procedure describing how the farm controls predators, and maintain a list of all predator control devices and their locaVons by Mr. 

Nguyen Dinh Tung 

Indicator: Mortality of IUCN red listed species. 

6.6.2 Requirement: 0 (zero) 


7.1 Criteria: Labor Law 

A. Repeat analysis to verify that client possesses an accurate result. please more at point 2.2.4 

B. Verify that farm procedures are approriate and implemented (as 

please more at point 2.2.4 

applicable) 

X 

C. During local community interviews, verify there is no evidence of 

Interviewed Ms. Le Thi Co, Mr. Tran Van Doi, Ms. Pham Thi Be Ba, Mr. Mai Van Mi, Mr. Ngo Minh Loi,, no evidence of the farm causing 

the farm causing mortality of IUCN red listed species [also see 

mortality of IUCN red listed specie 

Indicator 2.2.4(E)] 

Compliance 

Finding 

Yes No N/A 

7.1.1 

Indicator: Compliance with labor laws in the country 

where pangasius is produced 



7.2 Criteria: Child labor [62] and young workers [63] 

Foodnote [62] Child: Any person less than 15 years of age, unless local minimum age law sVpulates a higher age for work or mandatory schooling, 

Foodnote [63] Young worker: Any worker between the age of child as defined and under the age of 18. 

7.2.1 

Indicator: Minimum age of workers 



X 

Compliance 

Yes No N/A 

X 

Circular 70/2011/ND-‐CP for minimum wage dated 22/08/2011. This area belong to Area 02 -‐ 1780.000 VND. 

All informaVon related to benefit, wage are available in The noVce board. Eg: working Vme regulaVon; annual leave … 

Finding 

the list of employees dated 13.08.2012 maintained. 

Checked ID of Vo Tran Chau Kha-‐ born on 15.03.1993 

No children and young workers found 

Commitment lener No 82/TCK-‐TM,HV dated 01.09.2011 for not using young workers under 18 years old. 



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7.2.2 

Indicator: For workers under 18 years old 

1 -‐ Work does not jeopardize schooling 

2 -‐ Work, when added to the hours of schooling, does nof 

exceed 10 hour/day 

3 -‐ Work is restricted to light work [64] 

4 -‐ Work is restricted to non-‐hazardous work [65] 


X 



N/A 

Applicability: Farms with employees younger than 18 years 

old. 

N/A 

Foodnote [64] Light Work: (ILO convenVon 138, arVcle 7.1) Light work is work that is 1) not likely to be harmful to a child's health or development and 2) not likely to prejudice their anendance at school, parVcipaVon in vocaVonal orientaVon or training programs, or diminish their capacity to benefit from instrucVon received. 

Foodnote [65] Hazardous work: Work which, by its nature or circumstances in which it is carried out, is likely to harm the health, safety or morals of workers. 

7.3 Criteria: Forced and compulsory labor [66] 

Compliance 

Yes No N/A 

Finding 

Even the labour contract already wrinen as per law including benefit, working Vme, etc..However, a salary coloumn they say that 

ACCORDING TO THE REGISTERED SALARY SCALE. The advise is they should declare the clear digit of salary. 

7.3.1 

Indicator: Workers are free to terminate their employment 

and receive full payment unVl the last day of their 

employment, based on reasonable [67] noVce given to 

their employer [68] 


X 

Labour contract of Le Van Tai signed from 01.09.2011 including all regulaVon as Vietnam labour law 

No evidence of keeping the original documentaVon 


No evidence of keeping the part of salary 

Interview Mr. Tran Van Doi and found that workers can be free from leaving the job. 

Foodnote [67] As stated in the contract. 

Foodnote [68] Employers are those workers who, working on their own account or with one or a few partners, hold the type of job defined as a self-‐employed job, and in this capacity, on a conVnuous basis (including the reference period) have engaged one or more persons to work for them in their business as employees. 

7.4 Criteria: Health and safety 

Compliance 

Finding 

Yes No N/A 

List of hazard idenVficaVon dated 01.09.2011. However, some of points have been idenVfied fully. Eg: swimming 

7.4.1 

Indicator: The employer provides a non-‐hazardous 

working and living environment. 


