Pangasius - GlobalGAP

GLOBALG.A.P. 

(EUREPGAP) 

Control Points and Compliance Criteria 

Integrated Farm Assurance 

AQUACULTURE BASE 

English Version 

V1.0-2 Mar10 

PANGASIUS 

English Version 

V1.0-2 Mar10 

Valid from 3 March 2010 

©Copyright: GLOBALGAP c/o FoodPLUS GmbH, 

Spichernstr. 55, 50672 Köln (Cologne); Germany | Tel: +49-221-57993-25; Fax: +49-221-57993-89 | http://www.globalgap.org

CONTENTS 

CONTROL POINTS AND COMPLIANCE CRITERIA 

INTEGRATED FARM ASSURANCE | AQUACULTURE BASE 

ENGLISH VERSION 

INTRODUCTION AQUA BASE 

SECTION AB AQUACULTURE BASE 

AB . 1 SITE MANAGEMENT 

AB . 2 CHEMICALS 

AB . 3 PEST CONTROL 

AB . 4 OCCUPATIONAL HEALTH AND SAFETY 

AB . 5 FISH WELFARE, MANAGEMENT AND HUSBANDRY 

AB . 6 AQUACULTURE FEED 

AB . 7 ENVIRONMENTAL AND BIODIVERSITY MANAGEMENT 

AB . 8 WATER USAGE AND DISPOSAL 

AB . 9 CAGE PRODUCTION 

AB . 10 SAMPLING AND TESTING 

SECTION PN PANGASIUS 

PN . 1 HATCHERIES AND NURSERIES 

PN . 2 HUSBANDRY ON THE FARM 

PN . 3 GROW-OUT PONDS / CAGES / ENCLOSURES 

PN . 4 HARVESTING 

PN . 5 PROTECTED AREAS AND OTHER HIGH CONSERVATION VALUE AREAS 

PN .6 SOCIAL CRITERIA 


Spichernstr. 55, 50672 Köln (Cologne); Germany | Tel: +49-221-57993-25; Fax: +49-221-57993-89 | http://www.globalgap.org 

Code Ref.: IFA 3.0 CP 

Version: AB V1.0-2 Mar10 and PN 1.0-2 Mar10 

Section: Content AB PN 

Page: 2 of 38


INTEGRATED FARM ASSURANCE | INTRODUCTION AQUACULTURE BASE 


INTRODUCTION AQUA BASE MODULE 

Principles 


Version: AB 1.0-2_Mar10 

Section: Introduction Aqua Base 

Page: 3 of 38 

SITE MANAGEMENT 

This section is intended to ensure that the land, aquaculture sites, buildings and other facilities, which constitute the fabric of the farm are properly managed to ensure the safe and 

sustainable production of food. 

CHEMICALS 

Chemicals are defined as: Fuel, Detergents, Pesticides, Fungicides, Chemical Treatments, Disinfectants, Drugs, Medicines (all medicines except Medicated Feeds) and other 

chemicals (paints, preservatives, anti-foulants, lubricants, battery acids, etc.) used in and around the premises. 

FISH WELFARE, MANAGEMENT AND HUSBANDRY 

Animal welfare, management, and husbandry practices are all essential to a sound performance within aquaculture. Meeting the physical, nutritional, and environmental requirements 

of the fish will result in reduced mortality, improved growth and a good fish health. 

MEDICINES 

Judicious use of antibiotics, which is defined as the use of an antibiotic to maximize its therapeutic effectiveness while at the same time minimizing the selection for antibiotic resistant 

bacteria. The key objectives are: 

• Protect consumer health by ensuring the safety of food of animal origin 

• Prevent or reduce the transfer of resistant micro-organisms from animals to humans 

• Comply with the ethical obligation and economic need to keep animals in good health 

AQUACULTURE FEED 

Feed must meet the nutritional requirements of the aquaculture species and maintain the recognized human health benefits from the aquaculture species. Captured fish, if used, 

should come from fisheries that adhere to the FAO Code of Conduct for Responsible Fisheries and where possible be independently verified. The efficient use of fish meal/oil should be 

maximised. The dependency on marine resources needs to be reduced. 

ENVIRONMENTAL AND BIODIVERSITY MANAGEMENT 

This section is intended to ensure good practice with regard to the management and protection of the direct environment and natural resources. Farms are to be build and managed in 

such a way that both environmental and ecological aspects are addressed in a responsible manner in ways that conserve biodiversity and existing ecosystem functions and recognize 

that other land uses, people and species depend upon these same ecosystems. 

Environmental aspects are those impacts on the environment measurable on ‘non living parameters’, either physically or chemically. E.g. discharge of chemicals, waste water and 

materials and the emission of noise, gases and heat; the use of energy and natural resources. 

Biodiversity aspects are those impacts on the environment measurable by assessment of ‘living parameters’; biomass and biodiversity . These may be the change introduction of nonnative 

species, the extinction of local species due to introduction of pathogens, or due to environmental impacts. 




INTEGRATED FARM ASSURANCE | INTRODUCTION AQUACULTURE BASE 




Section: Introduction Aqua Base 

Page: 4 of 38 

SAMPLING AND TESTING TECHNIQUES 

Fish must be sampled and tested to monitor food safety and legality for the species produced on the farm. This is a tool for the producer to demonstrate Good Aquaculture Practices 

are well implemented and producing a safe and legal aquaculture species. 

HATCHERIES AND NURSERIES 

Under GLOBALGAP (EUREPGAP) certification, only fully domesticated livestock is recognized. This means that only forms of animal production may be certified where no genetic 

inputs derived from wild natural stocks is structurally required. 

MANGROVES, PROTECTED AREAS AND OTHER HIGH CONSERVATION VALUE AREAS 

New ponds, farms sites or related facilities are built according to national planning and legal frameworks in environmentally suitable locations, making efficient use of land and water 

resources and in ways that conserve biodiversity (including Protected Areas and RAMSAR sites), ecologically sensitive habitats (High Conservation Value Areas) and ecosystem 

functions, recognizing other land uses, people and species depend upon these same ecosystems. 








Section: Aqua Base 

Page: 5 of 38 

Nº Control Point Compliance Criteria Level 

AB AQUACULTURE BASE 

T1 

Presently the word 'fish' within this module refers to all species mentioned in the GLOBALGAP (EUREPGAP) General Regulations - 

Part I - Annex 2 - Product List. 

AB . 1 SITE MANAGEMENT 

T2 

AB . 1 . 1 Management and Documentation T3 

AB . 1 . 1 . 1 Does the farm have a Quality Manual available, and operate in 

accordance with documented procedures and work instructions to 

cover all processes critical to product safety, legality and quality 

including the farm’s commitment and has a scope that covers the 

requirements of this standard? 

AB . 1 . 1 . 2 Does the Company have an organizational structure, which clearly 

ensures job function, responsibility and reporting relationships of all 

workers and which are clearly defined and documented? 

AB . 1 . 1 . 3 Is a documented internal audit procedure in place describing the 

scope (minimum is self-assessment criteria under AF 1.2 - All Farm) 

and frequency (minimum annually) of internal audits? 

AB . 1 . 1 . 4 Is there a contingency plan established which covers action to be 

taken in the event of situations that may threaten human health, food 

safety, or animal health and welfare that have been identified as risks 

such as loss of power, water, flood / storm damage, fire, chemical or 

effluent spillage? 

AB . 1 . 1 . 5 Is a risk assessment for animal welfare undertaken which includes 

farm, predatory and extraneous species present in the farm unit, 

taking into account the prior use of the land or site? 

The Quality Manual must be available on site. The farm must 

demonstrate that they operate according to the documented procedures 

and work instructions related to food safety, legality and quality incl. 

documented food safety risk assessments and associated management 

procedures. Workers must be able to demonstrate awareness at 

interview. No N/A 

The organizational structure document is present on the farm. Workers 

must be able to demonstrate awareness at interview. No N/A 

The documented internal audit procedure including audit planning must be 

in place. 

The documented contingency plan is available on request. Crossreference 

with AF 2.2.2 (All Farm) and AB 5.2.7 (Aqua Base). No N/A 

An up to date Risk Assessment on animal welfare must be present, which 

includes farm, predatory and extraneous species present in the farm unit. 

Cross–reference with AF 3.1.1 and AF 2.2.1 (All Farm). This Risk 

Assessment must be available on the farm. No N/A 

Major Must 

Major Must 

Minor Must 

Major Must 

Major Must 

AB . 1 . 1 . 6 Is farming of Genetically Modified -GM (transgenic) - fish prohibited? Farmers must be able to prove fish origin. Major Must 

AB . 1 . 2 Site Management (Cross-reference with AF 2.2 All Farm) 

T3 

AB . 1 . 2 . 1 Has a risk assessment been undertaken to demonstrate that water 

quality does not compromise food safety and animal health & 

welfare? 

AB . 1 . 2 . 2 Are farms and other facilities maintained in good repair? Is water 

supply and feeding equipment suitable for fish species farmed? 

A documented risk assessment should be in place covering all potential 

water pollution sources affecting food safety and animal health & welfare. 

No N/A. 

There must be a visual assessment to make sure that the facilities are 

suitable for the intended purpose, maintained and in good repair. No N/A. 



Major 

Must 

Minor Must







Page: 6 of 38 


AB . 1 . 2 . 3 Are AQUACULTURE paints, preservatives BASE and other chemical compounds that may be Documented evidence of a risk assesment must be available. No N/A. Major Must 

toxic NOT used on surfaces accessible to fish species farmed? Data sheets must be used as evidence. 

AB . 1 . 2 . 4 Are precautions in place to prevent any type of erosion? Precautions are taken and an action plan is in place to prevent erosion 

and seepage. 

AB . 1 . 2 . 5 Does the infrastructure of the facility intake and discharge guarantee Intake and discharge must be controlled and independent from each other 

that water supply and effluent are not mixed? 

in order to avoid unwanted contamination of intake water. This aspect 

must be included in the risk assessment mentioned in AF 2.2.1. 

AB . 1 . 2 . 6 Are canals, embankments and sheeting constructed in such a way 

that the adverse effect of high floods levels are limited? 

AB . 1 . 2 . 7 In pond farming, are vegetative buffer zones and habitat corridors 

maintained? 

AB . 1 . 2 . 8 Are the discharges positioned in such a way that they do not drain 

effluent into stagnant water or cause erosion? 

The infrastructure must be calculated for high flood levels. Additional 

infrastructure to prevent escapes are part of the preventive measures. 

Vegetative buffer zones and habitat corridors are maintained to minimize 

the effect of site operations on the environment. For shrimp certification, 

cross-reference with SP 5.4. 

The outfalls must be designed and positioned in such a way that it is not 

possible to drain effluent into stagnant water or cause erosion. 

AB . 1 . 2 . 9 Does the design and construction of site support the biodiversity plan? The biodiversity plan or program must be included in the Biodiversity Risk 

Assessment mentioned under AB 7.1.2 and AB 7.1.3. Cross-reference 

with AB 1.1.4 (Aqua Base). No N/A. 

AB . 1 . 2 . 10 Does the infrastructure support quarantine procedures for site or farm When an infectious disease breaks out the infrastructure must support the 

in case of an infectious disease outbreak? 

quarantine procedures. 

AB . 1 . 2 . 11 In case of no legislation, is there a waste management system in 

place? 

AB . 1 . 2 . 12 Is there a written procedure for pond routine dry out, treatment and 

monitoring? 

AB . 1 . 3 Site Entry 

Waste and other disposal must be gathered and distributed to a place 

dedicated dump or burning location. This location has been part of an 

Environmental Risk Assessment (ERA). Cross-reference with AF 4.2.1 (All 

Farm). 

