NHA TRANG F17 - Draft Report

Instructions and disclaimers General: The announcement and report shall be submitted via mail to ASC in Excel if not specified differently: certification@asc-aqua.org If you would like to register a problem or issue with the document or wish to leave feedback and suggestions for improvements, please contact: certification@asc-aqua.org All fields must be visible in Excel format and no field shall be omitted or deleted ASC reserves the right to refuse to publish incomplete and low quality reports This document has been developed in collaboration with the ASC Programme Assurance team and Standards & Science team for ASC single-site, multi-site and group certification farm audits A copy of all documents (Audit reports templates, confidential annexes etc.) are uploaded on to the ASC website and are publicly available Only fully completed forms are accepted by the ASC Incomplete forms may lead to a delay in the certification process In case the audit report template for Multi-site and Group-certification does not contain enough site rows for the amount of sites applicable for a specific applicant, please contact certification@asc-aqua.org How to use this document This document layout is formatted into tables for data entry and questions to record answers and evidence You can adjust the width of the columns to display all information Users shall not delete any rows or columns Data filled out in the audit announcement (form 3) sheet, will be automatically populated in the audit report itself Be aware that there are different types of audit report templates: Single-site, Multi-site and Group certification Next to these templates, there is the Audit Report Template V2.0 Confidential Annex, applicable to the different versions of the audit report template Document type - PDF conversion - Guidance Always save your document as a macro-enabled spreadsheet (click on ''File'', ''Save As'' and make sure the document type is saved as ''Excel Macro-Enabled Workbook'') If your audit team plans to work on a shared online document - ensure the platform app supports macro-enabled functionality Please not delete any rows, columns, fields or sheets (except for irrelevant species sheets) As the template is running multiple macros and formulas in the background, it is NOT possible to take out any sheets and copy paste them back in To safe the full excel document as a pdf, please follow these steps: Click on ''File'', ''Save As'' Select PDF as document type and click on ''more options'' Click on ''options'' in the box that shows up Set ''page range'' to All and set ''publish what'' to Entire workbook and click on ''ok'' Click on ''Save'' and the entire document will be saved as a PDF document in the correct format Extra note: The page layout is selected in a way that all tables are visible in the PDF Tables may appear small, however it is possible to read them by using the PDF zoom function Spelling Check How to run the excel spell check in this document? - This can be enabled with the following key combination: Ctrl + Shift + S - This opens the spell-check dialogue box, cycling through all the recognised spelling mistakes - After the last recognised mistake is address - the dialogue closes and the worksheet is automatically locked again - If there are no mistakes the dialogue box does not open - This then needs to be repeated for each worksheet with audit data (The spell check ignores capitalised abbreviations - but will still identify mix abbreviations as mistakes e.g UoC) What if changes are made? If changes were made e.g from the announcement to the audit report or when an updated report is submitted to ASC, ALL cells containing changes shall be highlighted in yellow for transparency reasons, and as far as possible a clear statement on the update shall be made in the respective field Confidential information - Data protection and publication of reports All fields in the announcement and audit report are mandatory and shall be filled out and will be made publicly available However, should the client or CAB desire to submit certain data confidentially (e.g for GDPR or commercial sensitivity reasons), this data can be entered in the confidential annexes, which are provided in a separate document than this audit report template Please BE AWARE that confidential Annex-3 is always mandatory to be filled out and shall be submitted to the ASC, together with the audit report Confidential annexes will NOT be made publicly available Comments or guidance For a lot of the fields in the announcement and audit report, a guidance field pops up as soon as the field is selected Some fields are marked with a red triangle in the corner, meaning that the field contains a guidance comment Data restrictions & conditional formatting This audit report template contains a lot of fields with data validation and data restriction fields, allowing for only a certain type of data to be filled out in the specific field (For example, date fields, picklists, numbers etc.) Please ONLY fill out the requested type of data If not filled out correctly, an error message will pop up, giving guidance to enter the correct type of data The audit report template also contains a lot of fields with conditional formatting, meaning that cells or field will be highlighted, based on the type of data filled out Some cells are highlighted with red, these will change to blue when data is entered into the cell This makes it easier to detect fields that are not filled out, but shall be filled out Please note that all fields are required and shall be filled out Link to all the sheets Audit Announcement (Form3) 1) General, client-CAB info 2) Audit Information 3) Site information 4) Harvest witnessing 5) Stakeholder engagement 6) Social Audit 7) Traceability risk assessment 8) UoC volumes&Audit Closing 9) Open & Extended NCs 10) BEIA-PSIA checklist Audit findings ''species'' Audit Announcement (Form 3) Please