IMO II 33.5.1 CH-e ASC Surveillance Report
Farm name: Yojoa
Company name: Aquafinca Saint Peter Fish-Regal Springs
Location: Aldea Borboton, San Francisco de Yojoa, Cortes, Honduras, C.A.
Surveillance Audit Report*
CAB: IMOswiss AG (IMO)
Author: Michele Stark
Date: 24.03.2014
*This report is for public release and does not contain any confidential information.
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Table of Contents
Glossary ......................................................................................................................................... 3
1.
Executive Summary ................................................................................................................. 4
2.
CAB contact information .......................................................................................................... 4
3.
Background on the applicant farm............................................................................................ 4
4.
Scope ...................................................................................................................................... 4
5.
Audit plan ................................................................................................................................. 5
6.
Findings ................................................................................................................................... 5
7.
Evaluation results .................................................................................................................... 5
8.
Decision ................................................................................................................................... 6
9.
Determination of the start of the COC ...................................................................................... 6
10.
Non-conformity report(s)....................................................................................................... 7
11.
Next scheduled audit ............................................................................................................ 8
Annexes .......................................................................................................................................... 9
Annex 1c. Evaluation results Tilapia P1 - 6 ..................................................................................... 9
Annex 2c. Evaluation results Tilapia P 7 ......................................................................................... 9
Annex 3. Classification of minor / major non-conformities ............................................................. 10
Annex 4. Form 1 – Request for Interpretation or Variance ............................................................ 11
Annex 5. Stakeholder submissions ............................................................................................... 12
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Glossary
ASI
Accreditation Services International
CC
Certification Committee IMO
d
day(s)
IMO
IMOswiss AG
JRR
Jose-Renato Recalde
KIB
Kim Bedford
Lead
Lead Auditor
MIS
Michèle Stark
TOS
Tori Spence
UOC
Unit of certification
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1. Executive Summary
Any version of this report in any other language than English is an unverified translation, and in
case of differences the English version shall take precedence.
Both Yojoa farm and Cajon farm are under surveillance for ASC certification. This report only
covers the surveillance assessment of Yojoa farm.
Yojoa farm site was audited against principle one to six in two days. The audit was carried out by
one auditor in Spanish only.
During the environmental assessment, one minor non conformity was detected regarding original
land ownership of Yojoa Farm.
Besides the grow-out, the scope of the assessment includes the harvest, landing and
subcontracted transport in sealed tanks to processing. COC certification is required from the point
of unloading from the sealed tanks.
IMO determines that all the requirements of the standard are sufficiently met and has confirmed
continued certification of Yojoa farm. The current certificate remains valid and will expire on
11.11.2015.
2. CAB contact information
IMOswiss AG (IMO)
Fisheries & Aquaculture
Weststr. 51
8570 Weinfelden, Switzerland
Tel: 0041-71-626 0 626 (general)
Email: aqua@imo.ch
Website: www.imo.ch
3. Background on the applicant farm
Two (2) other farm certificates are held. Best Aquaculture Practices and BRC Food Certificated.
Production capacity of the farm: 18,778 MT (biomass entering the processing plant (From
October 2012 to September 2013)
4. Scope
The assessment was carried out against the ASC Tilapia Standard v1.0.
The species produced at the farm is Oreochromis niloticus.
Audit scope: Aquafinca-Yojoa Farm (single site), Oreochromis niloticus
Receiving water bodies delineations is Yojoa Lake. This is distinct from the receiving water body of
the hatchery, therefore, the hatchery has been excluded from the scope.
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5. Audit plan
Action
Initial certification
Surveillance Audit (principle 1-6)
Surveillance Audit (principle 7)
Surveillance report to ASC
Locations
Yojoa and Cajon Farms,
processing plant Borboton,
Honduras
Yojoa and Cajon Farms,
processing plant Borboton,
Honduras
Yojoa and Cajon Farms,
processing plant Borboton,
Honduras
IMO Head office
Persons
TOS
CC
JRR (lead)
Dates*
12.11.12
16.12.2013
20.12.2013
(not in the scope of the
surveillance audit)
TOS/MIS
24.03.14
* The previous versions of the report are not public.
The audit was carried out with Ernesto Vargas and Jorge Maradiaga who are company
representatives. Other staff/workers such as Joel Corea, Lester A. Zaldivar joined parts of the
audit, depending on their responsibility and the criteria being assessed.