A documented procedure is available and documented records showing 

that it has been followed. 

AB . 1 . 3 . 1 Do fences, gates and physical barriers restrict entry to the site? The only effect of the physical barrier should be to restrict unauthorized 

access. The boundaries of the farm should be clearly indicated. Measures 

shall be in place to maintain farm security and ensure that only authorized 

people have access to the farm and farm facilities. 

AB . 1 . 3 . 2 Are "Prohibited" and/or "Unauthorized" signs displayed clearly at the 

facility? 

Visual assessment of the site to verify that “Prohibited” and/or 

"Unauthorized” signs are in place. 



Major Must 

Major Must 

Major Must 

Major Must 

Recom. 

Major Must 

Major Must 

Major Must 

Major Must 

Minor Must 

Minor Must







Page: 7 of 38 


AB . 1 . 3 . 3 Does AQUACULTURE the production BASE facility have a work instruction for the control of A work instruction covering the following areas and implementation must Minor Must 

all persons, vehicles and materials into the farm /hatchery? 

be demonstrated: 1. Precautions to avoid contamination brought about by 

clothing and foot wear; 2. A record of all visitors (date, time, etc), vehicles 

and material supplies entering the farm; 3.Clearly visible signed restricted 

areas and points of danger. No N/A. 

AB . 1 . 3 . 4 Are hand wash and other disinfection devices placed on critical points 

where food safety or animal health may be at risk? 

Hand wash and other disinfection devices are installed and utilized. Visual 

assessment of the site. No N/A 

Major Must 

AB . 1 . 3 . 5 Are there in place written instructions, and displayed, available to Written instruction/display must be available to workers and visitors Recom. 

workers and visitors requiring them to wash hands? 

requiring them to wash hands. 

AB . 2 CHEMICALS T3 

AB . 2 1 Chemical Storage 

AB . 2 . 1 . 1 Are chemicals stored in accordance with the label instructions and 

legislation (including refrigeration when required), in a sound, secure, 

lockable, well ventilated, well lit location that is located away from 

other materials? 

AB . 2 . 1 . 2 Is there emergency information with corresponding facilities for 

workers to deal with accidents during application (e.g. eye wash, 

plenty of clean water) where required? 

AB . 2 . 1 . 3 Is access to the chemical store limited to workers with training 

(according to AF.3.2.2 and AB 4.1.1 ) and/or experience in the 

handling of the specific chemicals? 

AB . 2 . 1 . 4 Is the Accident Procedure Plan available, showing a list of contact 

phone numbers and the location of the nearest telephone? 

AB . 2 . 1 . 5 Are all Chemicals stored in their original packaging, which must be 

kept in a suitable condition to allow label instructions to be read 

easily? 

Chemicals must be stored at the correct temperature in a secure locked 

store and individual chemicals in accordance with label instructions. 

Compliance includes a visual assessment of the chemical stores. No N/A 

Major Must 

Emergency information and facilities where required must be in place. Minor Must 

Workers with access to the chemical store must be identifiable and have 

records showing their training is suitable. No N/A 

Accident Procedure Plan and contact telephone numbers to be available 

at chemical store and nearest telephone. 

Minor Must 

Minor Must 

Visual assessment of the chemical store. Major Must 

AB . 2 . 1 . 6 Are chemical store shelves made of non-absorbent material? The chemical storage facilities must be visually assessed in order to have 

evidence that they are equipped with shelving which is not absorbent in 

case of spillage, e.g. metal, rigid plastic. 



Minor Must







Page: 8 of 38 


AB . 2 . 1 . 7 Is AQUACULTURE the chemical store BASE able to retain spillage and are there emergency The chemical storage facilities must be visually assessed to prove that Minor Must 

facilities to deal with accidental spillage? 

they have retaining tanks or bunds according to the volume of stored 

liquid, with chemical resistant coated walls and flooring to ensure that 

there cannot be any leakage or contamination to the exterior of the store. 

The chemical storage facilities and all mixing areas must be equipped with 

a container of absorbent inert material i.e. sand, floor brush and dustpan 

and plastic bags, in a fixed location with a sign to be used in case of 

accidental spillage of concentrated chemicals. No N/A. 

AB . 2 . 1 . 8 Are there special facilities for measuring and/or mixing of chemicals? The chemical measuring/mixing area, have special suitable equipment, 

e.g. plastic jugs, scales etc., which have been calibrated with documentary 

evidence at least within the last 6 months (bi-annually), for liquid, powder 

and granular products if required, and is not used for other purposes. No 

AB . 2 . 1 . 9 Are there emergency facilities to deal with operator contamination? The N/A. chemical storage facilities and all mixing areas must be assessed to 

prove they have eye wash capability, a tap with running clean water no 

more than 10 meters distance, a complete first aid kit and a clear accident 

procedure with emergency contact telephone numbers or basic steps of 

primary accident care, all permanently and clearly signed. No N/A. 

AB . 2 . 1 . 10 Is a product inventory documented and readily available for ALL 

chemicals and compound products? 

AB . 2 . 1 . 11 

Are products and safety data sheet available for ALL chemicals and 

compound products used on site? 

For ALL chemicals and compound products used on site, including 

medicines, probiotics, lubricants, pesticides, fertilizers, products for 

cleaning and disinfection etc., there must be a documented, up to date 

record of the inventory in place. No N/A. 

For ALL chemicals and compound products mentioned in AB 2.1.10 

product and safety data sheet from the manufacturer must be present in 

which the effective compound and application of the product is described. 

No N/A. 

AB . 2 . 1 . 12 Are powders stored on shelves above liquids? All the chemicals that are in a powder or granular formulation are stored 

on shelving which is always above those products that are liquid 

formulations in case of accidental leakage. No N/A 

AB . 2 . 2 Empty Containers (Cross-reference with AF 4 - All Farm) 

AB . 2 . 2 . 1 Are empty chemical containers NOT re-used? The site must be assessed to prove that there is no evidence that empty 

chemical containers have been or currently are being re-used in any form 

or manner. No N/A. 

AB . 2 . 2 . 2 Do disposal of empty chemical containers occur in a manner that 

avoids exposure to humans and animals? 

The system used to dispose of empty chemical containers ensures that 

persons or animals cannot come into physical contact with the empty 

containers by having a secure storage point, safe handling system prior to 

the disposal and a disposal method that avoids exposure to persons. No 

N/A. 



Minor Must 

Minor Must 

Major Must 

Major Must 

Minor Must 

Major Must 

Minor Must







Page: 9 of 38 


AB . 2 . 2 . 3 Are AQUACULTURE official collection BASE and disposal systems used? Where official collection and disposal systems exist, there are 

Major Must 

documented records of participation by the producer. 

AB . 2 . 2 . 4 Are empty containers kept secure until disposal is possible? There must be a designated secure storage point which must be 

assessed to prove that all empty chemical containers are maintained prior 

to disposal and that is isolated i.e. plastic rubbish bags, permanently 

signed and with restricted access for persons and fauna. 

AB . 2 . 2 . 5 Are all local regulations regarding disposal or destruction of 

containers and packaging observed? 

AB . 2 . 2 . 6 Are obsolete chemicals disposed of by a certified or approved 

chemical waste contractor or by the supplying company? 

AB . 2 . 3 Transport 

AB . 2 . 3 . 1 Before chemical containers are moved, is their condition assessed? 

E.g. Are they not leaking, closures secured and product label and 

other information intact and legible? 

AB . 2 . 3 . 2 Are potentially harmful chemicals NOT transported together with 

people, animals, farm produce or aquaculture feed? 

All the relevant national, regional and local regulations and legislation if it 

exists, has been complied with regarding the disposal or destruction of 

chemical containers. 

There are documented records that indicate that obsolete chemicals have 

been disposed of by officially authorized channels. When this is not 

possible, obsolete chemicals are securely maintained and identifiable. 

Workers must be able to demonstrate awareness at interview and 

compliance is visual assessed. 

Workers must be able to demonstrate awareness at interview and 

compliance is visual assessed. 

AB . 3 PEST CONTROL T3 

AB . 3 . 1 Does the farm control the risk of pest infestation in buildings and other 

facilities to eradicate infestation? 

AB . 3 . 2 Are detailed records of pest control inspections and necessary 

actions to be taken kept? 

AB . 3 . 3 Are all entry points suitably protected to prevent, as far as possible, 

the ingress of animal pests? 

AB . 4 . OCCUPATIONAL HEALTH AND SAFETY 

AB . 4 . 1 Training 

AB . 4 . 1 . 1 Does the person(s) responsible for decision-making in the use of 

chemicals (also medication and treatments) have appropriate 

training? 

The location of all pest control measures are identified on a plan/diagram 

of the site and include all operations. No N/A 

Records of pest control inspections and follow up action plan(s) must be in 

place. No N/A 

Minor Must 

Major Must 

Major Must 

Minor Must 

Major Must 

Major Must 

Major Must 

Site must be assessed. No N/A Major Must 

Decision-maker(s) must be identifiable and be able to demonstrate their 

competence at the time of Inspection. Their relevant national certificates of 

competence must be in place. No N/A 



Major Must







Page: 10 of 38 


AB . 4 . 1 . 2 Does AQUACULTURE the training outline BASE the hygiene standards (based on HACCP) All workers must have read and reviewed and signed for the farm’s Major Must 

to be adopted by workers and visitors? Do the workers receive basic Hygiene Standard (based on HACCP) which must cover subjects listed in 

training in the farm’s hygiene requirements? Does the training include the GLOBALGAP Aquaculture standard. Workers must be able to 

the following?: The need for hand cleaning; The covering of skin cuts 

with waterproof band aids; Confinement of smoking, eating and 

drinking to the appropriate areas; Notification of any relevant 

infections or conditions; The use of suitable protective clothing. 

demonstrate awareness at interview. No N/A 

AB . 4 . 2 Health and Safety T3 

AB . 4 . 2 . 1 Do workers have access to toilets, eating facilities and potable water? 

Are suitable provisions made for the hygienic storage and cleaning of 

work wear? 

AB . 4 . 2 . 2 Are diving operations carried out in accordance with relevant 

legislation? 

AB . 4 . 2 . 3 Are employees provided with and sign for a Health & Safety Guide 

specific to the farm providing details of: Location of First Aid Kits; 

location of the Accident and Dangerous Incidents Book; To whom 

accidents and dangerous incidents should be reported; How and 

where to contact the local Doctor, Hospital and other emergency 

services? 

AB . 4 . 2 . 4 On aquaculture farms, are all workers aware of the contingency 

procedures (mentioned in AB 1.1.4) relevant to their enterprise in the 

event of emergencies, which pose a threat to human health? 

At least one toilet and a potable water source must be provided for each 

farm and must be assessed. No N/A. 

The producer must be able to demonstrate that diving operations comply 

with the law. Records of all divers and dives must be in place. 

A record of staff issue, version number of Health & Safety Guide and 

individual staff signature(s) must be in place. 

Training records are signed by workers and they must show awareness at 

interview. No N/A 

AB . 4 . 3 Legislative Framework T2 

AB . 4 . 3 . 1 Are farms operated in accordance with all applicable legislation? The farm should be able to demonstrate a written overview of all its 

activities combined with the applicable regulations. 'Activities' include e.g. 

land ownership, labor, environment, veterinary aspects, safety aspects 

etc. No N/A 

AB . 4 . 3 . 2 Are all responsible persons able to explain how they fulfill their legal 

obligations with respect to the Food Safety, Animal Welfare and 

Environmental Legislation applicable to their enterprise? 