X 

RegulaVon on health and safety dated 01.09.2011. 

RegulaVon on health and safety dated 01.09.2011. CerrVficate of swimming -‐ Dinh Van Tung dated 17.08.2012 by Tien Giang Sport Center 

Poratbal water is from bonle of water 


Waste Water Treatment system is available 

Dormitory is provided with clean and safe thorugh being observed. 

Indicator: Workers are aware of the health and safety 

hazards [69] at the work place and how to deal with them. 

7.4.2 


X 

List of employees anended the course of health and safety dated 01.11.2012. The lifebuoys are available in the ponds for safety 


Foodnote [69] Hazard: The inherent potenVal to cause injury or dam age to people's health -‐ for instance unequipped to handle heavy machinery safely/unprotected exposure to harmful chemicals. 

Indicator: The employer records all accidents, even if 

minor [70], and take prevenVve and correcVve acVon for 

each. 

7.4.3 



Applicability: All, Farm-‐Wide 

The accident book has been checked. However, in the past six months nothing happen. 

X 


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7.4.3 

Indicator: The employer records all accidents, even if 

minor [70], and take prevenVve and correcVve acVon for 

each. 


X 

N/A 


Foodnote [70] Accidents that could not be handled in-‐house, the person was taken to the closest clinic 

Indicator: Employer ensures that all permanent workers 

have health insurance [71] 

7.4.4 



X 

List of employees is available 

List of employees for insurance of July 2012 -‐ 18 people dated 14.08.2012 

Foodnote [71] Health insurance is required for workers who are employed for >3 months/year. If not covered under naVonal law/employers must provide insurance to cover 100% of any job-‐related accident/injury for permanent workers. The cost associated with permanent disabiliVes generated from a job related accident is, 

however, not included. 

7.5 Criteria: Freedom of associaVon and collecVve bargaining [72] 

Compliance 

Finding 

Yes No N/A 

Foodnote [72] CollecVve bargaining: Voluntary negoVaVon between employers and organizaVons of workers in order to establish the terms and 

7.5.1 

Indicator: Workers [73] have the right to form or join 

organizaVons to defend their rights (including their right to 

collecVve bargaining), without interference from the 

employer and without suffering negaVve consequences as 

a result of exercising this right [74]. 

X 

Labour contract of Le Thi Vien signed from 01.09.2011 including all regulaVon as Vietnam labour law 

labour collecVve bargain dated 20.09.2011 and Trade Union Leader is Ms. Nguyen Thanh Tho 

Trade Union meeVng minutes dated 01.08.2012 


Interview and found that she can access the workplace at reasonable Vme 


Trade Union meeVng minutes dated 01.08.2012 

Foodnote [73] Worker: A person who enters an agreement of any duraVon with an enterprise to work for the enterprise in return for remuneraVon in cash orin kind. Immediate family members of the farm owner (i.e., children, spouse, parents, brothers and sisters) and exchange labor may not be considered as workers, unless 

they express their desire to be workers. 

Foodnote [74] Workers must not be prohibited from accessing such organizaVons when they exist. If they do not exist or are illegal, companies must make it clear that they are willing to engage in a collecVve dialogue through a representaVve structure freely elected by the workers. 

7.6 Criteria: DiscriminaVon 

Compliance 

Yes No N/A 

Finding 

Indicator: Workers do not suffer any discriminaVon [75] 

from the employer or other workers 

The RegulaVon of anV-‐discriminaVon No 84/QD-‐TM,HV dated 01.09.2011 . 

7.6.1 


X 

Record of bonus is available. However, the more regulaVon on increasing salary, award is considered 


Policy of Pregnant women dated 01.09.2011 

Foodnote [75] Including but not limited to: race, caste, origin, color, gender, age, disability, religion, sexual orientaVon, resident or migrant, union and poliVcal affiliaVons. 