note that all data entered in this audit announcement sheet will be automatically populated to the specific fields in the sheets of the audit report itself SiteID(s) is/are provided by ASC in the confirmation email of the publication of this Form General, client/CAB information 1.1 1.2 1.3 1.4 1.4.1 1.4.2 1.5 1.6 1.7 1.8 Document Type Document language Second document language Unit of certification type Company name UoC Name Country where UoC is located ASC Standard Standard version Certification process is subject to CAR version Draft Report Vietnamese English Single Site NHA TRANG SEAPRODUCT COMPANY High Technical shrimp growing farm Vietnam Shrimp 1.1 2.2 1.9 Name of the Conformity assessment body (CAB) 1.15 1.16 1.17 1.18 1.19 1.20 Bureau Veritas Certification Holding SAS Client contact person - from the UoC First name Surname Position in the UoC (Job title) Email address Phone number Other means of contact e.g Skype Ms Vu Anh Thu Ms Vu Anh Thu Quality Assurance Department vuanhthu@nhatrangseafoods.vn 0258 383 1038 N/A Audit information 2.1 ASC standard principles covered by the audit 2.1.1 2.1.2 2.1.3 2.1.4 2.1.5 2.1.6 2.1.7 2.1.8 2.2 Activities covered under the scope of the certification and under the scope of the audit Activities in the table apply to final product only 2.2.1 2.2.2 2.2.3 2.2.4 2.2.5 2.2.6 2.2.7 2.2.8 2.2.9 2.2.10 2.2.11 2.2.12 2.3 2.4 2.5 2.6 2.6.1 2.7 ASC standard principles Covered Covered Covered Covered Covered Covered Covered Not Covered Principle Principle Principle Principle Principle Principle Principle Principle Activity Under scope of certification Under Scope of this audit Stocking Covered Covered Nursing Notes Covered Growing Out Covered Covered Covered Covered Covered Transferring Harvest Vaccination Fallowing Covered Covered Transportation Covered Covered Storage (if present at farm) Processing (if present at farm) Packing (if present at farm) Other (Please describe) Certification cycle Audit type Audit number in certification cycle Will harvesting be witnessed during audit? If harvest is NOT witnessed, please justify: Audit conducted (On-site/Remote): Initial audit Yes NA On-site Please indicate the hours assigned to the different audit activities in the table below, separated by the hours spend on the activities by the environmental- and social auditor(s): 2.8 Time assigned to audit activities Off-site activities On-site activities Total man days 2.9 2.10 Social Auditor(s) 1.25 Environmental auditor(s) 16 2.25 Audit team and other involved persons 2.11 Surname 2.12 First name 2.13 Role HONG THAO VI CUONG NGUYEN LY Audit team leader Social Auditor 2.14 2.15 Expertise needed for the audit Person on-site or (required for technical experts only) remote? On-site On-site Site information 3.2 3.3 Site name Ownership NHA TRANG SEAPRODUCT COMPANY- High Technical shrimp growing farm 3.4 3.6 Primary culture species Owned Cycle duration Whiteleg shrimp (Litopenaeus vannamei) Short-cycle species (≤6 months) 3.13 3.14 Latitude (N, S) Longitude (E,W) (00.000000)* (00.000000)* 12.654772 109.200936 3.15 3.16 Production system* Number of Start date of audit production units Cages - circular plastic 3.17 62 Thursday, April 22, 2021 3.18 End date of audit Friday, April 23, 2021 Stakeholder engagement 4.1 Name of Company/ Organisation if applicable 4.2 Contact person - First name Liên minh hợp tác xã / Union of Cooperatives Liên minh hợp tác xã / Union of Cooperatives Hội phụ nữ / Women union Hội phụ nữ / Women union Hội nông dân / Farmer Association Hội nông dân / Farmer Association Sở Nông nghiệp Phát triển Nông thôn / Department of Agriculture Sở Nôngand nghiệp Rural Development Phát triển Nông thôn / Department of Agriculture and Rural Development Chủ tịch xã Vạn Hưng/ President of Van Hung Ward Trưởng thôn Xuân Đông/ President of Xuan Dong Commune GĐ trung tâm giống Viện nghiên cứu nuôi trồng thủy sản 3/ Director of RESEACH INSTITUTE FOR AQUACULTURE NO Sở Nông nghiệp Phát triển Nông thôn / Department of Agriculture and Rural Development Hộ nuôi lân cận/ Neigbour farmer Hộ nuôi lân cận/ Neigbour farmer Hộ nuôi lân cận/ Neigbour farmer Mr Trần Thanh Tòng 4.3 Contact person - Surname 4.4 4.5 Country where stakeholder is based Email address of contact person/ stakeholder 4.6 Stakeholder type Liên minh hợp tác xã / Union of Cooperatives Hội phụ nữ / Women union Hội nông dân / Farmer Association Sở Nông nghiệp Phát triển Nông thôn / Department of Agriculture and Rural Development Vietnam Vietnam Vietnam Vietnam Vietnam Government Government Government Government Government Mr Trần Thanh Tòng Mr Trần Trung Tiến Mr Trần Trung Tiến Mr Nguyễn Hữu Hùng Mr Nguyễn Hữu Hùng 058.3826125 02583.561.019 0258 3560 927 058.3822180 0396699770 Vietnam Mr Hoàng Diện Mr Nguyễn Hoàng Anh Tuấn Mr Nguyễn Thanh Thọ Mr Bảy Vietnam Vietnam Vietnam 4.9 Did the stakeholder submit comments? To be define To be define 14-Apr-21 Yes 14-Apr-21 Yes 14-Apr-21 Yes Government 14-Apr-21 Yes Government 14-Apr-21 Yes 0912676806 Vietnam Mr Hoàng Diện Mr Nguyễn Hoàng Anh Tuấn Mr Nguyễn Thanh Thọ Mr Bảy 4.8 Contact date stakeholder 14-Apr-21 Yes 0914656069 Vietnam 4.7 If stakeholder type "other" was selected what type? Neighbour 0913489223 0975433405 0394445090 0973075830 Neighbour Neighbour Neighbour 14-Apr-21 Yes 14-Apr-21 Yes 14-Apr-21 Yes 14-Apr-21 Yes 4.10 Stakeholder comments relate to what ASC standard indicator number? General, client/CAB information 1.1 1.2 1.3 1.4 1.4.1 1.4.2 1.5 1.6 1.7 1.8 Document Type Document language Second document language Unit of certification type Company name UoC name Country where UoC is located ASC Standard Standard version Certification process is subject to CAR version 1.9 Name of the Conformity assessment body (CAB) 1.15 1.16 1.17 1.18 1.19 1.20 Client contact person - from the UoC First name Surname Position in the UoC (Job title) Email address Phone number Other means of contact e.g Skype Draft Report Vietnamese English Single Site NHA