All responsible persons must be able to demonstrate awareness at 

interview of compliance with legislation as listed in compliance AB 4.3.1. 

No N/A 



Major Must 

Major Must 

Minor Must 

Major Must 

Major Must 

Major Must









AB . 4 . 3 . 3 Are AQUACULTURE all aquaculture farms BASE registered as such with the relevant 

Registration documents are available. Examples may include: seabed Major Must 

competent authority as required by national legislation? 

leases and consents for discharge of effluent and license / concession 

from authority to grow a set tonnage of aquaculture products or allocation 

of feed quota, etc. No N/A 

AB . 5 FISH WELFARE, MANAGEMENT AND HUSBANDRY T2 

AB . 5 . 1 Sourcing, Identification and Traceability T3 

AB . 5 . 1 . 1 Are all GLOBALGAP (EUREPGAP) registered products traceable 

back to and trackable from the registered farm where it has been 

farmed? 

AB . 5 . 1 . 2 Are fish traceable to the farm of hatching, with the source of batches 

of ova and parents or group of parents? 

AB . 5 . 1 . 3 Are eggs and/or seedlings certified according to legislative 

requirements on infectious diseases? 

There must be a documented traceability system that allows 

GLOBALGAP (EUREPGAP) registered product to be traced back to the 

registered farm or, in a Farmer Group, group of registered farms, and 

tracked forward to the immediate customer. No N/A. 

Major Must 

Traceability records must be on site. No N/A Major Must 

Records must be on site. Major Must 

AB . 5 . 1 . 4 Are all on farm movements of fish between sites recorded and 

traceable? 

Traceability records must be assessed on site. No N/A Major Must 

AB . 5 . 1 . 5 Do all aquaculture farms maintain a movement record? Records of all movements of fish for all stages in the life cycle must 

specify what the movement records must include - species, numbers, 

biomass, tank/raceway/pen ID, method of movement, tag use, medicinal 

and other treatments, slaughter method for harvested fish, chilling 

method, etc No N/A 

Major Must 

AB . 5 . 1 . 6 Are all fish identified (on a batch level) to a specific batch throughout 

the growing period? 

AB . 5 . 1 . 7 Are visual mechanisms of identification used to identify batches of fish 

requiring or having received treatment (for which there is a required 

period of withdrawal) at least until the withdrawal period has been 

completed? 

AB . 5 . 1 . 8 In the initial phase (first audit) of application of this Standard, have all 

fish with a culture cycle more than one year spent their last six months 

of their life on GLOBALGAP (EUREPGAP) approved registered 

farm(s)? where the fish lives that long? For fish species with shorter 

life culture cycle, have all fish spent their entire life on GLOBALGAP 

(EUREPGAP) approved farms? 

Traceability records must be present on site. No N/A Major Must 

Site must be assessed and / or workers must be able to demonstrate 

awareness at interview. No N/A 

Movement traceability records must be assessed to prove that all fish 

have lived on GLOBALGAP (EUREPGAP) registered farms for the last six 

months before slaughter. All fish should spend their last six months of 

their life on the farm intending to be GLOBALGAP (EUREPGAP) certified 

before the registration date of farm done in the GLOBALGAP 

(EUREPGAP) system. For fish species with shorter life cycle, all fish must 

spent their entire life on farms intending to be GLOBALGAP (EUREPGAP) 

certified. No N/A 



Major Must 

Minor Must









AB . 5 . 1 . 9 In AQUACULTURE subsequent annual BASE audits, on certified farms/hatcheries, Have all Movement traceability records must be assessed to prove that all fish Major Must 

fish spent their entire life on GLOBALGAP (EUREPGAP) approved come from GLOBALGAP (EUREPGAP) approved farms for their whole 

farm(s)? 

life. 

AB . 5 . 2 Fish Health & Welfare T3 

AB . 5 . 2 . 1 Is the producer able to produce a complete history and current 

overview of fish health status and their treatment with corresponding 

withdrawal dates, that have been identified on each farm site? 

AB . 5 . 2 . 2 Can producers demonstrate both understanding of hygiene practices 

and implemented practices suitable to the farm? Does a written 

Hygiene Plan, detailing the most important elements of hygiene 

(water quality, cleaning methods, cleaning agents, disinfectants, 

application period, application frequency, etc.) exist and is 

implemented and recorded? 

AB . 5 . 2 . 3 Does a named veterinarian formulate and help implement a written 

Veterinary Health Plan (VHP) which is reviewed and updated at least 

annually, or per generation if generations are shorter than one year? 

All applications of drugs, antibiotics, chemical treatments and other 

therapeutics are properly used and applied and recorded in conformance 

with applicable national regulation (see AB 5.3.1). No N/A. 

Major Must 

Workers must be able to demonstrate awareness at interview. No N/A Major Must 

A written Veterinary Health Plan covering the required areas reviewed and 

updated respectively with sign off by specified veterinarian must be 

assessed. The plan must include the following: 

i) Name and location of farm; 

ii) Identified diseases; 

iii) Treatments (incl. chemicals, drugs, medications, pre-harvest period, 

etc.) to be administered for regularly encountered conditions; 

iv) Recom. vaccination protocols (when applicable); 

v) Recom. parasite controls; 

vi) Recom. bio-security procedures; 

vii) Screening programme in place for relevant pathogens; 

viii) Risk assessment of medicinal residues in relation to food safety 

issues; 

ix) Action plan when the MRL in the country of production and/or 

destination has been exceeded; 

x) If applicable, records of routine assigned veterinarian visits are in place; 

xi) Frequency and methods of removal of sick and disposal of dead 

animals; 

xii) Other prevention plans where applicable; 

xiii) Mechanism of informing disease breakouts and to whom. 

No N/A 



Major Must









AB . 5 . 2 . 4 Are AQUACULTURE the workers familiar BASE with the Veterinary Health Plan and Hygiene Workers must be able to demonstrate awareness of hygiene and Major Must 

Plan requirements and ensure its proper implementation? 

veterinary requirements, including the implementation and recording. No 

N/A 

AB . 5 . 2 . 5 Are pre-harvest instructions for veterinary medicine known and strictly 

adhered to? 

AB . 5 . 2 . 6 Do all farms notify the relevant competent authority of any disease 

where required to do so by law and as a minimum as those stipulated 

by the O.I.E. (World Organization for Animal Health)? 

AB . 5 . 2 . 7 On aquaculture farms, are all workers aware of the contingency 

procedures relevant to their enterprise in the event of emergencies ? 

AB . 5 . 2 . 8 Are fish stocks monitored on a regular basis, to assess average 

weight and size, for feeding purposes? 

AB . 5 . 2 . 9 In aquaculture systems where feeding is applied, are the correct 

feeding quantities used? 

AB . 5 . 2 . 10 Does the stocking density not exceed the maximum load per meter 

cubed, which will be determined by legislation, customer requirements 

and scientific standards (as reference, if no legislation or customer 

requirements)? 

AB . 5 . 2 . 11 Does each site have a routine water quality monitoring program 

taking into account the fish health and welfare? 

AB . 5 . 2 . 12 Is fish, at all times, treated and handled in such a way as to protect 

them from pain, stress, injury and disease? 

There must be a written confirmation of the nature and the date of 

treatment and the date that the pre-harvest period will be completed. Any 

fish subsequently sold to another farm before the pre-harvest period has 

expired must be identifiable as such. Workers must be able to 

demonstrate awareness at interview on the above mentioned. Not only for 

the direct treated fish is a pre-harvest period adhered but also for fish 

which has been in contact with the same medicated feed or water. 

Check that farms participate and has notified wherever required to do so. 

As a minimum the diseases stipulated as notifiable by the O.I.E. must be 

notified (http://www.oie.int/eng/maladies/en_classification.htm). No N/A. 

Major Must 

Major Must 

Written contingency procedures. Workers to demonstrate awareness at Major Must 

interview on how to act when system fails (e.g. mechanical problems, 

failure of energy supply, etc.). No N/A 

Records for weight assessments must be present. Minor Must 

For fish fed according to pre-calculated tables, feeding tables and 

recordings must be present. For fish fed ad libitum (in accordance with 

desire), feeding records must be present. 

The stocking density, which will be determined by the nature of the site, 

set by legislation or customer requirements, shall not be exceeded. 

Inspection of stocking records must be in place. 

Records for each site must be in place. All relevant water quality 

parameters such as temperature, dissolved oxygen, carbon dioxide, pH, 

nitrogen compounds, suspended solids etc. must be recognized. No N/A 

Site must be assessed and workers must be able to demonstrate 

awareness at interview. No N/A 

AB . 5 . 3 Medicines T3 

AB . 5 . 3 . 1 Do producers only use medicines that are approved for use in 

aquaculture by the relevant competent authority, national or 

international? Is a current list of all medicines that are used kept? 

Producers only use medicines that are approved for use in aquaculture by 

relevant competent authority, national or international. Cross reference 

with AB 5.1.1. No N/A. 



Minor Must 

Major Must 

Major Must 

Minor Must 

Major Must









AB . 5 . 3 . 2 Is AQUACULTURE the farmer able to BASE demonstrate compliance regarding Maximum The farmer (or the farmers's customer) must have available a list of Major Must 

Residue Limits (MRL´s) in the market where the farmed products are current applicable MRLs for the market(s) where farmed product is traded 

intended to be traded (domestic or international)? 

in (whether domestic or international). The MRLs will be identified by either 

demonstrating communication with clients confirming the intended 

market(s), or by selecting the specific country(ies) (or group of countries) 

where farmed products is intending to be traded in, and presenting 

evidence of compliance that meets the current applicable country(ies’) 

MRLs. Where a group of countries is targeted together for trading in, this 

must comply with 

the strictest current applicable MRLs in the group. 

AB . 5 . 3 . 3 Are neither natural or synthetic hormones nor antibiotic agents used Medicines’ records must be assessed and workers must be able to Major Must 

with the purpose of a growth promoting effect? 

demonstrate awareness at interview. No N/A 

AB . 5 . 3 . 4 Does an independent, ISO 17025 accredited, laboratory performs Where national surveillance and control programs operate but where Minor Must 

regular sample tests for the use of permitted and non-permitted corrective actions do not take place, evidence of independent regular 

substances? It is permissible for this to be part of a national residue accredited testing must be provided, or verified declarations of "non-use" 

surveillance and control program undertaken by the relevant 

supported by such tests for each stage of the fish are available and 

competent authority. 

traceable. Records of independent regular accredited testing must be in 

place to back up 'non use' declarations. No N/A 

AB . 5 . 3 . 5 Are medicines past their use-by date and used medicine containers Workers must be able to demonstrate methods of disposal and 

Major Must 

disposed of in a manner agreed with the attending veterinarian, that 

will not result in subsequent misuse? 

justification. 

AB . 5 . 4 Medicine Records T4 

AB . 5 . 4 . 1 Do all farms maintain up to date legal medicine purchase and 

administration records, which must be assessed and include the 

following?: 

For the Purchase Record: 

Date of purchase; Name of product; Quantity purchased; Batch 

number; Expiry date; Name of supplier. 

For the Administration Record: 

Batch number; Date administered; Identity of fish/group treated; 

Quantity or bio-mass of fish treated; Total quantity of medicine used; 

Date treatment finished; Date withdrawal period completed; Earliest 

date the fish are available for consumption; Name of the person who 

administered the medicine. 