Surveillance audits do not cover all indictors as for the full certification audit (initial audit, recertification every three years). The scope of this surveillance audit includes indicators of relevant
importance. The sampling occurs according to: a) Progress and performance against outstanding
NCs, b) Management system, c) Legal and regulatory compliance, d) Complaints or allegations of
non-conformity with ASC requirements, e) A sample of sites (for multisite operations) and records
to verify the management systems are effective and consistent, f) operational plans and all aspects
of the production cycle. The surveillance audit did not include community interviews.
6. Findings
Details of the evidence of compliance found during the audit for each individual criteria of the
standard can be found in Annex 1.
Any outstanding non-conformities and their respective action plans are listed under section 10. of
this report. Any recommendations or closed non-conformities are not listed here and are part of
Annex 1.
All water measurements and analysis were found to be sufficiently compliant.
The auditors had open access to all documentation, the farm and staff/workers as required. The
farm is well managed and documented and staff trained to implement the internal procedures.
Efforts are made to cooperate with the local villages.
A description of the certification status can be found under section 8. of this report.
7. Evaluation results
Details of the evidence of compliance for each criteria in the standard can be found in Annex 1.
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8. Decision
IMO confirms the current certification status of Yojoa farm. The certificate will expire on
11.11.2015.
9. Determination of the start of the COC
Risk assessment - COC within the farm
L – low risk: no such activities or a controlled system in place (e.g. license)
M – medium risk: such activities occur within the farm but there is a good system in place
H – high risk: such activities occur, there is a risk of mixing and the system in place is not sufficient
Ref to
CR
17.5.1
Integrity of certified products
Associated
risk
System in use
L
17.5.1.2 The opportunity of substitution prior to
or at harvesting
L
17.5.1.3 The possibility of introducing product
from outside the unit of certification
L
17.5.1.4 Robustness of the management
system
17.5.1.5 Any transshipment activities taking
place
L
L
17.5.1.6 The number and/or location of points
of harvest
Overall risk estimation
L
Rationale
Robust internal traceability
system and continuous
documentation of lots, fish
numbers and quantities
produced
Little incentive (see 17.5.1.3)
or opportunity (see 17.5.1.5)
to substitute any live fish from
the cages prior to or at
harvesting
The entire farm as well as the
second supplier of Aquafinca,
Cajon, is undergoing
assessment to be ASC
certified. Therefore, there is
no incentive and little
possibility to introduce
product from outside of the
UOC. See also 17.5.1.5
Robust management system
The farm is situated in a
small lake close to the
harvest/landing site. No
transshipment activities take
place.
There is only one landing site
used for all harvests, where
fish are loaded into sealed
tanks.
L
If the CAB determines the system is sufficient, products can enter into further certified chains of
custody and be eligible to carry the ASC Label.
Scope of aquaculture certificate, including the points of change of ownership after which COC
certification is needed:
Besides the grow-out, the scope of the assessment includes the harvest, landing and
subcontracted transport in sealed tanks to processing. COC certification is required from the
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point of unloading from the sealed tanks, even if no change in ownership occurs.
No retrospective approval has been applied for. Only products harvested as of the date of
certification are approved to carry the ASC logo.
If the CAB determines the system is not sufficient, products may not enter into further certified
chains of custody and are not eligible to carry the ASC Label.
The following products may not enter into further certified chains of custody and are not eligible
to carry the ASC Label:
Nothing to declare at this point
This determination will remain in force until revised by the CAB in a subsequent audit.
10. Non-conformity report(s)
Producer: Aquafinca (Yojoa Farm)
N° of
CC
1.1.1
Year
2013
Cat.
minor
Non-conformity
(summary)
Legal document
Even the operator
presented lease
agreements and land
titles, these documents
were simple copies.
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Action plan
Deadline
Root Cause: It has copies of To be verified
legal documents in each
during next
production center Cajon and audit
Yojoa.
Corrective Action: The review
of the legal documentation
will be held at the central
administrative office
Borboton, which is where the
original legal documentation
centers production Cajon
and Yojoa is handled.
Timeframe: Next audit.
IMO statement: approved.
The original legal
documentation will be
reviewed and verified next
audit.
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N° of CC
Year
Cat.
Non-conformity
Action plan
Deadline
Status
rec
min
Maj
Number of not fulfilled compliance criteria (e.g. 1.1.1). In case of doubts indicate at least chapter of report.
First year when the non-conformity has been observed.
Sanction Category: rate using rec, min or Maj
Discrepancy to standard.
Measure to correct non-conformity stated by company and to be approved by IMO. Implementation of
corrective measure to be completed by deadline.
Date when IMO will assess the implementation of the corrective measure.