TRANG SEAPRODUCT COMPANY High Technical shrimp growing farm Vietnam Shrimp 1.1 2.2 Bureau Veritas Certification Holding SAS Ms Vu Anh Thu Quality Assurance Department vuanhthu@nhatrangseafoods.vn 0258 383 1038 N/A Announcement and audit report 2) Audit information Audit Information Include the dates for publication of the announcement and draft reports before each respective submission 2.1 2.2 Date - Audit announcement published on ASC website Date - Draft report published on ASC website 2.3 2.4 2.5 Date - Final report submitted to ASC Audit ID ASC standard principles covered by the audit 2.5.1 2.5.2 2.5.3 2.5.4 2.5.5 2.5.6 2.5.7 2.6 Wednesday, March 10, 2021 Friday, June 4, 2021 provided by ASC with publication confirmation Principle Covered Principle Principle Principle Principle Principle Principle Principle Activity Activities covered under the scope of the certification and under the scope of the audit Activities in the table apply to final product only 2.6.1 2.6.2 2.6.3 2.6.4 2.6.5 2.6.6 2.6.7 2.6.8 2.6.9 2.6.10 2.6.11 2.6.12 2.7 2.8 2.9 2.10 Certification cycle Audit type Audit number in certification cycle Will harvesting be witnessed during audit? 2.10.1 If harvest is NOT witnessed, please justify: 2.11 Audit conducted (On-site/Remote): Stocking Covered Covered Covered Covered Covered Covered Not Covered Under scope of certification Under Scope of this audit Covered Covered Nursing Notes Covered Growing Out Covered Transferring Harvest Covered Covered Covered Covered Fallowing Covered Covered Transportation Covered Covered Vaccination Storage (if present at farm) Processing (if present at farm) Packing (if present at farm) Other (Please describe) Initial audit Yes NA On-site Please indicate the hours assigned to the different audit activities in the table below, separated by the hours spend on the activities by the environmental- and social auditor(s): 2.12.1 2.12.2 2.12.3 2.12 Time assigned to audit activities Off-site activities On-site activities Total man days Social Auditor(s) 1.25 Environmental auditor(s) 16 2.25 Audit team and other involved persons 2.13 Surname 2.14 First name 2.15 Role HONG THAO VI CUONG NGUYEN LY Social Auditor 2.16 Expertise needed for the audit (required for technical experts only) 2.17 Person on-site or remote? On-site On-site 4/130 Site information List all sites here, that are included in the certificate GIS, polygon data and map on site level validated by auditor? No 3.1 Site ID - provided by ASC with publication confirmation of audit announcement 3.2 Site name 3.3 Ownership S0003479 NHA TRANG Owned SEAPRODUCT COMPANYHigh Technical shrimp growing farm 3.4 Primary culture species 3.5 Secondary species (choose multiple species as relevant) Whiteleg shrimp (Litopenaeus vannamei) Giant tiger prawn (Penaeus monodon) 3.13 Latitude (N, S) (00.000000)* 12.654772 3.14 Longitude (E,W) (00.000000)* 3.15 Production system 109.200936 Tanks - Flow-through 3.16 Number of production units 3.17 Production type 62.000000 Monoculture 3.18 Production method Intensive 3.19 Date of inclusion into the UoC (for scope extension/group/multi-site) 3.20 Start date of audit 3.21 End date of audit ################## Friday, April 23, 2021 3.22 First date of juvenile stocking for the current production cycle 3.22.1 Estimated Number of months post audit to peak biomass/ first harvest 10-Feb-21 3.22.2 3.23 Status at the time of the List of other certificates (choose current audit multiple options as relevant) ≥ 75 % Biomass 3.23.1 List of other certificates: If 3.23 is ''Other'', please list the certificates: 3.24 Is the site partially certified? No 3.25 If partially certified, which part is not in the UoC and why? 3.26 The volumes indicated in the fields 3.27-3.30 apply to the following full calendar year: 3.26.1 Type of volumes indicated in 3.273.30 2021 Estimated volume 3.27 ASC-certified production volume (in Kg) 3.28 Non ASCcertified production volume (in Kg) 22230 3.29 Dispatched or sold as ASC-certified Volume (in Kg) 3.30 3.31 3.32 Dispatched or sold For Bivalve/Abalone: Note/ Other as non ASCVolumes indicate in information certified Volume 3.27 - 3.30 are given (in Kg) in live weight equivalent or volume without shell 22230 Harvest witnessing 4.1 Site ID - provided by ASC with publication confirmation of audit announcement S0003479 4.2 Site name NHA TRANG SEAPRODUCT COMPANY- High Technical shrimp growing farm 4.3 4.4 Date of witnessed harvest: Production unit ID: Thursday, April 22, 2021 B22 4.5 Volume harvested (in Kg): 1056.8 4.6 4.7 4.8 Average weight Partial harvest / Note/ Other information of animals (in g) full harvest: 86 Full harvest Pond B22, Stock on 17/02/2021, quantity: 120,000pcs Antibiotic testing no 224/HH/2021 on 22/04/2021 Result: ND Truck no.: 79C-098.01 Time: 13h00-14h00 Stakeholder engagement ASC takes data protection very seriously ASC will only use any personal information you give us in connection with the audit report For more information please read our privacy policy, which can be found here: ASC Privacy policy Provide stakeholder comments including CAB response, please use the confidential Annex-2 in case of any confidential data not to be published This table collects all the information relevant to stakeholders consulted during the audit process Each stakeholder should be entered into a separate row, ever where from the same company/organization 5.1 Name of Company/ Organisation if applicable 5.2 5.3 Contact person - First name Contact person - Surname Liên minh hợp tác xã / Union of Cooperatives Hội phụ nữ / Women union Liên minh hợp tác xã / Liên minh hợp tác xã / Union Union of Cooperatives of Cooperatives Hội phụ nữ / Women union Hội phụ nữ / Women union Vietnam Hội nông dân / Farmer Association 5.4 Country where stakeholder is based 5.5 Email address of contact person/ stakeholder 5.6 Stakeholder type 5.7 5.8 If stakeholder type "other" Contact date stakeholder was selected what type? 058.3826125 Government No comment 22-Apr 02583.561.019 Government Wednesday, April 14, 2021 Yes No comment 22-Apr To be define 5.9 Did the stakeholder submit comments? Yes 5.10 Stakeholder comments relate to what ASC standard indicator number? 