Products in use/store must be recorded in accordance with standard 

requirements and records must be in place. No N/A 



Major Must









AB . 5 . 4 . 2 Are AQUACULTURE visual means used BASE as identification for fish treated with 

Records and the procedures which describes how stock could be Major Must 

medicines? Is the written procedure and records of these visual identified as vaccinated or as treated with any particular medicine must be 

identification of treated status kept? 

in place. No N/A. 

AB . 5 . 5 Vaccination Procedures and Treatments T4 

AB . 5 . 5 . 1 Are all pumps, surfaces and equipment used in the vaccination 

process suitably designed not to cause physical damage and to 

cause minimal stress to the fish? 

AB . 5 . 5 . 2 Does a company procedure for vaccination exist and is followed at all 

times? 

AB . 5 . 5 . 3 Do producers only use vaccines that are approved for use in 

aquaculture by the relevant competent authority, national or 

international? Is a current list of all vaccines that are used kept? 

AB . 5 . 5 . 4 Whether the vaccination is done in-house or by contract, are those 

performing the vaccination properly trained, with records made to 

qualify their competence? 

Equipment must be in place to prove the suitability and procedures for 

vaccinating. 

Assess company procedure for vaccination and workers must be able to 

demonstrate awareness at interview. 

The list of vaccines licensed/prescribed and used at each site must be in 

place. 

Minor Must 

Minor Must 

Major Must 

Training certificates and records must be in place. Minor Must 

AB . 5 . 6 Mortality T3 

AB . 5 . 6 . 1 Is mortality inspection done daily? Mortality records must be available for inspection. Minor Must 

AB . 5 . 6 . 2 For the legal disposal of large scale mortalities, is there a contingency 

/action plan in place in the event of a severe disease episode or mass 

mortality and are these reported to official veterinaries? 

AB . 5 . 6 . 3 Does the farm have a plan for the safe (using a set protocol to reduce 

spread of fish pathogens to live fish) removal of sick and dead fish 

and eggs? Are mortalities NOT disposed of in open water systems, 

such as rivers, lakes, estuaries or the open sea? 

AB . 5 . 6 . 4 Are all mortalities recorded on removal from the production unit and 

reasons for death recorded, where known? 

The Contingency/Action Plan must be in place on site, and must comply 

with legal requirements where these exist. Workers must be able to 

demonstrate awareness at interview. 

Farm records must be in place to show protocols for dead fish removal 

and disposal. 

Records for cause of death must be in place. Workers should also show 

awareness of mortality causes and welfare problem indicators. 

AB . 5 . 7 Fish Holding Area T3 

Major Must 

Minor Must 

Minor Must 

AB . 5 . 7 . 1 Are fish holding areas maintained in a clean and hygienic condition? Fish holding and production areas must be assessed. No N/A Major Must 











AB . 5 . 7 . 2 Are AQUACULTURE all nets in use tagged BASE and maintained in good condition? Is the Records must be kept for age, condition, types of treatments, location, net Major Must 

integrity of the nets visually inspected on a regular basis and after any inspection records for divers observations and records of corrective 

special event (e.g storms) to ensure that fish are not allowed to actions that have been taken according to results of monitoring 

escape into the wild? Is net strength tested yearly ? 

operations, must be in place. 

AB . 5 . 7 . 3 Is net mesh size appropriate for the size of fish and does this prevent 

gilling of small fish? 

Nets in use on site must be assessed. Minor Must 

AB . 5 . 8 Fasting, Harvesting and Transport T3 

AB . 5 . 8 . 1 Are all fish fasted prior to slaughter to empty the gut of feed and 

waste products? 

AB . 5 . 8 . 2 Is the maximum fasting time for fish welfare set by recognized 

authorities or by customer specifications followed and recorded? 

AB . 5 . 8 . 3 Where this is the responsibility of the farmer, is harvesting and 

transport undertaken in a way that does not to compromise food 

safety? 

Fasting records must be in place. Minor Must 

Fasting records must be in place. Minor Must 

Documented harvest and transport hygiene records (and temperature, 

where applicable) must be in place. 

AB . 5 . 9 Machinery and Equipment T2 

AB . 5 . 9 . 1 Are all equipment and systems designed, installed and operated to 

minimize the risk of the fish being harmed or escaping into the 

environment? 

AB . 5 . 9 . 2 For all machinery and equipment (including filters), is a record kept of 

the following? Details of maintenance and calibration; Details of 

calibration testing and monitoring equipment (e.g. oxygen probes). 

AB . 5 . 9 . 3 For all machinery and equipment (including filters), is a record kept of 

details of cleaning and disinfecting? Are all bins and boxes also 

disinfected before re-use and transfer to the growing cages? 

AB . 5 . 9 . 4 Are vehicles and boats (including all transport systems and 

associated equipment) used for transporting fish or aquaculture feed, 

whether owned by the Producer or contractors, inspected for 

cleanliness and disinfection according to documented procedures and 

any necessary corrective action taken? 

AB . 5 . 9 . 5 Where fish welfare is dependent upon automatic systems, are the 

systems equipped with alarms in case of failure and are these tested 

on a regular basis? 

The site must be assessed to make sure that all equipment and systems 

are designed, installed and operated to minimize risk of the fish being 

harmed or able to escape into the environment. 

Major Must 

Minor Must 

Records must be in place where applicable. Recom. 

Records of daily cleaning must be in place where applicable. Minor Must 

Records of inspection and corrective actions must be available. No N/A . Major Must 

If there are systems with alarms, records of alarm testing must be in 

place. 



Minor Must









AB . 5 . 9 . 6 Where AQUACULTURE risk assessments BASE show that oxygen levels could drop below Oxygenation must be available for the peak stocking density at lowest Minor Must 

the minimum for species welfare, are oxygen supplementation predictable oxygen levels. A spare oxygen supplementation system is 

systems available and maintained in good repair? 

available in case of failure of the principal system. For closed recirculation 

systems, equipment to supersaturate water in O2 is necessary due to the 

high density of fish. 

AB . 5 . 9 . 7 At flow through water farms, are all outlet and inlet screens inspected 

at least daily and cleaned as necessary? 

AB . 5 . 9 . 8 Is all equipment constructed from appropriate materials which will not 

corrode, cause damage to the fish and which may be sanitized on 

site? 

AB . 5 . 9 . 9 Is movement of stock made in purpose built containers (i.e. 

helicopter, lorry, well boat or combination of these) with oxygenation 

equipment attached? 

Records must be on site. Minor Must 

The site must be assessed for all equipment in direct contact with the fish. Minor Must 

The movement records must be in place. Minor Must 

AB . 5 . 9 . 10 Is there a separation or disinfection of equipment, workers and 

vehicles between operating fish farm sites to reduce transfer of 

diseases? 

All sites must be assessed. Minor Must 

AB . 6 . AQUACULTURE FEED T3 

AB . 6 . 1 General 

AB . 6 . 1 . 1 Do all fish stocks receive a diet, which is suitable for the species 

farmed? 

AB . 6 . 1 . 2 Are compound feed and/or feed ingredients and industry by-products 

manufactured by, and obtained from a source approved by 

GLOBALGAP? 

Documentation of the used feed should demonstrate its application. Major Must 

Where compound feed is supplied by a company that is licensed with the 

relevant competent authority it must demonstrate that it complies with the 

requirements for quality assurance set by GLOBALGAP (EUREPGAP). 

The actual CFM production location where the feed is sourced from must 

be certified against the i) GLOBALGAP (EUREPGAP) CFM Standard OR 

ii) a standard that has been successfully benchmarked against the 

GLOBALGAP (EUREPGAP) CFM Standard or iii) an ISO/IEC Guide 65 or 

ISO/IEC 17021:2006 accredited feed scheme within 12 months of the 

producer's registration with GLOBALGAP (EUREPGAP). The production 

location must be registered in the GLOBALGAP database with a 

certificate number that will link it to the producer. 

AB . 6 . 2 Feed Records T4 

AB . 6 . 2 . 1 Are batches of fish feed traceable from the feed manufacturer to the 

batch of fish? 

Batches of feed from feed manufacturer must be traceable to batches of 

fish. System or documentation must be in place. No N/A 



Major Must 

Major Must









AB . 6 . 2 . 2 Are AQUACULTURE documentary records BASE (for example invoices) of feed suppliers Records for fish feed must be in place for purchased feed for the past Major Must 

from whom compound feeds and other animal feed materials have 

been purchased kept for three years? Do these records include the 

type of feed, quantity, source and date of delivery? 

three years. No N/A 

AB . 6 . 2 . 3 Do Fish farms obtain from their feed suppliers a declaration of 

constituents for each compound diet and supplement fed to their 

stock and records of them are kept for three years? 

AB . 6 . 2 . 4 Do Fish farms have a list of all antibiotics, pigments, antioxidants, 

immune stimulants, probiotics and other additives utilized in feed? 

Labels / invoices / statements specifying constituents must be in place 

kept for three years. Compound Feed used on farms have to be obtained 

from a GLOBALGAP (EUREPGAP) approved source. 

Detailed records must be assessed for all additives utilized in feed. Feed 

used on farms have to be obtained from a GLOBALGAP (EUREPGAP) 

approved source. Detailed records must be in place for: 

- Additives used in normal feed (such as vitamins, minerals and pigments); 

- Additives used in special feeds (immune stimulants, probiotics, 

antibiotics, etc.) No N/A 

AB . 6 . 2 . 5 Is all feed used consumed before the shelf life expires? Feed whose shelf life has expired must not be used. Feed in store must 

be assessed to assess expiry dates on labels. No N/A 

AB . 6 . 2 . 6 Is regular testing on contaminants done and reported by the feed Detailed records of results from tests and analyses must be in place for all 

supplier? 

relevant contaminants present in feed. No N/A. 

AB . 6 . 3 Storage of Aquaculture Feeds T4 

AB . 6 . 3 . 1 Are all feeds stored and produced in accordance with good practice, 

manufacturer instructions to minimize any risk of contamination? 

Minor Must 

Major Must 

Minor Must 

Major Must 

Proper instructions must be in place and implemented. No N/A Major Must 

AB . 6 . 3 . 2 Is there a separate bin/compartment present to contain and deal with There must be a separate bin/compartment in which withdrawal ration is Major Must 

excess medicated feed and flush feed? 

stored and been marked as such. 

AB . 7 ENVIRONMENTAL AND BIODIVERSITY MANAGEMENT T2 

AB . 7 . 1 Environmental Management T3 

AB . 7 . 1 . 1 Is the producer committed to a formal Environmental and Biodiversity 

Policy (supported by codes of practice, management protocols, 

management practices, record keeping and regulatory compliance 

certificates)? 

AB . 7 . 1 . 2 Is a continuously updated environmental and biodiversity impact 

assessment (EIA) and risk assessment (ERA) in place? 

The Environmental and Biodiversity Policy documents and records must 

be in place. Workers must be able to demonstrate awareness at 

interview. 

An environmental and biodiversity impact assessment (EIA) and risk 

assessment (ERA) must be done, which must be updated following any 

change in the farm operations. Legal compliance must be demonstrated. 

Please refer to AB Annex I - Examples EIA-ERA and respective EMPs 

and AB Annex 2 - Biodiversity in Environmental Impact Assessment. No 

N/A 



Minor Must 

Major Must









AB . 7 . 1 . 3 Is AQUACULTURE an Environmental and BASE biodiversity Management Plan (based on the An effective Environmental and biodiversity Management Plan must be in Major Must 

Environmental and biodiversity Impact Assessment of AB.7.1.2 and place. This must incorporate a regular environmental monitoring. The 

the Environmental Risk Assessment mentioned in AF 2.2.1 ) 

records of disposal and emission through the correct legal routes must be 

developed, setting out strategies to minimize all effects on 

environment (identified risks, such as pollution or water 

contamination) to justify that the site in question is suitable? 

in place. No N/A 

AB . 7 . 1 . 4 Is an Environment Contingency Plan established and covers action to 

be taken in the event of situations that may threaten environment and 

have been identified as risks such as loss of power, water, 

flood/storm damage, fire, chemical or effluent spillage? 