7.7 Criteria: Fair and progressive pracVces toward workers including disciplinary pracVces) 

7.7.1 

Indicator: Employers treat all workers with dignity and 

respect 



7.8 Crifeno: Working hours 

Compliance 

Yes No N/A 

X 

Compliance 

Yes No N/A 

Interview and found that all employees have been treated fairly 

Check the record of salary paid and found no deducVon. 

Finding 

Finding 

Indicator: Maximum number of regular working hours 

the Vmessheet is available 

7.8.1 

Requirement: 8h/day or48h/week (although these do not 

have to be consecuVve hours) 

X 


The working Vme is from 7:00 to 11:00 and 13:00 to 17:00 



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Indicator: Workers have the right to leave the farm ater 

compleVng the standard word-‐day 

Interview Ms. Le Thi Co and found that she can leave job when finishing work. 

7.8.2 



X 

Labour contract of Le Van Tai signed from 01.09.2011 including all regulaVon as Vietnam labour law 

Indicator: Minimum Vme off 

Working Vme regulaVon No 086/QD-‐TM,HV dated 01.09.2011 

7.8.3 

Requirement: Two nights/week off if residing on the farm 

and a total four days/month off for all workers 

X 

Working Vme regulaVon No 086/QD-‐TM,HV dated 01.09.2011 


Timesheets are available 

7.8.4 

Indicator: OverVme hours 

1-‐Are voluntary 

2-‐ do not exceed a maximum of 12 hours per week 

3-‐ occur on an excepVonal (not regular) basis 

4-‐ are paid at a premium rate [76], (i.e. an addiVonal 20% 

is paid to the normal salary) 

X 

some records checked and found that it is OK 

eg: case of Danh Be -‐ salary 2.000.000 VND/month 


No overVme is available as only few pond of fish are being fostered. The capacity is sVl weak. 


N/A 

Foodnote [76] Premium rate: A rate of pay higher than the regular work week rate. Must comply with naVonal laws/ regulaVons and/ or industry standards. Must be 120% of normal rate or higher. 

7.9 Criteria: Fair and decent wages 

Compliance 

Yes No N/A 

Finding 

7.9.1 

Indicator: The employer pays at least minimum wages as 

defined by law, or ensures that wages cover basic needs 

[77], plus some discreVonary income [78], whichever is 

higher 

x 

Circular 70/2011/ND-‐CP for minimum wage dated 22/08/2011. This area belong to Area 02 -‐ 1780.000 VND. 

No basic need calculaVon in consulnaVon with workers and their representaVve has been established. 


Labour contract of Danh Be signed from 01.09.2011 -‐ salary 1.780.000 VND 

Report 

Applicability: 

No.: ASC.2012.01.LTTT 

All 

X 

Compliance 

Yes No N/A 

X 

Salary sheets with the signature of employees are available 

Foodnote [77] Basic needs are determined by calculaVng the cost of the basic shopping basket needed for an adequate diet, the percentage of an average household's budget that goes to food and other necessary expenses, and the average size of a household in a given country. Recognized representaVve shopping basket 

surveys include those undertaken by naVonal authoriVes and mulV-‐lateral developmental agencies. A basic or living wage should be capable of sustaining 50% of an average-‐sized family with food, clean water, clothing, housing, transportaVon, schooling, obligatory tax payments, health care and an addiVonal 10% 

discreVonary income (SA8000). An employer shall minimally pay a full-‐Vme worker the basic needs wage (without financial deducVons) or naVonal legal minimum wage; whichever is higher. The basic needs wage/living wage refers to "take home payment". Any obligatory expenses at the side of the employee/worker (e.g., 

uniform, tools and lunches) will not bring "take home" pay below a basic needs standard. 

Foodnote [78] For guidance and methods for basic needs wage calculaVon, see SA8000 Guidance Document. 

7.9.2 

7.9.3 

7.10 Criteria: Labor contracts 

7.10.1 


Indicator: Workers have the right to know the mechanism 

for se‹ng the wages and benefits 



Indicator: Wages shall be paid in cash or in a manner most 

convenient to workers 



Indicator: Workers have copies of, and can understand, 

their labor contract [79] 


X 

the salary method has been established. However, the calculaVon method is sVll not in details. 

the salary method is available in NoVceboard 

Paying in cash and in salary sheet. 