5.11 Brief summary of points raised by stakeholder or complete submission 5.12 Date stakeholder submission was received 5.13 5.14 Date CAB responded Actual changes made due to to stakeholder stakeholder comment? 23-Apr Additional clarification provided in report 23-Apr Additional clarification provided in report 23-Apr Additional clarification provided in report 23-Apr Additional clarification provided in report Hội nông dân / Farmer Association Sở Nông nghiệp Phát triển Nông Sở Nông nghiệp Phát thôn / Department of Agriculture and triển Nông thôn / Rural Development Department of Agriculture and Rural Development Hội nông dân / Farmer Vietnam Association Sở Nông nghiệp Phát triển Vietnam Nông thôn / Department of Agriculture and Rural Development 0258 3560 927 Government Wednesday, April 14, 2021 Yes No comment 22-Apr 058.3822180 Government Wednesday, April 14, 2021 Yes No comment 22-Apr Chủ tịch xã Vạn Hưng/ President of Mr Trần Thanh Tịng Van Hung Ward Trưởng thơn Xn Đơng/ President of Mr Trần Trung Tiến Xuan Dong Commune Mr Trần Thanh Tòng Vietnam 0914656069 Government Wednesday, April 14, 2021 Yes Vietnam 0396699770 Government Wednesday, April 14, 2021 Yes Comply with laws on environment and aquaculture There is cohesion with the community, no complaints from residents 22-Apr Mr Trần Trung Tiến GĐ trung tâm giống Viện nghiên cứu Mr Nguyễn Hữu Hùng Mr Nguyễn Hữu Hùng nuôi trồng thủy sản 3/ Director of RESEACH INSTITUTE FOR AQUACULTURE NO Sở Nông nghiệp Phát triển Nơng Mr Hồng Diện Mr Hồng Diện thôn / Department of Agriculture and Rural Development Hộ nuôi lân cận/ Neigbour farmer Mr Nguyễn Hoàng Anh Tuấn Mr Nguyễn Hoàng Anh Tuấn Vietnam 0912676806 Government Wednesday, April 14, 2021 Yes There is cohesion with the community, no complaints from residents 22-Apr 23-Apr Additional clarification provided in report Vietnam 0913489223 Neighbour Wednesday, April 14, 2021 Yes There is cohesion with the community, no complaints from residents 22-Apr 23-Apr Additional clarification provided in report Vietnam 0975433405 Neighbour Wednesday, April 14, 2021 Yes There is cohesion with the community, no complaints from residents 22-Apr 23-Apr Additional clarification provided in report Hộ nuôi lân cận/ Neigbour farmer Mr Nguyễn Thanh Thọ Mr Nguyễn Thanh Thọ Vietnam 0394445090 Neighbour Wednesday, April 14, 2021 Yes There is cohesion with the community, no complaints from residents 22-Apr 23-Apr Additional clarification provided in report Hộ nuôi lân cận/ Neigbour farmer Mr Bảy Mr Bảy Vietnam 0973075830 Neighbour Wednesday, April 14, 2021 Yes There is cohesion with the community, no complaints from residents 22-Apr 23-Apr Additional clarification provided in report 22-Apr 23-Apr Additional clarification provided in report 23-Apr Additional clarification provided in report Announcement and audit report 1) General, Client and CAB information Social Requirements IMPORTANT NOTE This sheet, containing the social data, will be made publicly available Some parts (2 and 3) of the social requirements are included in the confidential Annex-3, and will not be made publicly available Please complete both sheets This information is ideally prepared for desk review, prior to the audit If this is not the case, the sheets are required to be filled out in the draft- and final audit report Date of review Thursday, April 22, 2021 Client's Information Please note that a lot of fields in this sheet contain data restrictions, where ONLY a number can be entered 6.1 Means of transportation between office and site(s) and between sites within UoC 6.1.1 Estimated travel time between office and site(s) and between sites within UoC 6.2 Number of complaints received from stakeholders over past 12 months 6.3 Number of resolved complaints 6.4 Average time to resolve complaints (days) 6.5 Last Social Impacts Assessment (SIA) conducted in (year) Car hour 0 2021 6.6 Name of nearby communities, Indigenous or not and the distance of the UoC to the nearest neighbouring community/-ies or neighbours (in km) 6.6.1 6.6.2 6.6.3 6.6.4 6.6.5 6.6.6 Name of nearby community Indigenous Distance of the UoC to the nearest neighbouring community/-ies or neighbours (in km) Xuan Dong Village Yes Standard Certified since (Date) Certified until (Date) N/A N/A N/A N/A Place of work Areas of work/processes 6.7 Social audits performed at UoC 6.7.1 6.7.2 6.7.3 6.7.4 6.7.5 6.7.6 SA8000 BSCI SMETA ISO 45000 ASC Others (specify) Name of subcontractors 6.8 Subcontractors 6.8.1 6.8.2 6.8.3 6.8.4 6.8.5 6.8.6 Date of last audit (Date) Evaluation result None List of documents submitted by UoC Only copies of listed documents are submitted to the CAB Unit of Certification (UoC) 6.9 Map/layout of UoC Submitted 6.10 List of sites/farms if multi-site or group Submitted 6.11 List of applicable laws and regulations, year of Not submitted release, authority 6.12 Agreement with adjacent community/ies, if any Submitted 6.13 Social Impacts Assessment report 6.14 List of subcontractors, if any, including their services, addresses 6.15 Agreement with labour contracts, if any 6.16 List of workers, their age, type of work (full/part time), nationality/-ies, shift and accommodation (if applicable) Submitted Not submitted Not submitted Not submitted Management system 6.17.1 6.17 Relevant policies and procedures: Workers training Grievance mechanism Non-discrimination Child and young labour Forced, bonded labour Health and safety risk assessment Age-verification Fire prevention 6.17.2 Exist Yes Yes Yes Yes Yes Yes Yes Yes 6.17.3 Policy Not submitted Not submitted Submitted Submitted Submitted Not submitted Not submitted Not submitted Procedure Submitted Submitted Not submitted Not submitted Not submitted Submitted Submitted Submitted 