AB . 7 . 1 . 5 Are only approved anti-foulant agents used with appropriate discharge 

consents? 

AB . 7 . 1 . 6 Is within the EIA/EMP an action plan and precautions in place, to 

prevent and monitor salinization and minimize the direct impact on 

soil, ground water and natural water flows? 

AB . 7 . 1 . 7 Have the competent authorities and local communities been informed 

when salinization of ground water takes place? 

AB . 7 . 2 Energy Efficiency 

AB . 7 . 2 . 1 Do all farms take measures to optimize energy use and minimize 

waste? Is waste heat re-used where possible? Do all farms have an 

Energy Policy and ensure proper consideration to the energy-efficient 

design of buildings, machinery and working practices? Is proper 

maintenance schedules implemented to ensure that fuel and energy 

efficiency is protected? 

AB . 7 . 3 Wastes 

AB . 7 . 3 . 1 Are all human solid wastes from toilets collected and disposed of 

through sanitary sewage disposal systems without contamination of 

the production area and not released directly into open water systems 

as untreated raw sewage? 

An Environmental Contingency Plan must be in place and evidence must 

be obtained of actions to be taken in the event of situations that may 

threaten the environment which have been identified as risks such as loss 

of power, water, flood/storm damage, fire, chemical or effluent spillage. 

No N/A 

Antifouled nets and records of antifouling treatments must be available 

together with manufacturers’ instructions. 

Action plan and precautions are in place, to monitor and to prevent 

seepage and any other modification on natural water flows, soil and 

ground water characteristics, as salinization, in agricultural and/or 

protected areas. Monthly records of salinization are available. 

Documented evidence must be available that the competent authorities 

and local communities have been informed when salinization takes place. 

Cross-reference with AB 7.1.4 (Aqua Base). 

The Energy Policy for all farms must be in place and must demonstrate 

objectives to be implemented and steps taken to ensure energy efficiency 

. Evidence is obtained by Inspection that maintenance schedules are 

implemented to ensure fuel and energy efficiency. 

The records of waste disposal and collection facilities for wastes must be 

in place. 

AB . 7 . 4 Nitrate and Phosphate Levels in Drain Water T3 



Major Must 

Major Must 

Minor Must 

Minor Must 

Recom. 

Minor Must









AB . 7 . 4 . 1 Are AQUACULTURE local limits in accordance BASE with national and international legislation It is the responsibility of producers or producer organizations to ensure Major Must 

as implemented and enforced by the relevant competent authority? any product does not result in unacceptable enrichment of waste water 

(nitrate and phosphate for example). Producers and workers must be 

able to demonstrate compliance and knowledge of legislation at interview. 

AB . 7 . 4 . 2 Subject to risk assessment, is organic waste stored in an appropriate 

manner to reduce the risk of contamination of the environment? 

All sites must be assessed to prove that the storage of organic wastes are 

only in designated areas which are at least 25 meters from the direct 

water sources such as surface water. 

AB . 7 . 5 Predator Control T3 

AB . 7 . 5 . 1 Are predator controls implemented so as to prevent unnecessary 

wildlife destruction by the use of preventative measures or scaring 

devices? 

AB . 7 . 5 . 2 Where destruction of predators is unavoidable, is this within the 

constraints of legislation? 

An effective predator control plan must be in place. Predator control 

records (mortalities, species, dates) must be present. 

Legal permit allowing destruction of predators (stating numbers and 

species) should be present. Listed, protected or endangered species may 

NOT be killed. Producers should report bird and mammal mortalities. 

AB . 7 . 6 Escapes and Non-Indigenous Species T3 

AB . 7 . 6 . 1 Is there a standard operating procedure in the ERA/EMP (see 7.1.2 

and 7.1.4) in place to ensure there is no escape of farmed stock into 

the sea or local fresh water course? 

The Contingency Plans and records of all escaped fish for the previous 

twelve months and confirmation that they have all been reported to the 

authorities for all sites must be in place. No N/A 

AB . 8 WATER USAGE AND DISPOSAL ( Cross-reference with the Environmental Management Plan AB 7.1.2 - Aqua Base) T2 

AB . 8 . 1 General 

AB . 8 . 1 . 1 Does water abstraction and discharge meet the requirements set by 

the competent authority? 

AB . 8 . 1 . 2 If required by the authorities, does the farm have an environmental or 

biological parameter as a guideline for the surrounding water 

(environmental assimilative capacity)? 

AB . 8 . 1 . 3 Is water quality monitored of the discharged water and/or the recipient 

water body in view of the EIA of holding facilities? 

AB . 8 . 1 . 4 Is the aspect of suspended solids in the recipient water body 

especially addressed in the EIA/EMP and in the farm infrastructure? 

AB . 8 . 1 . 5 Are collected solids waste (sludge) disposed of in an appropriate 

manner? 

The records of licenses and abstraction rights for each site, plus 

abstraction amounts taken over twelve months must be in place. 

The Environmental Impact Assessment must be assessed for each site. 

N/A if the parameter is not required by the authorities. 

Major Must 

Minor Must 

Minor Must 

Major Must 

Major Must 

Major Must 

The records of water monitoring must be available. Minor Must 

Within the EIA/EMP, the aspect of release and management of 

suspended solids in the recipient water body must be explicitly 

implemented. 

Disposal of solids waste (sludge) is done according to legislation. When 

no legislation is in place, the solids are gathered and disposed of in a 

separate and controlled area subject to the EIA/EMP. 



Minor Must 

Minor Must









AB . 8 . 1 . 6 Are AQUACULTURE samples taken in BASE sediment of the recipient water body once per Benthic life of the recipient water body (where net pens or farm effluents Recom. 

fish generation for diversity of the macrozoobenthos? 

are located) should not be significantly negatively affected. Therefore, 

monitoring of benthic life and monitoring of possible accumulations of 

sediment should take place. The records and reports for benthic surveys 

and sediment must be in place. 

AB . 8 . 1 . 7 Is fresh ground water not used to lower the salt concentrations? Well water or potable water must not be used to lower salt concentration 

of pond water. 

Major Must 

AB . 8 . 1 . 8 Is the minimized use of water encouraged? The farm has a policy to minimize the use water as much as possible. Recom. 

AB . 8 . 1 . 9 Is the impact of emissions through the water on biodiversity monitored 

and minimized as part the environmental management plan? 

EMP must include managing impact of water use and exchange on 

biodiversity. 

AB . 8 . 2 Supply / Quality of Ice T3 

AB . 8 . 2 . 1 If ice comes in contact with the product, is it initially manufactured 

from potable water according to applicable legislative requirements 

and transported in hygienic containers? Is this protected from 

potential cross contamination? 

AB . 8 . 2 . 2 Are all processing aids/additives to the water used in ice making (i.e. 

salt) human food grade? 

The records of ice supplier, verification of water quality used and 

containers for transport for all ice suppliers must be in place. N/A if ice is 

not used. 

The list of additives and licenses for use as human food grade must be in 

place. N/A if ice is not used. 

Major Must 

Major Must 

Major Must 

AB . 9 CAGE PRODUCTION T2 

AB . 9 . 1 Does the bottom of the net never touches the bottom of the water The records of depths from Charts and sounders against depth of nets for Minor Must 

body? 

all sites must be in place. 

AB . 10 SAMPLING AND TESTING T2 

AB . 10 . 1 Is the sampling programme based on likely contaminants, residues The sampling procedures and plan for all laboratory tests on feed, raw Major Must 

and substances for the type of aquaculture practiced and has analysis materials and fish must be in place. List of substances to be analyzed 

of these risks been incorporated into the Veterinary Health Plan based on local/national legislation, requirements given by purchaser and 

(VHP, see 5.2.3)? 

on the Veterinary Health Plan. No N/A 

AB . 10 . 2 For all laboratory tests to be done as result of compliance of AB 10.1 Inspect records of samples taken with batches and sample numbers. Major Must 

, are duplicate samples taken and held for independent analysis, 

using identification numbers and security seals to eliminate mixing of 

samples? 

Samples taken might include feed used in farm. 

AB . 10 . 3 Is the laboratory used for testing accredited to ISO 17025 or 

There is clear documented evidence either on the letter headings or Major Must 

equivalent standard? 

copies of accreditations etc. that the laboratories used for chemicals 

residue analysis have been accredited to the applicable scope to ISO 

17025 or an equivalent standard (in which case evidence of participation 

in proficiency tests is available). 











AB . 10 . 4 Are AQUACULTURE laboratory test results BASE traceable to the specific batch? The laboratory test results must be traceable to the specific batches. No Major Must 

N/A 



Table A 


INTEGRATED FARM ASSURANCE I AQUACULTURE BASE 


Impact Applicable law Working instruction 

1 Dispose of empty food bags Municipal license Dispose weekly on municipal dump 

2 Discharge of sludge Province regulation on coastal protection 2003. Use settling pond; clean every two months. 

3 Dispose settled sludge Municipal license; Directive on Fertilizers in 

Agriculture 

Code Ref.: IFA 3.0-2 CP 


Section: AB Annex1-Exs. ERA-EIA and EMP 


200 ton/year of sludge can be brought to the rubber tree farms; 

excessive must be brought to municipal dump. 

4 Use of electricity no Only use paddle wheels in accordance with working instruction 

on oxygen in ponds. 

5 Exhaust gases generator e.g. Governmental regulation 23/568 on 

exhaust gases. 

Yearly check on engine adjustment by dealer 

6 Pesticides for weed control Use only admitted products and follow working e.g. Only use “Herbclean” according to working instructions 

instructions. 

once a month. 

7 Use of diesel fuel no Diesel is only used by generator. See 3 and 4. 

8 Noise of the generator to surrounding neighbors Municipal permit; agreement with neighbors. Keep doors of generator housing closed. Use ventilator at high 

room temperatures. 

Table B 

Aquaculture Base ANNEX I: 

Examples of Environmental Impact Assessment (EIA), Environmental Risk Assessment (ERA) and respective Environmental Management Plans 

(EMPs) 

Example of Environmental Impact assessment (EIA) combined with the environmental Management plan (EMP) (Impacts inherent to farming operations) 

(Levels 4-7 in stages of Impact Assessment) 

Example of Environmental Risk Assessment (ERA) combined with the environmental Management plan (EMP) (realistic risks associated with farming 

operations) 

Risk Applicable law Preventive actions 

1 Empty food bags blow with the wind Municipal license Close the container every time. 

2 Sludge floating instead of settling; discharge 

into nature. 

Province regulation on coastal protection 2003. Stop discharge and clean settling pond. 

3 Excessive sludge production no Assess pond biomass; recalculate feeding regime. 

4 Leakage of fluid chemicals from the storage 

room 

Municipal license All fluids to be stored on dedicated storage devices. 

5 Diesel spilled into the ground Municipal license Diesel storage in approved tank on concrete floor; filling only 

under supervision 



Table C 


INTEGRATED FARM ASSURANCE I AQUACULTURE BASE 


Impact Ecological consequence Mitigation 

1 Conversion of natural habitats Loss of: fish breeding ground; endangered 

species habitat; 

Consider alternative sites 

2 Nutrient/ organic matter/sludge release to 

surrounding ecosystem 

Additional growth of weed and algae; oxygen 

depletion of bottom (dependant on tidal flow to 

avoid concentrations build up). 