Status of implementation of corrective measure: done, partly done, not done
Recommendation (no action plan required)
Minor non-conformity: see Annex 3
Major non-conformity: see Annex 3
However, there was one (1) non conformity detected during ASC inspection at
Cajon farm, level minor and the observation: original legal documents of
proprietorship of farm must remain on-site.
11. Next scheduled audit
Next planned surveillance audit; (year, month):
2014, October
Complete re-certification every three years; at the latest (year):
2015
IMO has the right to carry out additional unannounced audits according to the IMO standard
operation procedures (SOPs). Likewise, an additional audit can be carried out within the framework
of a document review.
Operator’s comments (optional):
Not given
The operator has confirmed their agreement with this report and has committed to implementing
the action plan/corrective measures. The final certification decision is made by the responsible
certification officer at IMO.
Confirmation of operator
Ernesto Vargas_______________________________
name & signature
Confirmation of auditor
20.12.13,Yojoa, Honduras
date, location
Jose-Renato Recalde__________________________
name & signature
20.12.13, Yojoa, Honduras
date, location
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Annexes
Annex 1c. Evaluation results Tilapia P1 - 6
Annex 2c. Evaluation results Tilapia P 7
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Annex 3. Classification of minor / major non-conformities
Minor non-conformities
a) For initial certification, the CAB may recommend the applicant for certification once an action
plan to address non-conformity has been agreed to by both the client and the CAB.
i. The action plan shall include a brief description of:
A. The root cause(s) of the non-conformity
B. The corrective action(s) to be taken is intended to satisfactorily
address the non-conformity
C. The timeframe for implementation of corrective action(s)
ii. Minor non-conformities may be extended once for a maximum period of one (1)
year if full implementation of corrective action was not possible due to circumstances beyond the
control of the client.
b) The CAB should raise a major non-conformity where minor non-conformities are repeatedly
raised against a particular requirement.
c) The CAB shall require that minor non-conformities raised during surveillance audits are
satisfactorily addressed in one (1) year.
Major non-conformities
a) The CAB shall require that major non-conformities shall be satisfactorily addressed by an
applicant:
i. Prior to certification being granted.
ii. Within three months of the date of the audit or a full re-audit shall be required.
iii. That the root cause of the non-conformity is identified.
b) In the case of a major non-conformity raised during the period of validity of a certificate, the
CAB shall require:
i. That the certificate holder satisfactorily addresses the non-conformity within a
maximum of three (3) months
ii. Major non-conformities may be extended once for a maximum period of another
three months if full implementation of corrective action was not possible due to circumstances
beyond the control of the client
iii. That the root cause of the non-conformity is identified
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Annex 4. Form 1 – Request for Interpretation or Variance
This form is for the submission of requests by CABs to ASC to request interpretations of ASC
normative requirements and/or requests for variance from specific normative requirements.
I CAB Request
1.1 Name of CAB
1.2 Date of Submission
1.3 CAB Contact
Person
1.4 Email Address
of CAB Contact
Person
1.5 ASC Document Reference
1.6 Background (Provide full explanation of the issue)
1.7 Recommended Action/Decision
II ASC Determination
2.1 Status
2.2 Date of ASC Determination
Closed
2.3 ASC Determination on Variance
2.3 ASC Interpretation
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Annex 5. Stakeholder submissions
Including written or other documented information and CAB written responses to each submission.
Public consultation
period
Stakeholder submission
Audit announcement
(30 days prior to audit)
NA
Draft public report
(10 days from report
publication)
NA
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IMO Response
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Table1
Yojoa farm-Aquafinca
criteria
Date of finding
recomendation
minor NC
major NC
NC
action plan
deadline
action plan
approved by IMO
Root Cause: xxx
Corrective Action: xxx
Timeframe: xxx
2.2.1
1
2012
Established species
The farm is situated in a lake where tilapia was introduced
by the government in the 50s. Stocking by the government
in receiving waters continues. Several peer-reviewed
articles, EIAs, government statements and community
Document diagnosis of aquaculture in Honduras,
testimonials are available confirming that tilapia was
Secretary of Agriculture and Livestock (SAG) and the
introduced, is restocked annually and adults can be found
Directorate General of Fisheries (DIGEPESCA)
in the wild. During the audit, multiple size classes (not fry)
were visible. However, there is no written evidence
specifically mentioning that the different life stages of
Oreochromis niloticus (O. mossambicus is available) can be
found naturally in the lake.