Verified the salary sheet of July 2012 dated 31.07.2012 


VERSION 1.0 21 

Finding 

ArVcle 28 of Vietnam Labour law: The labour contract should be signed into 02 copies. Each side keeps one. It was found that the case of 

Le Phuoc Danh has not got the copy of labour contract. The auditor checked 18 contracts of 18 workers

7.10.1 



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Indicator: Workers have copies of, and can understand, 


their labor contract [79] 

Interview Ms. Le Thi Co and found that she understood the requirements 

Foodnote [79] Where verbal contracts are pracVced (e.g., remote rural locaVons, cases of illiteracy and small family farms), extra care needs to be taken that the contents of the agreement are fully agreed to and well-‐understood. Cross interviews must take place to establish that the employer and the employee understand in 

the same way the terms of the verbal agreement. 

7.10.2 



Indicator: Maximum length of probaVon period stated in 

the contract for workers, other than farm managers and 

workers with an university degree. 

Requirement: 1 month 


X 

X 

ProbaVon labour contract of Huynh Van Hai That signed in 01.09.2011 and ater one month signed 01.10.2011 

It is regulated in working regulaVon and available in the noVceboard 

7.10.3 

Indicator: Maximum length of probaVon period stated in 

the contract for farm managers and workers with an 

university degree. 

Requirement: 2 months 


7.11 Criteria: Management system 

7.11.1 

Indicator: The employer ensures all workers have 

appropriate channels to communicate anonymously with 

employers on maners relaVng to labor rights and working 

condiVons. 



Indicator: Percentage of issues raised by workers which 

are registered, tracked and responded to by the employer 

X 

Compliance 

Yes No N/A 

X 

ProbaVon labour contract of Duong Thanh Tung signed in 01.07.2011 and ater two months signed 01.09.2011 

It is regulated in working regulaVon and available in the noVceboard 

Finding 

Complaint box is available in the front of the gate. 

Complaint book is also there. Hoever, No complaint cases as workers feel quite OK 

Diary of complaint is available. However, no complaint received from employees. 

7.11.2 


X 


Complaint box is available in the front of the gate. 

Indicator: Percentage of complaints that are resolved [80] 

within one month ater being received [81] 

There is no complaint unVl to now 

7.11.3 


X 




Foodnote [80] ResoluVon of a conflict is defined as when both parVes agree to remove it from the list of conflicts. 

Foodnote [81] Complaints include the ones corn ing from other resource users, employees and buyers (e.g., middlemen or processors). 

Indicator: A plan for addressing the yet to be resolved 

conflicts is developed and complied with 

policy for conflict resolving dated 15.07.2012 

7.11.4 


X 


Not any conflict is found yet 

Indicator: Timeframe for the contracVng [82] of suppliers 

and service providers that ensure suitable health and 

safety condiVons for their workers [83] 

Diary of complaint is available. However, no complaint received from employees. 

7.11.5 

Requirement: Within 1 year from achieving 

Report cerVficaVon No.: ASC.2012.01.LTTT 


X 


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Indicator: Timeframe for the contracVng [82] of suppliers 

and service providers that ensure suitable health and 

safety condiVons for their workers [83] 

Requirement: Within 1 year from achieving 

cerVficaVon 


X 

N/A 

Foodnote [82] Including either wrinen or verbal contracts. 

Foodnote [83] As defined in these Requirements. 

7.12 Criteria: Record-‐keeping 

Indicator: Records of the hours worked by every worker 

employed in the farm are available 

Compliance 

Yes No N/A 

Finding 

Even the Vmesheet is available, but no hour worked count on the Vmesheet. 

7.12.1 



X 

The list of employees dated 01.08.2012 maintained. 