Settlement ponds; limiting water exchange 

Code Ref.: IFA 3.0-2 CP 


Section: AB Annex1-Exs. ERA-EIA and EMP 


3 Infiltration of seawater in the ground Salinization of ground water; Change in No use of ground water for ponds; yearly monitoring of 

vegetation on site and downstream towards the surrounding ground water. 

sea 

4 Release of pathogens Endangering native species Prevention of escapes; effluent handling. 

Table D 

Example of Biodiversity Impact assessment. (Impacts inherent to farming operations) 

Example of biodiversity Risk Assessment and management plan (realistic risks to biodiversity associated with farming operations) 

Impact Ecological consequence Mitigation 

1 Fish or shrimp may escape Introduction of unwanted species or pathogens Prefer native species. Utmost precautions should be in place 

threatening native species. 

to prevent escapes. 

2 The settling pond with sludge is flooded by e.g. 

storm or spring tide 

Significant change in habitat in recipient water Dikes should be of above average height. 

3 Release of large quantities of chemicals Damage to aquatic life in recipient water Adequate storage; avoid excessive chemical stocks 



Impact Assessment 1 

Introduction 




Figure A: An overview of the principal stages of an EIA relevant to biodiversity 



Section: AB Annex2-Biodiversity incl EIA 


The Convention on Biological Diversity defines biodiversity as “the variability among living organisms from all sources including, amongst others, terrestrial, marine and other aquatic 

ecosystems and the ecological complexes of which they are part; this includes diversity within species, between species and of ecosystems.” 

Biodiversity in more simple terms is the variety of life on earth at all levels, from genes to worldwide populations of the same species; from communities of species sharing the same 

small area of habitat to worldwide ecosystems. 

Environmental Impact Assessment provides opportunities to ensure that biodiversity values are recognized and taken into account in decision-making. Importantly, this involves a 

participatory approach with people who might be affected by a proposal (those living in or around site), which is also a key indicator as to the quality and credibility of the 

assessment. 

1 For key reference documents see International Association of Impact Assessment (IAIA): http://www.iaia.org/modx/index.php?id=155 & http://www.iaia.org/modx/index.php?id=74 



Operating principles 




• Support endemic, rare, declining habitats/species/genotypes. 

• Support genotypes and species whose presence is a prerequisite for the persistence of other species. 

• Act as a buffer, linking habitat or ecological corridor, or play an important part in maintaining environmental quality. 

• Have important seasonal uses or are critical for migration. 

• Support habitats, species populations, ecosystems that are vulnerable, threatened throughout their range and slow to recover. 

• Support particularly large or continuous areas of previously undisturbed habitat. 

• Act as refuge for biodiversity during climate change, enabling persistence and continuation of evolutionary processes. 

• Support biodiversity for which mitigation is difficult or its effectiveness unproven including habitats that take a long time to develop characteristic biodiversity. 

• Are currently poor in biodiversity but have potential to develop high biodiversity with appropriate intervention. 





1. Screening - to determine whether or not a proposal should be subject to EIA and, if so, at what level of detail. Use biodiversity inclusive screening criteria to determine whether 

important biodiversity resources may be affected. Biodiversity screening “triggers” for IA should include: 

• Potential impacts on protected areas and areas supporting protected species. 

• Impacts on other areas that are not protected but are important for biodiversity (see High Conservation Value Areas box below). 

• Activities posing a particular threat to biodiversity (in terms of their type, magnitude, location, duration, timing, reversibility). 

• Areas that provide important ecosystem services including indigenous people’s territories, wetlands, fish breeding grounds, soils prone to erosion or acidification, relatively 

undisturbed or characteristic habitat, flood storage areas, groundwater recharge areas, etc. 

Encourage development of a biodiversity screening map indicating important biodiversity values and ecosystem services. If possible, integrate this activity with the development of a 

National Biodiversity Strategy and Action Plan (NBSAP) and/or biodiversity planning at sub-national levels (e.g. Coastal Zone Management Plans in regions, local authorities, towns) 

to identify conservation priorities and targets. 

Areas of High Conservation Value are those that: 

2. Scoping and 3. Baseline study - to identify the issues and impacts that are likely to be important and to establish terms of reference for EIA. Use scoping as an opportunity to 

raise awareness of biodiversity concerns and discuss alternatives to avoid or minimize negative impacts on biodiversity. 










It is good practice to produce a scoping report for consultation. This should address the following issues (on the basis of existing information and any preliminary surveys or 

discussions): 

1. The type of project, program, plan or policy, possible alternatives and a summary of activities likely to affect biodiversity 

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

3. Expected biophysical changes (in soil, water, air, flora, fauna) resulting from proposed activities or induced by any socioeconomic changes 

4. Available information on baseline conditions 

5. Likely biodiversity impacts associated with the proposal in terms of composition, structure and function 

6. Biodiversity services and values identified in consultation with stakeholders and anticipated changes in these (highlight any irreversible impacts) 

7. Possible measures to avoid, minimize, or compensate for significant biodiversity damage or loss, making reference to any legal requirements 

8. Proposed IA methodology and timescale 

4. Impact prediction and evaluation. Address biodiversity at all appropriate levels and allow for enough survey time to take seasonal features into account. Focus on processes and 

services which are critical to human well-being and the integrity of ecosystems. Explain the main risks and opportunities for biodiversity. 

Questions to ask: 

At the gene level, to what extent will the proposal have significant effects on: 

• Opportunities for species populations to interact, e.g., by increasing habitat fragmentation and isolation? 

• Risk of extinction? 

At the species level, to what extent will the proposal: 

• Affect species identified as priorities in NBSAPs and/or sub national biodiversity plans (e.g. Red list Species)? 

• Increase the risk of invasion by alien species? 

At the ecosystem level, to what extent will the proposal: 

• Change the amount, quality or spatial organization of habitat? 

• Damage ecosystem processes and services, particularly those on which local communities rely? 

Finally: 

• If habitats will be lost or altered, is alternative habitat available to support associated species populations? 

• Are there opportunities to consolidate or connect habitats? 

Take an ecosystem approach and involve relevant stakeholders (including local communities). Consider the full range of factors affecting biodiversity. These include direct drivers of 

change associated with a proposal (e.g., land conversion and vegetation removal leading to loss of habitat—a key driver of biodiversity loss, emissions, disturbance, introduction of 

alien and genetically modified species, etc.); and indirect drivers of change which are harder to quantify, including demographic, economic, socio-political, cultural and technological 

processes or interventions. Evaluate impacts of alternatives with reference to the baseline situation. Compare against thresholds and objectives for biodiversity. Use NBSAPs, subnational 

biodiversity plans and other conservation reports for information and objectives. Take into account cumulative threats and impacts resulting either from repeated impacts of 

projects of the same or different nature over space and time, and/or from proposed plans, programs or policies. 










5. Mitigation. 

Remedial action can take several forms, i.e., avoidance (or prevention), mitigation (including restoration and rehabilitation of sites), and compensation. Apply the “positive planning 

approach,” where avoidance has priority and compensation is used as a last resort measure. 

Avoid “excuse”-type compensation. Look for opportunities to positively enhance biodiversity. Acknowledge that compensation will not always be possible; there will still be cases where 

it is appropriate to say “no” to development proposals on grounds of irreversible damage to biodiversity. 

6. Review and decision-making. 

Peer review of environmental reports with regard to biodiversity should be undertaken by a specialist with appropriate expertise, where biodiversity impacts are significant. Depending 

on the level of confidentiality of public decision-making, consideration should be given to the involvement of affected groups and civil society. 

Avoid pitting conservation goals against development goals; balance conservation with sustainable use for economically viable, and socially and ecologically sustainable solutions. 

For important biodiversity issues, apply the precautionary principle where information is insufficient and the no net loss principle in relation to irreversible losses associated with the 

proposal. 

7. Environmental Management Plan (incl. monitoring, evaluation and auditing plans) 

It is important to recognize that all prediction of biodiversity response to perturbation is uncertain, especially over long time frames. Management systems and programs, including 

clear management targets (or Limits of Acceptable Change (LC)) and appropriate monitoring, should be set in place to ensure that mitigation is effectively implemented, unforeseen 

negative effects are detected and addressed, and any negative trends are detected. Provision is made for regular auditing of impacts on biodiversity. Provision should be made for 

emergency response measures and/or contingency plans where upset or accident conditions could threaten biodiversity. 

8. Environmental Impact Statement 

One of the most effective ways to ensure that an EIA process is fair and credible is through full and public stakeholder engagement, with all affected and interested parties, and public 

disclosure of Environmental Impacts Statements. 



The Ramsar Convention on Wetlands 

Contracting Parties in order of their accession: 