Status of implementation of action plan
initial/recertification
surveillance I
surveillance II
2012
2013
2014
March 17, 2013
ok
done
na
Develop procedures and training for personnel performing
water sampling required by Aquafinca and monitoring of
the ASC and the difference between measurements DDOO
and Aquafinca monitoring requirements.
March 17, 2013
ok
done
na
Develop procedures and training for personnel performing
water sampling required by Aquafinca and monitoring of
the ASC and the difference between measurements DDOO
and Aquafinca monitoring requirements.
March 17, 2013
ok
done
na
Letter from the municipal cadastre and meeting with
residents to identify intervention Lake waterfront, before
the intervention of Aquafinca
March 17, 2013
IMO Comment: In addition, a map showing wetlands
within a 5km radius as well as a map showing pre-and post1999 wetland coverage needs to be provided
ok
done
na
see 2.5.1
2.3.1
2.5.1
2.6.1
1
2012
1
2012
1
2012
Water quality monitoring
DO measuring was witnessed. This was mostly carried out
according to the requirements. Procedures are clear and
staff adequately trained, however, during the audit there
was some confusion what kind of water
sampling/monitoring should be carried out and monitoring
was done at 1m instead of 30cm and samples were taken
in a simple bottle instead of over a 1mwater column. See
also 2.3.1. The company takes daily water measurements
over a much greater depth than required by ASC and it
seemed staff may be confusing the two types of sampling,
as the required ASC sampling had already been carried out
for that period. Data and analysis is recorded in separate
confidential sheet of this annex.
Wetlands
The farm was constructed prior to 1999. Since, there have been
no constructural changes. There is no evidence of wetland
conversion. In addition, the receiving water is a artificial
dammed lake. However, there is no map available showing
wetlands within a 5km radius.
There is no evidence of wetland conversion. However, no map
showing pre-and post-1999 wetland coverage is available.
5.1.4
2012
1
Recommendation - FS score
For all species included in FM or FO, a FS score or a letter of intent from the feed manufacturer is required. Some FM
sources are listed as wild catch in the feed manufacturers statement, although they are classified as processing byproduct and hence do not need a FS rating. Feed manufacturers should update their documentation to coincide with
each other and will be the critical background inoformation for FS score requirements for the second audit.
5.1.4
2012
1
Recommendation - Feed names
Feed names are difficult to relate to suppliers, feed supplier statements, feed labels etc. as different names and a
mixture of supplier, producer and feed type names and abbreviations are used. For third party auditing a clear relation
between the documentation and the feed type/producer is required.
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NCs
na
na
na
na
na
na
na
na
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5.2.1
1.1.1
2012
Legal document
Even
the operator presented lease agreements and land titles, Root Cause: It has copies of legal documents in each
these documents were simple copies.
production center Cajon and Yojoa.
Corrective Action: The review of the legal documentation
will be held at the central administrative office Borboton,
which is where the original legal documentation centers
production Cajon and Yojoa is handled.
Timeframe: Next audit.
IMO statement: approved. The original legal
documentation will be reviewed and verified next audit.
1
2013
Total
Recommendation - Sustainability policies
A letter of intent/letter confirming policy is in place to "preferably" sourcing from sustainable resources. However, as
the level of requirement and intent of this criteria becomes more clear, it is expected that a policy would include a
clear procedure, aim and accompanying decision tree rather than being a statement of intent.
1
3
4
0
examples:
see report (for minors)
na
na
na
Verification on
next audit
ok
-
open
ok
na
open
done
see report
corrective measure implemented (for majors)
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NCs
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Table 2
Yojoa farm-Aquafinca
criteria
Date of
finding
recomendation
minor NC
major NC
NC
action plan
deadline
action plan
approved by IMO
Corrective Action: xxx
Timeframe: xxx
7.5.2
2012
Total
Wages, overtime and working hours
At the moment of the visit, the company is using a manual
attendance sheet filled out by the supervisor and signed by
The company has tested a new electronic finger print time
each worker, to record hours of work, but the monitor
found several mistakes that shows that the system is not system, which was installed and operating by the end of
August 2012.
100% reliable, specially due to the amount of workers
(118) for Yojoa and (459) for Cajon , so it is recommended
to change time record system.
1
0
1
0
examples:
see report (for minors)
see report
corrective measure implemented (for majors)
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August 2012
NCs
Status of implementation of action plan
initial/recertification
surveillance I
surveillance II
2012
2013
2014
ok
done
na
ok
na
open
done
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Audit Manual - ASC Tilapia Standard - version 1.0 Jan2012
Copyright © 2012 Aquaculture Stewardship Council. All rights reserved by
Aquaculture Stewardship Council
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