6.18 Certificate of compliance to other social Not submitted standard 6.19 Latest audit report of the other social standard Not submitted 6.20 Organisational chart of UoC 6.21 Job descriptions for workers for different functions 6.22 Product flow within UoC ASC Audit 6.23 Filled out audit preparation checklist(s) 6.24 Previous ASC audit report 6.25 Evidence of implementation of corrective actions for NCs Other records 6.26 Collective bargaining agreement, if exists 6.27 Accidents log and their status 6.28 Last inspection report related to workplace H&S 6.29 Minutes of the last workers' meeting 6.30 Minutes of health and safety meeting 6.31 Basic need wage calculation 6.32 List of chemicals used within UoC 6.33 Last inspection report of the housing provided to workers 6.34 Overtime calculation 6.35 Training records for workers on social related issues 6.36 Other (Please describe here) Submitted Not submitted Submitted Submitted N/A N/A Submitted Not submitted Not submitted Not submitted Not submitted Not submitted Submitted Submitted Submitted Submitted N/A CAB diligence ASC social audits 6.37 Number of social audits performed by the auditor in this country 6.38 Applicable laws and regulations 6.39 Required information and documents fully submitted Submitted 6.39.1 6.40 Topics/issues needing further research before on-site audit 20 Next steps Status None Onsite audit Ready for onsite inspection 6.41.2 Means of research 6.41.3 6.41.4 None 6.41.1 6.41 CAB's diligence to obtain additional information about the UoC Other social audits 400 Vietnamese labor law no 45/2019/QH14 Yes No Information/ Missing information and documents fully documents submitted Topics Rationale Outcome N/A 6.42 Changes since last audit N/A 8/130 C.vT.Bg.Jy.Lj.Tai lieu Luan vT.Bg.Jy.Lj van Luan an.vT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.Lj Do an.Tai lieu Luan van Luan an Do an.Tai lieu Luan van Luan an Do an ASC CAR 17.6.1-2 Substitution risk assessment Please note that auditor training on farm traceability is also covered in the MSC farm traceability module Acti vi ti es covered under the s cope of the certi fi ca ti on a nd under the s cope of the a udi t 7.1 7.1.1 7.1.2 7.1.3 7.1.4 7.1.5 7.1.6 7.1.7 7.1.8 7.1.9 7.1.10 7.1.11 7.1.12 7.2 Activity Stocki ng Nurs i ng Growi ng Out Tra ns ferri ng Ha rves t Va cci na ti on Fa l l owi ng Tra ns porta ti on Stora ge (i f pres ent a t fa rm) Proces s i ng (i f pres ent a t fa rm) Pa cki ng (i f pres ent a t fa rm) Other (Pl ea s e des cri be) a) Partial Certification Rea s on for pa rti a l certi fi ca ti on: 7.2.4 7.2.5 7.2.6 b) Similar appearance species produced in the UoC Si mi l a r a ppea nce s peci es : 7.2.8 Covered Covered Covered Covered Covered Not Covered Covered Covered Not Covered Not Covered Not Covered Not Covered Possibility of mixing or substitution of certified and non-certified product, including product of the same or similar appearance species, produced within the same operation 7.2.1 7.2.2 7.2.3 7.2.7 Under scope of certification no NA There wa s not pa rti a l certi fi ca te NA Đâ y không phả i l chứng nhậ n phầ n no Fa rm i s onl y fa rmi ng the L Va nna mei & P Monodone Trạ i nuôi tôm thẻ châ n trắ ng & tôm s ú Producti on uni ts or ba tches excl uded from the certi fi ca ti on s cope NA There i s IA a udi t Không p dụng Đâ y l đá nh gi IA 7.2.9 c) Average % of products produced as non-ASC in the UoC per year 7.2.10 d) Traceability and segregation systems 7.2.11 7.2.12 7.2.13 Phys i ca l i denti fi ca ti on Des cri pti on 7.2.14 7.2.15 7.2.16 Segrega ti on s ys tems for non-ASC product Des cri pti on yes Tra cea bi l i ty Procedures TT.GG.02 s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Qui trình truy xuấ t trạ i ni TT.GG.02 nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t yes Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t 7.2.17 7.2.18 7.2.19 Tra cea bi l i ty records i denti fi ca ti on Des cri pti on yes Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Exa mpl e Pond B16, Tra cea bi l i ty code: H0003 - s ui ta bl e Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t Ví dụ Pond B16, Tra cea bi l i ty code: H0003 - Phù hơp 7.2.20 7.2.21 Other tra cea bi l i ty s ys tems i n pl a ce: Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Qui trình truy xuấ t tra ng trạ i nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t 7.2.22 7.2.23 7.2.24 Do the traceability systems mitigate the mixing and substitution risks? Ra ti ona l e yes Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t 7.3 Possibility of mixing or substitution of certified and non-certified product, including product of the same or similar appearance or species, present during production, harvest, transport, storage, or processing activities 7.3.1 7.3.2 7.3.3 a) Non-ASC farms of the same or similar species limiting with the UoC Des cri pti on of nei ghbour fa rms 7.3.4 7.3.5 7.3.6 b) Non-ASC Neighbour farms owned or related to the same UoC If yes , Na me of fa rms i n ca s e a re rel a ted to the cl i ent 7.3.7 7.3.8 7.3.9 c) Non-ASC products from other farms handled in the UoC Sta ge(s ) when the non-ASC products a re ndl ed i n the UoC no Fa rm i s onl y cul tured L Va nna mei & P Monodon Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of noncerti fi ca ted product before put i nto the CoC Tra ng trạ i nuôi tôm thẻ châ n trắ ng & tơm s ú Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t no The nei ghbour fa rms a s the s a me s peci es However Nei ghbour fa rm i s di fference owners So the ri s k i s medi um Có i trạ i l â n cậ n có ni l i , nhi ên c s hữu Do rủi ro trộn l ẫ n l trung bình no Tra cea bi l i ty Procedures s defi ned: - Da i ry fa rm s confi rmed tha t Pond s trea tement wi th a nti bi oti c or not trea tement wi th a nti bi oti c - The rves t record, tra ns porta ti on record s "ASC" s ta tus " - Truck tra ns porta ti on whi ch ve a tra ns porter of the Fa ctory duri ng tra nfer from