Section: AB Annex3-Ramsar countries 


1 Australia 21.12.1975 35 Uruguay 22.09.1984 69 China 31.07.1992 

2 Finland 21.12.1975 36 Ireland 15.03.1985 70 Indonesia 08.08.1992 

3 Norway 21.12.1975 37 Suriname 22.11.1985 71 Argentina 04.09.1992 

4 Sweden 21.12.1975 38 Belgium 04.07.1986 72 Bangladesh 21.09.1992 

5 South Africa 21.12.1975 39 Mexico 04.11.1986 73 Czech Republic 01.01.1993 

6 Iran, Islamic Republic of 21.12.1975 40 France 01.12.1986 74 Slovakia 01.01.1993 

7 Greece 21.12.1975 41 USA 18.04.1987 75 Guinea 18.03.1993 

8 Bulgaria 24.01.1976 42 Gabon 30.04.1987 76 Trinidad and Tobago 21.04.1993 

9 United Kingdom 05.05.1976 43 Niger 30.08.1987 77 Papua New Guinea 16.07.1993 

10 Switzerland 16.05.1976 44 Mali 25.09.1987 78 Brazil 24.09.1993 

11 Germany 26.06.1976 45 Nepal 17.04.1988 79 Honduras 23.10.1993 

12 Pakistan 23.11.1976 46 Ghana 22.06.1988 80 Armenia 06.11.1993 

13 New Zealand 13.12.1976 47 Uganda 04.07.1988 81 Lithuania 20.12.1993 

14 Russian Federation 11.02.1977 48 Egypt 09.09.1988 82 Estonia 29.07.1994 

15 Italy 14.04.1977 49 Venezuela 23.11.1988 83 Philippines 08.11.1994 

16 Jordan 10.05.1977 50 Viet Nam 20.01.1989 84 Turkey 13.11.1994 

17 SFR/Yugoslavia) 27.04.1992 51 Malta 30.01.1989 85 Malaysia 10.03.1995 

18 Senegal 11.11.1977 52 Guinea-Bissau 14.05.1990 86 Comoros 09.06.1995 

19 Denmark 02.01.1978 53 Kenya 05.10.1990 87 The FYR of Macedonia 08.09.1995 

20 Poland 22.03.1978 54 Chad 13.10.1990 88 Paraguay 07.10.1995 

21 Iceland 02.04.1978 55 Sri Lanka 15.10.1990 89 Togo 04.11.1995 

22 Hungary 11.08.1979 56 Guatemala 26.10.1990 90 Latvia 25.11.1995 

23 Netherlands 23.09.1980 57 Bolivia 27.10.1990 91 Namibia 23.12.1995 

24 Japan 17.10.1980 58 Burkina Faso 27.10.1990 92 Albania 29.03.1996 

25 Morocco 20.10.1980 59 Panama 26.11.1990 93 Congo, Democratic Rep. of 18.05.1996 

26 Portugal 24.03.1981 60 Ecuador 07.01.1991 94 Cote d'Ivoire 27.06.1996 

27 Tunisia 24.03.1981 61 Croatia 25.06.1991 95 Gambia 16.01.1997 

28 Canada 15.05.1981 62 Slovenia 25.06.1991 96 Israel 12.03.1997 

29 Chile 27.11.1981 63 Romania 21.09.1991 97 Malawi 14.03.1997 

30 India 01.02.1982 64 Ukraine 01.12.1991 98 Botswana 09.04.1997 

31 Spain 04.09.1982 65 Liechtenstein 06.12.1991 99 Bahamas 07.06.1997 

32 Mauritania 22.02.1983 66 Zambia 28.12.1991 100 Georgia 07.06.1997 

33 Austria 16.04.1983 67 Peru 30.03.1992 101 Republic of Korea 28.07.1997 

34 Algeria 04.03.1984 68 Costa Rica 27.04.1992 102 Nicaragua 30.11.1997 








Section: AB Annex3-Ramsar countries 


103 Monaco 20.12.1997 121 Libyan Arab Jamahiriya 05.08.2000 139 Lesotho 01.11.2004 

104 Jamaica 07.02.1998 122 Moldova 20.10.2000 140 Marshall Islands 13.11.2004 

105 Bahrain 27.02.1998 123 Nigeria 02.02.2001 141 Mozambique 03.12.2004 

106 Mongolia 08.04.1998 124 Cuba 12.08.2001 142 Samoa 06.02.2005 

107 Syria 05.07.1998 125 Azerbaijan 21.09.2001 143 Myanmar 17.03.2005 

108 Luxembourg 15.08.1998 126 Cyprus 11.11.2001 144 Seychelles 22.03.2005 

109 Belize 22.08.1998 127 Tajikistan 18.11.2001 145 Sudan 07.05.2005 

110 Thailand 13.09.1998 128 Mauritius 30.09.2001 146 Antigua and Barbuda 02.10.2005 

111 Congo 18.10.1998 129 (succeeded) 01.03.1992 147 Cape Verde 18.11.2005 

112 Colombia 18.10.1998 130 Uzbekistan 08.02.2002 148 Rwanda 01.04.2006 

113 Madagascar 25.01.1999 131 Saint Lucia 19.06.2002 149 Central African Republic 05.04.2006 

114 El Salvador 22.05.1999 132 Dominican Republic 15.09.2002 150 Barbados 12.04.2006 

115 Lebanon 16.08.1999 133 Burundi 05.10.2002 151 Cameroon 20.07.2006 

116 Cambodia 23.10.1999 134 Kyrgyz Republic 12.03.2003 152 Fiji 11.08.2006 

117 Belarus (succeeded) 25.08.1991 135 Palau 18.02.2003 153 Sao Tome and Principe 21.12.2006 

118 Sierra Leone 13.04.2000 136 Djibouti 22.03.2003 154 Kazakhstan 02.05.2007 

119 Benin 24.05.2000 137 Liberia 02.11.2003 155 Montenegro (succeeded) 03.06.2006 

120 United Republic of Tanzania 13.08.2000 138 Equatorial Guinea 02.10.2003 156 United Arab Emirates 29.12.2007 



EDITION UPDATE REGISTER 

AQUA BASE 

Control Points 

and Compliance 

Criteria Version 

Replaces 

Replaced 

document 

obsolete 


INTEGRATED FARM ASSURANCE - AQUACULTURE BASE 


New document 

comes into force 

Description of Modifications 

1.0_1_Apr09 1.0_Apr08 29. Apr 09 29. Apr 09 

Changes in AB Module: Clarification of wording for Control Point: 

1.1.1; 1.1.5, 1.1.6, 1.2.5, 1.2.9, 1.3.2, 1.3.3, 2.1.3, 2.1.10, 2.1.11; 

3.1; 4.1.2, 4.2.4, 4.3.3; 5.1.1; 5.1.3; 5.2.3; 5.2.5; 5.3.4; 5.5.3; 5.6.1; 

5.6.2, 5.7.2, 7.3, 7.6.1, 8.1.5; 8.1.8; 9; 9.1; 

Clarification of wording for Compliance Criteria: 1.1.1, 1.2.3; 

1.2.5, 1.2.12; 1.3.1; 1.3.2; 2.1.3; 2.1.5; 2.1.10; 2.1.11; 2.2.4; 3.1; 

4.1.2; 4.2.4; 4.3.3; 5.1.1; 5.1.3; 5.1.5; 5.1.6; 5.1.8; 5.2.1; 5.2.3; 

5.2.5; 5.2.8; 5.2.9; 5.6.1, 5.9.6; 6.1.1; 6.2.3; 7.1.2; 8.1.5; 10.2 

1.0-2_Mar10 1.0-1_Apr09 03. Jun 10 3 Mar10 Modification of AB.6.1.2 

1. For detailed information of the modifications please contact GLOBALGAP Secretariat for the History document. 

2. When the changes do not affect the accreditation of the standard, the version will remain “3.0” and edition update shall be indicated with “-x”. 

3. When the changes do affect the accreditation of the standard, the version name will change to “3.x”. 


Version: AB V 1.0-2_Mar10 

Section: Edition Update Register AB 


GG_EG_IFA_CPCC_AB_PN_ENG_V1_0_2_Mar10.xls 




INTEGRATED FARM ASSURANCE | PANGASIUS 



PN 1 

PANGASIUS MODULE 

Scope: This module covers tra (Pangasianodon hypophthalmus ) and basa ( Pangasius bocourti ) 

HATCHERIES AND NURSERIES 

PN 1 . 1 Brood stock sources 

PN 1 . 1 . 1 

PN 1 . 1 . 2 

PN 1 . 1 . 3 

Is there no wild sourced brood stock used for food fish production 

programs? 

Wild sourced (first generation) brood stock is not allowed for food fish 

Major Must 

production programs. Records to show parent origin and timelines. No N/A 

All brood stock introduced for breeding programs must be quarantined. 

Are domesticated selected stocks of disease free and/or resistant brood 

Records must show source, shipping details, days in quarantine and 

stock used/ sourced to enhance biosecurity? 

conditions of quarantine (density, temperature, DO, pH, feeding regime). 

Are brood stock purchased from a GLOBALGAP (EUREPGAP) 

certified origin and certified according to official legislative 

requirements? (Maximum period of time: one year after first audit). 

Major Must 

The records and certificates must be available for inspection. 

Management must be able to demonstrate awareness at interview. 

Suppliers must be GLOBALGAP (EUREPGAP) or GLOBALGAP 

(EUREPGAP) Benchmarked scheme certified by the second annual audit. 

For initial compliance purposes, it is required that brood stock suppliers are 

registered on the GLOBALGAP (EUREPGAP) database (as GLOBALGAP 

Pangasius Farms) at the time of the Pangasius farmer´s first GLOBALGAP 

(EUREPGAP) audit and must be able to show proof of a Self-Assessment. 

A letter of certification commitment by next annual audit must be provided Major Must 

by the supplier. Full compliance at subsequent annual audits of the 

Pangasius Farms are required. 

After this first year, any additional brood stock suppliers that start supplying 

the already certified GLOBALGAP (EUREPGAP) Pangasius Farmer, have 

to have been registered on the GLOBALGAP (EUREPGAP) Database 

from the moment brood stocks are purchased, and must demonstrate 

GLOBALGAP (EUREPGAP) Certified Status at the first External Audit after 

they started supplying. No N/A 

PN 1 . 1 . 4 Are brood fish not used as fish for human consumption? Records of brood fish disposal must be available. Major Must 

PN 1 . 2 Fry and fingerling sources 

PN 1 . 2 . 1 Is there no wild fry/fingerling sourced in the farm? No wild fished stock is allowed. No N/A Major Must 



Spichernstr. 55, D-50672 Köln (Cologne); Germany | Tel: +49-221-57993-25; Fax: +49-221-57993-89 | http://www.globalgap.org 

Code Ref.:IFA 3.0 CP 

Version: PN 1.0-2_Mar10 

Page: 32 of 38





PN 1 . 2 . 2 

PN 1 . 3 Spawning 

PN 1 . 3 . 1 

PN 1 . 3 . 2 

Are fry/fingerlings purchased from a GLOBALGAP (EUREPGAP) 

certified hatchery, and certified according to official legislative 

requirements? (Maximum period of time: one year after first audit). 

Are hormones used for broodstocks in permitted list? Is dose used 

suitable to ensure broodstocks and fingerlings health? 

Are fish anaesthetized during the spawning and sperm collection to 

avoid stress for the fish? 

PN 1 . 3 . 3 Are anaesthetics used safe for the fish? 

PN 1 . 3 . 4 

Is the number of spawnings and sperm collection controlled to ensure 

fish health? 

PN 2 HUSBANDRY ON THE FARM 

PN 2 . 1 Infrastructure and construction 

PN 2 . 1 . 1 

Are procedures in place to prevent cross contamination through all 

production stages, including separate equipment? 

PN 2 . 2 Broodstock specification 

PN 

If any invasive method was used for marking the fish, are the fish 

2 . 2 . 1 

anesthetized before conducting the procedure? 

PN 2 . 3 Frequency of Mortality Inspection 

The records and certificates must be available for inspection. 

Management must be able to demonstrate awareness at interview. 

Suppliers must be GLOBALGAP (EUREPGAP) or GLOBALGAP 

(EUREPGAP) Benchmarked scheme certified by the second annual audit. 

For initial compliance purposes, it is required that fry/fingerling suppliers 

are registered on the GLOBALGAP database (as GLOBALGAP 

(EUREPGAP) Pangasius fry/fingerling Farms) at the time of the Pangasius 

farmer´s first GLOBALGAP (EUREPGAP) audit and must be able to show 

proof of a Self-Assessment. A letter of certification commitment by next Major Must 

annual audit must be provided by the supplier. Full compliance at 

subsequent annual audits of the Pangasius Farms are required. 

After this first year, any additional fra/fingerling suppliers that start 

supplying the already certified GLOBALGAP (EUREPGAP) Pangasius 

Farmer, have to have been registered on the GLOBALGAP Database from 

the moment fry/fingerling are purchased, and must demonstrate 

GLOBALGAP (EUREPGAP) Certified Status at the first External Audit after 

they started supplying. No N/A 

The use of hormones should be in compliance with the regulations of the 

production and importing countries. Hormones should be used according 

to the suppliers’ guidance. 

Anaesthesia should be used to avoid stress for the fish. Records of use 

should be available for inspection. 

Minor Must 

Major Must 

Regulations (if existing) for using anaesthetics must be available and be 

complied with during the spawning and sperm collection. Anaesthesia must 

Minor Must 

not be in banned lists. Spawning and sperm collection records must be 

available at the hatchery. 

Spawning must not be more than 2 times / year /fish and sperm collection 

should not be more than 1 /month/fish. Review broodstocks records. 

Clear disinfection / bio-security procedures are available especially 

between the broodstock area and holding spaces of earlier life stages. 

Document review (if applicable) and on site assessment. 

Major Must 

Major Must 

Records must show the use of anesthetics (if applied). Minor Must 






Page: 33 of 38





PN 2 . 3 . 1 Is mortality inspection done daily? 

PN 2 . 4 Site Management 

PN 2 . 4 . 1 

Are new farm sites or plans of new sites only located in areas where 

pangasius is already present? 