7.13 Criteria: ParVcipatory social impact assessment for local communiVes. 

Indicator: A parVcipatory Social Impact Assessment (p-‐ 

SIA)[84] is conducted (See Annex F for more informaVon) 

Compliance 

Yes No N/A 

Finding 

P-‐SIA report dated 15.06.2012 by Ha Noi Center of Resources and rural development 

7.13.1 



X 

The content of P-‐SIA includes the feasibility of Team of Professional Experts 

Foodnote [84] p-‐SIA: An assessment of posiVve and negaVve consequences and risks of a planned or ongoing project (e.g., a farm or farm 

7.13.2 

7.14.1 

Indicator: A verifiable conflict resoluVon policy [86], [87], 

for local communiVes is developed and applied 



Foodnote [86] The policy shall state how conflicts and corn plaints will be tracked transparently and explain how to respond to all received complaints. 

X 

Compliance 

Yes No N/A 

X 

X 

List of receiving P-‐SIA dated 15.08.2012 to Phu Tuc People's comminee 

List of receiving P-‐SIA dated 15.08.2012 -‐Total 17/25 people -‐ over 50% 

a conflict resoluVon procedure No ASC/QT7 dated 01.09.2011 

Finding 

List of receiving a conflict resoluVon procedure No ASC/QT7 dated 05.08.2012 

Foodnote [87] The process of resoluVon is documented and meeVngs are summarized. Summaries include an agenda (the list of concerns), resoluVons or agreements reached, who shall take what acVon by when, and a list of parVcipants. Local government and at least one civil society or customary organizaVon chosen by the 

community shall have access to the conflict resoluVon process and the documentaVon thereof. A conflict is deemed resolved if both parVes in the negoVaVon process have agreed to take it off the agenda. 

7.14.2 

Indicator: Local communiVes [85], local government and at 

least one civil society organizaVon chosen by community 

have a copy of the p-‐SIA in locally appropriate language 



Foodnote [85] Community: A group of people with possibly diverse characterisVcs who are linked by social Ves, share common perspecVves, and 

7.14 Criteria: Complaints by local communiVes 

Indicator: Complaint boxes, complaint registers, and 

complaint acknowledgement receipts in local language(s) 

are used. 



Indicator: Percentage of conflict resolved within the date 

of being filed. 

N/A 

Monitoring book for conflict resolving is kept. No complaint up Vll now 

Monitoring book for conflict resolving is kept. No complaint up Vll now 

N/A as no complaint 



7.14.3 

Requirement: 

Within 6 months 50% 

Within 1 year 75% 

Within 2 years 100% 



X 


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Indicator: Percentage of conflict resolved within the date 

of being filed. 

7.14.3 

Requirement: 

Within 6 months 50% 

Within 1 year 75% 

Within 2 years 100% 

X 



7.15 Criteria: PreferenVal employment for local communiVes 

7.15.1 

Indicator: Evidence of adverVsing posiVons within local 

communiVes before migrant workers are hired. 



Indicator: An explanaVon on the reasons for employing 

each worker is available and the explanaVon jusVfies not 

employing workers from local communiVes. 

Compliance 

Yes No N/A 

X 

Finding 

The list of employees indicaVng also place of origin dated 13.08.2012. 




7.15.2 

Requirement: Yes, if workers outside the local community 

are employed 


X 

Recruitment noVce dated 01.08.2011 no menVon on discriminaVon 



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ASC audit checklist 

ASCASS-PAD.F01(01) 

Reportnumber: 

3. Summary and Conclusion 

3.1a . Outstanding non-conformities since previous audit report 

No NC: N/A (The Standard and Requirement:N/A (The first 

first audit) audit) 

Date found: N/A Dead line for correction: N/A (The first audit) 

(The first audit) 

Description of requirement: N/A (The first audit) 

Status: N/A (The first audit) 

Finding: 01 

Date found: Dead line for correction: do not have defined timelines for action but the producer 

02/08/2012 may undertake the necessary action to prevent an NC being identified in future. 

Description of requirement: 

Evidence that a contribution of at least USD $0.50 per ton of fish produced has been paid to the 

environmental and social restoration fund annually 

a. Submit a signed letter to the ASC committing to pay a contribution to the fund for all certified fish 

harvested from the day of first certification. 