Fa rm to Fa ctory Qui trình nhậ n ng truy xuấ t tra ng trạ i , di ễn tả : - Nhậ t ký a o nuôi , xá c nhậ n a o có/ hoặ c khơng có s dụng ng s i nh - Hồ s thu hoạ ch, vậ n chuyển xá c nhậ n tình trạ ng chứng nhậ n "ASC" - Q trình vậ n chuyển bằ ng xe có ni êm phong, có nhâ n vi ên p tả i từ trạ i nhà má y 7.3.10 7.3.11 7.3.12 7.3.13 d) Segregation systems Phys i ca l ba rri ers Des cri pti on 7.3.14 7.3.15 7.3.16 Phys i ca l i denti fi ca ti on Des cri pti on 7.3.17 7.3.18 7.3.19 Segrega ti on s ys tems for non-ASC product Des cri pti on yes Fa rm s a s epa ti on l oca i ton by ca nna l & fence So the ri s k of mi xi ng i s l ow Fa rm s a s ys tem ca n dos mentra te tha t the ri s k i s a under control Trạ i có vị trí tá ch bi ệt kênh hà ng rà o Vì vậ y rủi ro trộn l ẫ n l thấ p Và Trạ i có hệ thống chứng mi nh rằ ng rủi ro trộn l ẫ n ki ểm s oá t yes Identi fi ca ti on a nd tra cea bi l i ty Procedures , Identi fy of Pond: • Pond Number; Stocki ng da te, qua nti ty Qui trình nhậ n ng truy xuấ t, Trạ i nhậ n ng: * Tên a o, ngà y thả gi ống, s ố l ượng gi ống yes Tra cea bi l i ty Procedures s defi ned: - Di a ry fa rm s confi rmed tha t Pond s trea tement wi th a nti bi oti c or not trea tement wi th a nti bi oti c - The rves t record, tra ns porta ti on record s "ASC" s ta tus - Truck tra ns porta ti on whi ch ve a tra ns porter of The fa ctory duri ng tra nfer from Fa rm to Fa ctory Qui trình nhậ n ng truy xuấ t, di ễn tả : - Nhậ t ký a o nuôi , xá c nhậ n a o có/ hoặ c khơng có s dụng ng s i nh - Hồ s thu hoạ ch, vậ n chuyển xá c nhậ n tình trạ ng chứng nhậ n "ASC" - Q trình vậ n chuyển bằ ng xe có ni êm phong, có nhâ n vi ên p tả i từ trạ i nhà má y 7.3.20 7.3.21 7.3.22 Tra cea bi l i ty records i denti fi ca ti on Des cri pti on yes Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Eg: Pond B16, Tra cea bi l i ty code: H0003 - OK Ons i te i ns pecti on & tra cea bi l i ty tes t, s howi ng compl i a nce Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t Ví dụ Pond B16, Tra cea bi l i ty code: H0003 Thực hi ện đá nh gi hi ện trường truy xuấ t, xá c nhậ n phù hợp 7.3.23 7.3.24 Others s ys tems : 7.3.25 7.3.26 7.3.27 Do the traceability systems mitigate the mixing and substitution risks? Ra ti ona l e NA yes Tra cea bi l i ty Procedures s defi ned the i denti fy, s epa te a nd tra cea bi l i ty form Sa l es poi nt to produci ton uni t Whi ch i s ca n des montra te to prevent the mi xi ng of non-certi fi ca ted product before put i nto the CoC Eg: Pond B16, Tra cea bi l i ty code: H0003 - OK Ons i te i ns pecti on & tra cea bi l i ty tes t, s howi ng compl i a nce Qui trình truy xuấ t nhậ n ng, tá ch bi ệt truy xuấ t hà ng chứng nhậ n từ ểm bá n đến đơn vị s ả n xuấ t Nó chứng rằ ng ngă n ngừa vi ệc trộn l ẫ n hà ng không chứng nhậ n trước đưa o chuỗi s ả n xuấ t Ví dụ Pond B16, Tra cea bi l i ty code: H0003 Thực hi ện đá nh gi hi ện trường truy xuấ t, xá c nhậ n phù hợp 7.4 7.4.1 7.4.2 7.4.3 7.4.4 7.4.5 7.4.6 Possibility of subcontractors being used to handle, transport, store, or process certified products a) Company uses subcontracted services for harvesting, processing, packing or labelling Des cri pti on no N/A There i s no a ny s ub-contra ctor N/A Khơng có nhà thầ u phụ b) Company uses subcontracted services providers for storage or transportation no Des cri pti on N/A There i s no a ny s ub-contra ctor N/A Khơng có nhà thầ u phụ 7.4.7 7.4.8 7.4.9 7.4.10 c) Traceability and segregation systems Subcontra ctors a re CoC certi fi ed Des cri pti on yes N/A There i s no a ny s ub-contra ctor N/A Không có nhà thầ u phụ 7.4.11 Contra ct a nd/or a greements i n pl a ce i ncl udi ng tra cea bi l i ty condi ti ons 7.4.12 7.4.13 Des cri pti on 7.4.14 7.4.15 7.4.16 Tra cea bi l i ty records i denti fi ca ti on Des cri pti on 7.4.17 7.4.18 7.4.19 7.4.20 7.4.21 Others s ys tems : 7.5 7.5.1 7.5.2 7.5.3 7.5.4 7.5.5 7.5.6 7.5.7 7.5.8 7.5.9 7.5.10 7.5.11 7.5.12 7.5.13 7.5.14 7.5.15 7.5.16 yes N/A Thi s i s Owner fa rm N/A Đâ y l tra ng trạ i thuộc chủ s hửu yes Tra cea bi l i ty Procedures s defi ned: - Di a ry fa rm s confi rmed tha t Pond s trea tement wi th a nti bi oti c or not trea tement wi th a nti bi oti c - The rves t record, tra ns porta ti on record s "ASC" s ta tus - Truck tra ns porta ti on whi ch ve a tra ns porter of The fa ctory duri ng tra nfer from Fa rm to Fa ctory Qui trình nhậ n ng truy xuấ t, di ễn tả : - Nhậ t ký a o ni , xá c nhậ n a o có/ hoặ c khơng có s dụng ng s i nh - Hồ s thu hoạ ch, vậ n chuyển xá c nhậ n tình trạ ng chứng nhậ n "ASC" - Quá trình vậ n chuyển bằ ng xe có ni êm phong, có nhâ n vi ên p tả i từ trạ i nhà má y Do the traceability systems mitigate the mixing and substitution risks? Ra ti ona l e yes Tra cea bi l i ty Procedures s defi ned: - Di a ry fa rm s confi rmed tha t Pond s trea tement wi th a nti bi oti c or not trea tement wi th a nti bi oti c - The rves t record, tra ns porta ti on record s "ASC" s ta tus - Truck tra ns porta ti on whi ch ve a tra ns porter of the fa ctory duri ng tra nfer from Fa rm to Fa ctory Qui trình nhậ n ng truy xuấ t, di ễn tả : - Nhậ t ký a o ni , xá c nhậ n a o có/ hoặ c khơng có s dụng ng s i nh - Hồ s thu hoạ ch, vậ n chuyển xá c nhậ n tình trạ ng chứng nhậ n "ASC" - Quá trình vậ n chuyển bằ ng xe có ni êm phong, có nhâ n vi ên p tả i từ trạ i nhà má y Any other opportunities where certified product could potentially be mixed, substituted, or mislabelled with noncertified product before the point where product enters the chain of custody Risk a) Des cri pti on Level n/a b) Des cri pti on n/a c) Des cri pti on n/a d) Traceability and segregation systems available for the risks above Des cri pti on yes Do the traceability systems mitigate the mixing and substitution risks? Ra ti ona l e yes ASC CAR 17.6.3-5 Product flow, traceability and segregation Pl ea s e des cri be the product fl ow wi thi n the UoC 7.5.17 Proces s : Seedi ng => Stocki ng => Nurs i ng (i f a ny) => Grow out => Ha rves