PN. 3 GROW-OUT PONDS / CAGES / ENCLOSURES 

PN 3 . 1 Water quality - Ponds 

Is inlet / outlet water quality in compliance with existing applicable local 

PN 3 . 1 . 1 

regulations? Where no such regulations exist, are there facilities for 

effluent treatment available in order to minimize polluting the open 

water? 

PN 3 . 2 Pond fertilization and treatment 

PN 3 . 2 . 1 Is sewage or manure not used as fertilizer? 

PN 3 . 2 . 2 

When pond rearing is based on, or complemented with inorganic 

fertilization, are records kept of fertilizers added to the pond, and 

quantities, throughout the production period? 

The mortality records must be available for inspection. Mortalities should 

be removed at least once per day. 

Major Must 

No pangasius farms to start operations in natural water bodies (or 

connected to natural water bodies) where pangasius is not already 

Major Must 

established or native. Applicalble in regions where pangasius will survive in 

the natural water body. 

The sampling results, sampling plan and records of appropriate corrective 

actions following evaluation must be available for inspection. On-site 

assessment of the facilities. No N/A. 

No treated or untreated sewage waters and animal manure are used on 

the farm. No N/A 

Records of fertilizer added to pond and quantities throughout production 

period must be available for inspection. 

Major Must 

Major Must 

Major Must 

PN 3 . 2 . 3 Do farms control sediments in ponds and canals? Visual inspection. Records of inspection available on site. Minor Must 

PN 

Is dredged sediment properly disposed of and not deposited in 

3 . 2 . 4 

sensitive natural habitats? 

Visual inspection. Records of inspection available on site. Major Must 

PN 

When the pond is drained, is there a system in place to avoid escapes 

3 . 2 . 5 

in natural water bodies? 

Visual inspection of a system in place to avoid escapes when pond 

drainage occurs. 

Major Must 

PN 3 . 3 Fingerling movement (if done in containers) 

PN 

The stocking density during transport, which will be determined by the 

nature of the transport, set by legislation or customer requirements, shall 

Is fingerling transportation density and water oxygenation controlled to 

3 . 3 . 1 not be exceeded. Inspection of stocking records must be in place. Water 

reduce fish stress? 

oxygenation is monitored during transport. Records of mortalities must be 

reviewed. 

Is the hygiene of transport vessels carried out using chemicals that are 

Minor Must 

PN 3 . 3 . 2 suitable for discharge into the water body or is the water discharged to 

a sanitary sewage system? 

Records must be available for inspection. Visual inspection. Recom. 

PN 3 . 4 Waste management - Ponds 

PN 3 . 4 . 1 

Is discharged water in compliance with existing regulations on farm 

effluent quality? 

The sampling results, sampling plan and records of appropriate corrective 

actions following evaluation must be available for inspection. 

Major Must 

PN 3 . 5 Health management - Ponds 

PN 

Is there a disinfection procedure in place between harvests and re- 

3 . 5 . 1 

stocking? 

Procedures for disinfection and records must be available. Minor Must 

PN 4 HARVESTING (for on-site harvests or when N/A to be verified in processing during Chain of Custody audit) 






Page: 34 of 38





PN 4 . 1 Labelling / Traceability of Harvested fish 

PN 4 . 1 . 1 Is traceability of the harvested fish maintained up to the process line? The farm database for all stocks must be available for inspection. No N/A Major Must 

PN 4 . 1 . 2 

PN 4 . 1 . 3 

PN 4 . 1 . 4 

Where harvest containers are being used, is each bin individually 

labelled to ensure traceability? 

Is traceability of a batch of fish possible from the packing case back to 

the brood stock either electronically or using paper records? 

Are all sites of the aquatic production process geographically 

described? 

PN 4 . 2 Stunning method and efficiency 

Visual check on harvest container numbers and records. No paper or 

carton with ink is allowed to be in direct contact with the fish. No N/A 

Traceability records through lifecycle must be available for inspection. Staff 

must be able to demonstrate awareness at interview. No N/A 

All sites where the actual aquatic production takes place (ponds, net pens, 

tank facilities) must be identified by their geographical coordinates 

(degrees and minutes latitude and longitude). The coordinates must be 

with an accuracy of two decimals in the geographical minutes (e.g. 15º 

22,65' N ; 22º 43,78' E ) and should refer to the centre of the production 

site (smaller sites; 1 ha.) and shall be registered in the GLOBALGAP 

Database through the field passport. No N/A. 

Major Must 

Major Must 

Major Must 

PN 4 . 2 . 1 Is fish effectively stunned prior to bleeding? Fish are stunned using thermal shock or other humane stunning method. Major Must 

PN 4 . 2 . 2 

Are operatives trained in stunning practices? Are fish rendered into a 

state of unconsciousness that persists until death has occurred? 

PN 4 . 3 Bleeding conditions 

PN 4 . 3 . 1 

PN 4 . 3 . 2 

PN 4 . 3 . 3 

Is the temperature of the fish at harvesting (slaughter) reduced as 

quickly as possible to the temperature of melting ice, for product 

destined to be processed fresh, without freezing the product? 

Immediately following unconsciousness, is the fish effectively bled? Is 

there in place a protocol for ensuring this monitoring? 

Are all waste blood waters collected and treated with disinfectant 

before disposal in the authorised manner? 

PN 5 PROTECTED AREAS AND OTHER HIGH CONSERVATION VALUE AREAS 

Records of training in stunning practices. Visual assessment that fish are 

rendered into a state of unconsciousness that persists until death has 

occurred. 

Working instructions must ensure appropriate use of ice. The temperature 

log records and/or visual records on the presence of ice upon receive at 

processing must be made available for inspection. 

The protocol to ensure that the cause of death for the fish will be 

exsanguinations by bleeding must be available for inspection. Staff must 

be able to demonstrate awareness at interview and where possible this is 

verified during the harvesting process by the auditor. 

Major Must 

Major Must 

Major Must 

All blood water must be contained in suitable containers for onward 

disposal using a method approved by the Local Authority. Check collection Major Must 

and disposal records. 






Page: 35 of 38





PN 5 . 1 

PN 5 . 2 

PN 5 . 3 

PN 5 . 4 

Has the new pond, farm site or related facilities NOT been 

established within a designated national Protected Area (PA), PAs 

with IUCN categories Ia through to IV, or areas defined under 

international conventions (such as RAMSAR or World Heritage)? If 

within PA IUCN category V or VI, consent of PA management 

required. 

Has the new pond, farm site or related facilities NOT been 

established (before April 2009) in areas that were previously within a 

mangrove ecosystem, within the natural inter-tidal zone, or a High 

Conservation Value Area. 

There is evidence that the area is not within a Protected Area (PA). The 

World Database on Protected Areas (WDPA) is the most complete 

compilation of protected areas data available. The 'WDPA Consortium 

2006 web-download', contains the 2006 version of the World Database on 

Protected Areas (WDPA). This web-download includes all the GIS and 

attribute data for designated national protected areas with IUCN categories 

Ia through to VI, designated national protected areas without an IUCN 

Category, and areas defined under international conventions and Major Must 

agreements. The datasets are available as free downloads at: 

http://www.unep-wcmc.org/wdpa/. Evidence to include: Geographic 

Location provided at registration. If present within PA category V or VI, 

auditor to contact PA authorities to establish if farm is in line with 

management objectives of PA. Information made public. See AB Annex 3 

the Contracting Parties in order of their accession - Ramsar Convention on 

Wetlands. No N/A 

If built after April 2009, there is evidence that the area was NOT previously 

part of a mangrove ecosystem, within the natural inter-tidal zone, or a High 

Conservation Value Area (Values 1-4) before April 2009. Evidence to be 

checked within biodiversity inclusive EIA, and to include: Record of land Major Must 

use/status and habitat types prior to farm building, presence of IUCN 

Redlist species, remote sensing/satellite imagery. Information made public. 

No N/A 

Farms established between May 1999 and April 2009 within There is written Rehabilitation Plan containing at least objective, time 

mangroves, the natural inter-tidal zone or a High Conservation Value frame, means, activities, expected output and financing and compensation 

Area must show evidence that they are in process of being retired, provision in agreement with local communities. Evidence of recent funding 

rehabilitating area and if necessary compensating surrounding of rehabilitation (plans) is available. Information made public. Background: 

communities. Certificate is valid for maximum of 3 years for the Convention on Wetlands (Ramsar) - Resolution VII.21 entitled “Enhancing 

process to be completed, after which it is removed and new location if the conservation and wise use of intertidal wetlands”, adopted at 7th 

any outside these areas considered for certification. 

Meeting of the Conference of the Contracting Parties to the Convention on 

Wetlands, San José, Costa Rica, 10-18 May 1999. Article 15: “Contracting 

Parties to suspend the promotion, creation of new facilities, and expansion 

of unsustainable aquaculture activities harmful to coastal wetlands...“ 

Do farms within inter-tidal, mangrove and High Conservation Value There is written restoration plan containing at least objective, means, 

areas improve the environment through management and restoration, activities, expected output and financing and compensation provision in 

retiring non-compliant ponds and increasing productivity of remaining agreement with local communities. Evidence of recent funding of 

farm areas above the inter-tidal zone? 

rehabilitation (plans) is available. When operations in mangroves or intertidal 

areas, No N/A 




Major Must 

Major Must 



Page: 36 of 38





PN 5 . 5 

PN 5 . 6 

PN 5 . 7 

PN 5 . 8 

PN 6 

PN 6 . 1 

Were mangroves removed for allowable purposes? The removal of mangrove vegetation is only allowed for channels or piping 

for sites above the inter-tidal areas, and when official permits of the public 

sector have been granted and when a rehabilitation plan is part of the 

permit. 

Are measures taken to control seepage and avoid contaminations of 

aquifers and surface fresh water bodies? 

Is removed sediment properly contained and located to prevent the 

salinization of soil and groundwater and not cause other ecological 

nuisances as placing it in mangrove or other sensitive areas? 

Seepage and contaminations of aquifers and surface fresh water bodies is 

prevented with measures. Cross reference with AB 7.1.6. 

Removed sediment is properly contained and located. The dump is 

constructed to prevent the salinization of soil and groundwater and not 

cause other ecological nuisances as placing it in mangrove or in other 

sensitive areas. 

Is there a Rehabilitation Plan for when production at site finishes? There is written Rehabilitation Plan containing at least objective, means, 

activities, expected output and financing. When operations in mangroves 

or other sensitive ecosystems. No N/A 

SOCIAL CRITERIA 

Has the GLOBALGAP GRASP Module been assessed and made 

accessible via the GLOBALGAP data base? 

Major Must 

Minor Must 

Major Must 

Minor Must 

The GLOBALGAP GRASP Module has been assessed and accessible to Major Must 

customer via GLOBALGAP data base. All control points of social criteria 

must be audited and commented before uploading checklist into data base. 

No N/A. 






Page: 37 of 38

EDITION UPDATE REGISTER 

PANGASIUS 

Control Points 

and Compliance 

Criteria Version 

Replaces 

Replaced 

document 

obsolete 


INTEGRATED FARM ASSURANCE - PANGASIUS (PN) 


New document comes 

into force 

Description of Modifications 

1.0-2_Mar10 1.0_Apr09 03. Jun 10 3. Mar 10 Modification of AB.6.1.2 

1. For detailed information of the modifications please contact GLOBALGAP Secretariat for the History document. 

2. When the changes do not affect the accreditation of the standard, the version will remain “3.0” and edition update shall be indicated with “-x”. 

3. When the changes do affect the accreditation of the standard, the version name will change to “3.x”. 


Version: AB 1.0-2_Mar1ß 

Section: Edition Update Register PN

Pangasius - GlobalGAP

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