Finding: 02 

Date found: 

21/08/2012 

821749-ASC-2012-01-LTTT 

Description of non-conformity: N/A (The first audit) 

Standard and Requirement: ASC pangasius 

standard 2.2.2 

Category: N/A (The first audit) 

Evidence received, and analysis of corrections and corrective actions provided for NC closure: N/A (The 

first audit) 

3.1b Identified non-conformities during present evaluation 

Description of finding: 

The letter has been sent to ASC but provide the auditor the confirmation of Bas 

Category: OBSERVATION 

Corrective action request: It shall be guaranteed that this NC is corrected and corrective action(s) has/have been carried out 

on the causes of this NC to minimize recurrence 

Evidence received, and analysis of corrections and corrective actions provided for NC closure: 

Status: OPEN 



Dead line for correction: within 03 months 

20/11/2012 

Category: Major 


Presence of documents proving compliance with pertinent water discharge (including water effluents) 

regulations 

Description of non-conformity: 

There is no testing analysis for discharged water of the setlement pond for pond 1 

Corrective action request:It shall be guaranteed that this NC is corrected and corrective action(s) has/have been carried out on 

the causes of this NC to minimize recurrence 

Provide the discharged water of settlement pond 2 


The analysis result is available 

The result of analysis complied with the circular 45 

Status: CLOSED 


ASC PANGASIUS STANDARD -‐ 

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Finding: 03 

Date found: 

02/08/2012 

Corrective action request:It shall be guaranteed that this NC is corrected and corrective action(s) has/have been carried out on 

the causes of this NC to minimize recurrence 

The farm should get more informtion of academic institution about water allocation. 

Finding: 04 

Date found: 

21/08/2012 

Finding: 05 

Date found: 

21/08/2012 



Dead line for correction: in one year 

20/08/2013 


Percentage change in diurnal dissolved oxygen (DO) of receiving waters 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) 


DO record in receiving waters of the first settlement pond for pond 1 to 11 with more than 6 months from 

Jan to July 2012 and comply with this instruction. However, from the mid-july of 2012, the second 

settlement pond has been used for pond 1 because the discharged pipe from pond 1 to the firat 

settlement pond for pond 1 to 11 was broken. From that day until now, there is no record of DO 

measurement at the receiving water 


20/08/2013 


Minimum dissolved oxygen (DO) concentration in water discharged (See DO measurement methodology 

in Annex D) 







20/08/2013 

Category: Minor 


Status: OPEN 

Status: OPEN 



Category: Minor 


"The DO record of discharged water in weekly" of the first settlement pond for pond 1 to 11 with more 

than 6 months from Jan to July 2012 and comply with this instruction. However, from the mid-july of 

2012, the second settlement pond has been used for pond 1 because the discharged pipe from pond 1 

to the first settlement pond for pond 1 to 11 was broken. From that day until now, there is no record of 

DO measurement in the second settlement pond 

Category: MINOR 


Evidence of a sludge repository of appropriate size (See sludge repository formula in Annex D) 

A. Review farm's calculations to verify accuracy. Confirm compliance. 

B. During on-site visit, inspect the farm's sludge repository. 



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a. The farm used the area of sludge pond multiplying by the depth and by this calculation, this sludge 

can be enough space to contain sludge but not base on the calculation of Annex D 

b. By observation on site and the area provided by the farm, the sludge pond will based on the depth of 

sludge pond. But now the sludge pond is full. However, from the day is full and until now is not over 2 

months without pumping sludge. Besides, the farm is digging up the new sludge pond. The farm needs 

to provide the plan with the area of new sludge pond and the plan to keep sludge as annex D 




Status: OPEN 

Finding: 06 

Date found: 

21/08/2012 


Evidence of farm solid wastes being discharged into the natural environment 

A. Review the farm's solid waste management plan 

C. Confirm that the farm's solid waste management plan is implemented and effective. Evaluate If there 

is a risk or potential for discharges. 


a. "the farm's solid waste management plan" no. 006/KH-TM,HV on 16/08/2011, by Mr. Ngo Thanh Van 

Phuc Toai. The management of feed packing used as coat when mixing feed is in lack. 

b. Inspect the farm, solid waste is around pond 6, 8, 10 and domitory of worker. 