t (pa rti a l i f a ny) => tra ns porta ti on to Proces s i ng Pl a n Qui trình: Gi ống => Thả gi ống => Vèo (nếu có) => Ni thị t => Thu hoạ ch (từng phầ n có) => Vậ n chuyển nhà má y chế bi ến Conduct a tra cea bi l i ty tes t of rves ted products In Ca s e of pa rti a l certi fi ca ti on perform a tra cea bi l i ty tes t for ASC a nd non-ASC products 7.5.18 Product Identification Code Pond A6, Traceability code: T0003 Pond B16, Traceability code: H0003 7.6 7.5.19 Description Details of Documentation Reviewed Date Production stage 7.6.1 A) Fa l l owi ng Prepa re Pond: Chemci a l trea tement, fa ci l i ty prepa reti on, wa ter trea tment, wa tercol ors (a l ga e fa rmi ng) 21/12/2020 Description of how codes or documents link product at each Nurs ery Pond B1 A) Nurs ery Pond B1 Stocki ng Stocki ng on 04/01/2021, qua nti ty: 760,000pcs , a t B1 Seedi ng of CP Ni nh Thua n Ha tchery, i nvoi ce no 49008, PLs 12 Qua nra ntee certi fi ca te no 07592.CN-tSVCUQ on 03/01/2021 Description Fa l l owi ng Prepa re Pond: Chemci a l trea tement, fa ci l i ty prepa reti on, wa ter trea tment, wa tercol ors (a l ga e fa rmi ng) B) Nus eri ng a t Pond B1 from 04/01/2021 to 24/01/2021 SR%: 91.11%, tota l s eedi ng a fter nurs i ng 700,000pcs , s i ze: From 04/01/2021 to 24/01/2021 Nurs ery Pond B1 Nurs i ng Tra ns fer record on 24/01/2021 Tra ns ferri ng On 24/01/2021, tra ns fer form Nurs i ng Pond B1 to 02 grow-out Pond B16, B17 Pond B16 - 350,000pcs Pond B17 - 350,000pcs Ta ke B16 for conti nue tra cea bi l i ty On 24/01/2021 D) Da i ry fa rm of Pond B16 Growi ng Out Grow-Out a t Pond B16 from 24/01/2021 to 25/03/2021 Whi ch da i ry fa rm i s moni tori ng the s hri mp s i ze, feed, chemci a l a nd envi roment i n pond Tota l feed: 5,701kgs From 24/01/2021 to 25/03/2021 E) Ha rves t on 25/03/2021 Ha rves t wei gh: 4,959Kgs , Si ze 72pcs /Kgs , qua nti ty: 356,400pcs Anti bi oti c tes ti ng no 25-3/HH/2021 on 25/03/2021 - Res ul t: ND => eFCR: 1.15; SR%: 93.79%, PRE: 35.07% On 25/03/2021 Da i ry fa rm of Pond B16 Tra ns port by Truck, no 79C-106 67 Lot: 040121-B16, H0003 Ti me: 5h-6h00 Sa l e to NTSF - F90 , ASC CoC code: ASC-C00609 On 25/03/2021 Da i ry fa rm of Pond B16 7.6.5 7.6.6 F) Ha rves t G) Tra ns porta ti on Description of how codes or documents link product at each stage Da i ry Fa rm of Pond A6 Da i ry Fa rm of Pond A6 Stocki ng On 17/01/2021 C) Nurs i ng NA Not nurs i ng NA Not nurs i ng Da i ry Fa rm of Pond A6 D) Tra ns ferri ng NA Not nurs i ng NA Not nurs i ng Da i ry Fa rm of Pond A6 E) Growi ng Out Grow-Out a t Pond A6 from 17/01/2021 to 06/04/2021 Whi ch da i ry fa rm i s moni tori ng the s hri mp s i ze, feed, chemci a l a nd envi roment i n pond Tota l feed: 1,204kgs From 24/01/2021 to 25/03/2021 Da i ry Fa rm of Pond A6 F) Ha rves t Ha rves t on 06/04/2021 Ha rves t wei gh: 1050Kgs , Si ze 70pcs /Kgs , qua nti ty: 73,500pcs Anti bi oti c tes ti ng no 06-4/HH/2021 on 06/04/2021 - Res ul t: ND => eFCR: 1.15; SR%: 93.79%, PRE: 35.07% On 06/04/2021 Da i ry Fa rm of Pond A6 G) Tra ns porta ti on Tra ns port by Truck, no 79C-17889 Lot: 170121-A6, T0003 Ti me: 5h15-6h15 Sa l e to NTSF - F17 , ASC CoC code: ASC-C00609 On 06/04/2021 Da i ry Fa rm of Pond A6 1/4/2021 C) 7.6.4 On 10/01/2021 to 17/01/2021 Stocki ng on 17/01/2021, qua nti ty: 120,000pcs , PLs 12, a t Pond A6, Seedi ng of Cha u Phi Ha tchery, deta i l Invoi ce on 17/01/2021 Qua nra ntee certi fi ca te no 14520/CN-tSVCUQ on 20/04/2021 Di s ea s e tes ti ng no 01800/DV/NMXN-TCD on 12/04/2021 7.6.15 7.6.3 Details of Documentation Reviewed Date Production stage 7.6.14 7.6.2 B) Product Identification Code 7.6.16 7.6.17 7.6.18 7.6.19 7.6.7 7.6.8 7.6.9 7.6.10 7.6.11 7.6.12 7.6.13 7.6.20 7.6.21 7.6.22 7.6.23 7.6.24 7.6.25 7.6.26 H) I) J) K) L) M) H) I) J) K) L) M) 7.7 7.8 Tra cea bi l i ty tes t(s ) s ucces s ful l y conducted yes Tra cea bi l i ty Informa ti on a l l ows to l i nk ea ch s ta ge of ndl i ng certi fi ed products yes ASC CAR 17.6.6.1-2 Traceability determination 7.9 The tra cea bi l i ty a nd s egrega ti on s ys tems i n the opera ti on a re s uffi ci ent to ens ure a l l products i denti fi ed a nd s ol d a s certi fi ed by the opera ti on ori gi na te yes from the uni t of certi fi ca ti on 7.10 The tra cea bi l i ty a nd s egrega ti on s ys tems a re not s uffi ci ent a nd a s epa te cha i n of cus tody certi fi ca ti on i s requi red for the opera ti on before products ca n CoC not needed be s ol d a s ASC-certi fi ed or ca n be el i gi bl e to ca rry the ASC l ogo 7.11 Rationale for the decision 7.11.1 Al l Products rves ted a t fa rm whi ch a re certi fi ca te products And Fa rm s the Identi fi ca ti on a nd tra cea bi l i ty Procedures whi ch i s cover the i denti fy, s epa te a nd tra cea bi l i ty s ys tem for preventi ng the mi xi ng of non-certi fi ca ted products So, Fa rm ca n des montra te tha t the Tra cea bi l i ty a re s uffi ci ent to ens ure a l l products i denti fi ed a nd s ol d a s certi fi ca ted by opera ti on form the uni t of certi fi ca ti on Tấ t s ả n phẩ m thu hoạ ch từ trạ i l hà ng chứng nhậ n Và Trạ i s ẵ n có qui trình Nhậ n ng truy xuấ t ba o gồm vi ệc nhậ n di ện, tá ch bi ệt truy xuấ t để trá nh vi ệc trộn l ẫ n hà ng không chứng nhậ n Vì vậ y, Trạ i chứng mi nh rằ ng hệ thống truy xuấ t đủ hi ệu l ực để đả m bả o hà ng chứng nhậ n từ nguồn chứng nhậ n ASC CAR 17.6.10.1 Point of First sale / handling 7.12 7.12.1 7.12.2 7.12.3 7.12.4 7.12.5 7.12.6 7.12.7 7.12.8 Entity name Nha tra ng s ea product Compa ny – Proces s i ng pl a nt DL 17 Nha tra ng s ea product Compa ny – Proces s i ng pl a nt DL 90 Nha tra ng s ea product Compa ny – Proces s i ng pl a nt DL 394 7.13 At proces s i ng fa ci l i ty i n the UoC 7.13.1 N/A CoC code ASC-C-00609 ASC-C-00609 ASC-C-00609 ASC CAR 17.6.10.2 The point from which chain of custody is required to begin Stt.010.Mssv.BKD002ac.email.ninhd.vT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.Lj.dtt@edu.gmail.com.vn.bkc19134.hmu.edu.vn.Stt.010.Mssv.BKD002ac.email.ninhddtt@edu.gmail.com.vn.bkc19134.hmu.edu.vn