Status: OPEN 

Finding: 07 

Date found: 

21/08/2012 




20/08/2013 



Evidence of proper disposal of dead/moribund fish 

G. Confirm the farm's plan is effectively implemented. Evidence will include interviews with farm workers 

who confirm that disposal followed the plan. 


Dead fish around pond 6 




20/08/2013 








Status: OPEN 

Finding: 08 

Date found: 

21/08/2012 



standard 7.3.1.a 

Dead line for correction: do not have defined timelines for action but the producer 

may undertake the necessary action to prevent an NC being identified in future. 



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Workers are free to terminate their employment and receive full payment until the last day of their 

employment, based on reasonable notice given to their employer 

a. Ensure that all contracts cleariy state workers' freedom to terminate their employment and receive full 

payment until the last day of their employment. 


verified labour contract of Tran Van Doi signed from 01.09.2011 including benefit, working time, 

etc..However, a clear salary is considered marked 




Status: OPEN 

Finding: 09 

Date found: 

21/08/2012 

Finding: 10 

Date found: 

21/08/2012 



standard 7.4.1.a 




The employer provides a non-hazardous working and living environment. 

a. Maintain a list of all the health and safety hazards in the working and living environment of employees. 


List of hazard identification dated 01.09.2011. However, some of points have been identified fully. Eg: 

swimming 




Status: OPEN 



standard 7.6.1.b 




Workers do not suffer any discrimination from the employer or other workers 

b. Maintain records of employees' salary changes, promotions and training opportunities. For first audits, 

farm records must cover ≥ 6 months. 


Record of bonus is available. However, the more regulation on increasing salary, award is considered 



Evidence received, and analysis of corrections and corrective actions provided for NC closure: [only fill in 

case the NC can be closed during the audit] 

Status: OPEN 

Finding: 11 


standard 7.9.2.b 




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Date found: 

21/08/2012 




Workers have the right to know the mechanism for setting the wages and benefits 

a. Provide a declaration stating the mechanism used for setting wages. 


the salary method is available in Noticeboard 




Status: OPEN 

Finding: 12 

Date found: 

21/08/2012 

Finding: 13 

Date found: 

21/08/2012 

3.5 Attachments to this report 


standard 7.10.1a 

Dead line for correction: 

21/08/2013 


Workers have copies of, and can understand, their labor contract 

a- Ensure that emplyees have copies of their labor contracts. 


Article 28 of Vietnam Labour law: The labour contract should be signed into 02 copies. Each side keeps 

one. It was found that the case of Le Phuoc Danh has not got the copy of labour contract. 



Status: OPEN 


Even the timesheet is available, but no hour worked count on the timesheet. 



Status: OPEN 

* The map of the farm 

* The information sent before the external audit: pre-audit checklist 

3.7 Summary and conclusion 


standard 7.12.1a 








Records of the hours worked by every worker employed in the farm are available 

a. Maintain timesheets for all employees. For first audits, farm records must cover ≥ 6 months. 





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Does the farm comply with ASC Pangasius standard 

YES 

Date of issue 

☐ NO 

4. Valid period of Certificate 

Date of expiry 

5. Determination of the start of the CoC 

Only Minor Non-Conformities were detected and the 

appplicant is recommended for certification. 

Can the product enter further certified Chains of Custody and eligible to carry the ASC label 

x YES 

☐ NO 

5. Approval of the assessment report by Client 

Date: 21/08/2012 Date: 21/08/2012 

Auditor: LE TRAN TRUONG THUY 

signature: 

Company representative : 

signature 

6. Review of the assessment report by the certifier 

Date: 

Comments: 

Certifier : Pilar Kuriyama Roca 

Signature: 



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Final report - Aquaculture Stewardship Council

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