C.vT.Bg.Jy.Lj.Tai lieu Luan vT.Bg.Jy.Lj van Luan an.vT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.Lj Do an.Tai lieu Luan van Luan an Do an.Tai lieu Luan van Luan an Do an UoC volumes & Audit Closing Please indicate the correct volumes of the applicable quarter and year Volume reporting for complete UoC Quarter of the year: Quarter Quarter Quarter Quarter 8.1 The volumes indicated in this table apply to the following year: 8.1.1 Type of volumes indicated in 8.2 - 8.5 8.2 ASC-certified production volume (in Kg) 8.3 Non ASC-certified production 8.4 8.5 volume (in Kg) Dispatched or sold as ASCcertified Volume (in Kg) Dispatched or sold as non ASC-certified Volume (in Kg) 2021 2021 2021 2021 Estimated volume Estimated volume Estimated volume Estimated volume 70000 0 80000 16000 8000 0 0 80000 70000 16000 8000 0 Decision 8.6 Certification decision 8.7 8.8 8.9 Certificate valid from Certificate valid till Eligibility date Confidential Annexes 8.10 Annex-1 Interviewee information 8.11 Annex-2 Stakeholder comments 8.12 Annex-3 Social information 8.13 Annex-4 Volume data The audit found toal 10NCs, So Audit is required for follow-up audit at onsite farm Đánh giá phát 10NCs, Do yêu cầu đánh giá giám sát trại TBD TBD The audit had Major NCs So the Eligibility date is the day after of closing date Đánh giá có điểm major ngày đủ điều kiện ngày sau ngày đóng điểm khơng phù hợp Annex filled in? No Annex submitted to ASC? No No No No No No No Stt.010.Mssv.BKD002ac.email.ninhd.vT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.Lj.dtt@edu.gmail.com.vn.bkc19134.hmu.edu.vn.Stt.010.Mssv.BKD002ac.email.ninhddtt@edu.gmail.com.vn.bkc19134.hmu.edu.vn C.vT.Bg.Jy.Lj.Tai lieu Luan vT.Bg.Jy.Lj van Luan an.vT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.LjvT.Bg.Jy.Lj Do an.Tai lieu Luan van Luan an Do an.Tai lieu Luan van Luan an Do an Adjust the column width as needed to show the whole text or provide more space to write Corresponds to ASC Flatfish standard version 1.0 1.1 1.2 1.3 1.4 1.5 1.6 1.7 1.8 1.9 1.10 1.11 1.12 1.13 1.14 1.15 Proposed by UoC and accepted by CAB Indicator Number Indicator Text Audit Evidence Indicator evaluation Description, justification and conclusion for the evaluation decision Date of NC detection Deadline for NC close-out Actual date of close-out NC Status VR submitted Status of submitted VR VR used Q&A submitted/used Root cause analysis 1.16 Proposed by UoC and accepted by CAB NC correction 1.17 1.18 1.19 1.20 Proposed by UoC and accepted by CAB NC Corrective action Auditor evaluation Extension justification New deadline for NC closeout Notes Indicator: Documents demonstrating compliance with all relevant local and national laws and regulations 1.1.1 Requirement: Yes Compliant Applicability: All Indicator: Documents demonstrating compliance with all tax laws 1.1.2 Requirement: Yes Compliant Applicability: All Indicator: Documents demonstrating compliance with all labour laws and regulations 1.1.3 Requirement: Yes Compliant Applicability: All Indicator: Documents demonstrating compliance with regulations and permits concerning water quality impacts 1.1.4 Requirement: Yes Compliant Applicability: All Indicator: Redox potential or total ‘free’ sulphide levels in sediment immediately outside of the Allowable Zone of Effect (AZE) (1) attributed to farm operations 2.1.1 Requirement: Redox potential > millivolts (mV) OR Sulphide ≤ 1,500 micromoles/l OR No significant difference (2) in redox potential or total ‘free’ sulphide levels in sediment at the edge of the AZE in comparison to control sites Compliant Applicability: All farms Indicator: Benthic faunal index score (choosing a suitable benthic index to the composition of the benthos being sampled) 2.1.2 Requirement: AZTI Marine Biotic Index (AMBI (3)) score ≤ 3.3, or Shannon-Wiener Index score > 3, or Benthic Quality Index (BQI) score ≥ 15, or Infaunal Trophic Index (ITI) score ≥ 25 or BENTIX (4) score ≥ 3.5 or No significant change in benthic faunal index scores at the edge of the AZE in comparison to control site Compliant Applicability: All farms Indicator: For farms that use copper nets or copper-treated nets, evidence of testing for copper levels in the sediment immediately outside of the AZE Requirement: Yes 2.1.3 Compliant Applicability: All farms that use copper or copper treated nets Indicator: Evidence that copper (Cu) levels (5) are < 34 mg Cu/kg dry sediment weight OR In instances where the copper in the sediment exceeds 34 mg Cu/kg dry sediment weight, demonstration that the Cu concentration is not significantly different compared to background concentrations as measured at three reference sites in the water body (6) 2.1.4 Compliant Requirement: Yes Applicability: All farms that use copper or copper treated nets Indicator: Weekly average percent saturation (7) of dissolved oxygen (DO) (8) on farm (Appendix 1-2) 2.2.1 Requirement: ≥70% (9) Compliant Applicability: All farms Indicator: Maximum percentage of weekly samples from 2.2.1 that fall under mg/litre DO (Appendix 1-2) 2.2.2 Requirement: 5% Compliant Applicability: All Indicator: Quarterly monitoring of TAN, NO3, and TP levels 2.2.3 on the farm and at a reference site (10) (Appendix 1-3) Requirement: Yes Compliant Applicability: All farms Indicator: Evidence that the type of biocides used in net antifouling are approved according to legislation in the European Union, the United States, Australia, or Japan 2.2.4 Compliant Requirement: Yes Applicability: All farms Indicator: Evidence that all chemicals used on the farm that are discharged to effluent are recorded and quantified 2.2.5 Requirement: Yes Compliant Applicability: All farms 2.2.6 Indicator: Annual median concentration of total suspended solids in effluent compared to influent measured in the outflow or in the receiving water beyond zone of initial dilution Compliant Requirement: