Pesquera Apiao SA - Rilan Cluster

Transcripción

Aquaculture Stewardship Council Bivalve Standard
Initial Certification Assessment Report
Pesquera Apiao S.A - Rilan Cluster
Onsite Dates:
Report release Dates:
Public Comment Draft Report:
Final report:
September 5nd -7th, 2016
November 9 2016
Public Disclosure Form / Divulgación de Información Pública
This form shall be submitted by the CAB no less than thirty (30) calendar days prior to any onsite audit. Any changes to this information shall be submitted to the
ASC within five (5) days of the change and not later than 10 days before the planned audit. If later, a new announcement is submitted and another 30 days rule
will apply.
Este formulario deberá ser presentado por el CAB no menos de treinta (30) días calendario antes de cualquier auditoría in situ. Cualquier cambio a esta
información se presentarán a la ASC dentro de los cinco (5) días del cambio y no más tarde de 10 días antes de la auditoría prevista. Si fuera tarde, se
enviará un nuevo anuncio y se aplicará otra regla de los 30 días.
The information on this form shall be public and should be posted on the ASC website within three (3) days of submission.
La información en este formulario será pública y debe ser publicado en el sitio web ASC dentro de los tres (3) días siguientes a la presentación.
This form shall be written to be readable to the stakeholders and other interested parties.
formulario deberá ser escrito para ser legible para los grupos de interés y otras partes interesadas.
This form should be translated into local languages when appropriate
formulario debe ser traducido a los idiomas locales cuando sea apropiado
PDF 1
Public Disclosure Form / Formulario de divulgación pública
PDF 1.1
Name of CAB / Nombre del CB
SCS Global Services
PDF 1.2
Date of Submission / Fecha de presentación
August 4 th, 2016
PDF 1.3
CAB Contact Person / Persona de contacto CB
PDF 1.3.1 Name of Contact Person /Nombre de la Juan Aguirre
persona de contacto
PDF 1.3.2 Position in the CAB's organisation / Posici Project Manager ASC
PDF 1.3.3 Mailing address / Dirección postal
2000 Powell Street, Suite 600 Emeryville, CA
94608 USA
PDF 1.3.4 Email address / Correo electrónico
[email protected]
PDF 1.3.5
PDF 1.3.6
PDF 1.4
PDF 1.5
PDF 1.6
Phone number / Número de teléfono
Other / Otros
ASC Name of Client
PDF 1.4.1 Name of Contact Person /Nombre de la
persona
de contacto
PDF 1.4.2 Position in the client's organisation /
Posición en la organización del cliente
Sebastián Herrera
Chief management and logistics / Jefe de
gestión y logistica
Mailing address / Dirección postal
Playa Sur s/n Rilán, Castro - Chiloé
PDF 1.4.4
PFD 1.4.5
PDF 1.4.6
Email address / Correo electrónico
Phone number / Número de teléfono
Other / Otros
[email protected]
56 9 89031324
Sites to be audited / Centros a ser auditados
Site Name / Nombre del
centro
x
GPS Coordinates / Coordenadas GPS
42o 33' 38.38'' S 73o 39' 56.68'' W
Carahue 1
Este
1.510.452.6395 direct
1.510.452.6884 fax
PDF 1.4.3
Unit of Certification / Unidad de certificación
PDF 1.5.1 Single Site / Sitio individual
PDF 1.5.2 Cluster of Sites /Multisitio
Este
Other Location Information / Otra
información de lugar
Planned Site Audit(s) /
Auditoría(s) planificadas en
sitio
Date of planned audit /
Fecha de la auditoría
planificada
Rilan
September 5th - 7th, 2016 / 5 September 5th - 7th, 2016 / 5
al 7 de Septiembre de 2016 al 7 de Septiembre de 2016
42o 33' 17.67'' S 73o 40' 38.44'' W
Carahue 2
PDF 1.7
Bivalves / Bivalvos
Sr. Juan Cárdenas
Sr. Cristian Rojas
Contract Signed / Firma del contrato:
Proposed TimStart of audit / Inicio de la auditoría:
PDF 1.9.1 Onsite Audit(s) / Auditoría en terreno:
PDF 1.9.2 Determination/Decision /
Determinación - Decisión:
PDF 1.9.3
PDF 1.9.4
Column1 / Columna 1
PDF 1.10
Species (scientific name) produced /
Included in scope (Yes/No) / Incluído en
Especies
el alcance (Yes/No) / (Si/No)
(nombre científico) producida
Chilean mussel (Mytilus chilensis ) / Chorito
Yes / Si
o mejillon Chileno
ASC endorsed standard to be
Version Number / Número
used / Norma ASC aprobada
de versión
a ser usada
ASC Bivalves Standard /
Version 1.0 Jan 2012 /
Norma ASC Bivalvos
Version 1.0 Enero 2012
Planned Stakeholder Consultation(s) and How Stakeholders can Become Involved / Consulta(s) planificadas a Grupos de Interés y como pueden verse involucrados
Name/organisation
Relevance for this audit
Relevancia
How to involve this stakeholder (inWhen stakeholder may be
Nombre/organización
para esta
contacted / Cuando
person/phone interview/input
auditoría
los Grupos de Interés
submission) / Cómo
pueden ser
involucrar a los Grupos de Interés
contactados
(personalmente/teléfono/ envío de
información)
Sr. Alejandro Rozas
PDF 1.9
September 5th - 7th, 2016 / 5 September 5th - 7th, 2016 / 5
al 7 de Septiembre de 2016 al 7 de Septiembre de 2016
Species and Standards / Especies y Normas
Standard / Norma
PDF 1.8
Rilan
Audit Team /Lead Auditor / Auditor Líder
PDF 1.10.1 Technical Experts /
Expertos técnicos
Social Auditor
PDF 1.10.2
PDF 1.10.3
Version 1-0 (May 2016) | © SCS Global Services
School director Liceo IDEMAR Interview / Entrevista/phone call
Liceo Polivalente de Queilen
Interview / Entrevista/phone call
Corporacion de Salud Rilan.
Interview / Entrevista/phone call
July 7th, 2016
September 9th, 2016
September7th -9th, 2016
November, 2016
Name / Nombre
Mr. Juan Aguirre
Ms. Aracelly Pino
N/A
Mr. Guillermo Ganoza Price
ASC Registration Reference / Referencia
de registro ASC
How this stakeholder will be
contacted /
Cómo estos
Grupos de Interés
serán contactados
In advance of the audit and
during community stakeholder
meeting.
Antes de la auditoría y durante
la reunión de las partes
interesadas de la comunidad.
Email and in-person if available
for the community stakeholder
meeting.
Correo
electrónico y en persona si está
disponible para la reunión de
las partes interesadas de la
comunidad
during community stakeholder for the community stakeholder
meeting.
meeting.
Correo
Antes de la auditoría y durante electrónico y en persona si está
interesadas de la comunidad. las partes interesadas de la
comunidad
during community stakeholder
meeting.
Antes de la auditoría y durante
interesadas de la comunidad.
for the community stakeholder
meeting.
Correo
electrónico y en persona si está
las partes interesadas de la
comunidad
ASC Audit Report - Opening / Informe de auditoría ASC - Apertura
1 Title Page / Página de Título
1.1 Name of Applicant /Nombre del
solicitante
1.2 Report Title [e.g. Public Certification
Report] / Título del
Reporte
Chiloe Seafoods ( Pesquera Apiao S.A)
Certification Report / Reporte de Certificación
1.3 CAB name / Nombre del OC
SCS Global Services
1.4 Name of Lead Auditor / Nombre
del Aditor Líder
Juan Aguirre
1.5 Names and positions of report authors
and reviewers s / Nombres y cargos de los Aracelly Pino- Reviewer
autores de los
reportes y revisores
1.6 Client's Contact person: Name and Title /
Persona de contacto del cliente: Nombre y Sebastián Herrera
título
1.7 Date / Fecha
Chief of management and logistics / Jefe de gestión y logistica Pesquera Apiao S.A
Oct 11 2016
2 Table of Contents / Tabla de contenidos
Section 1: Title Page / Sección 1: Página de título
Section 2: Public Disclosure Form / Sección 2: Divulgación de Información Pública
Section 3: Audit Report Opening / Sección 3: Auditoría Informe de Apertura
Section 4: Non-conformity Report / Sección 4: informe de incumplimiento
Section 5: Audit Report Checklist / Sección 5: Lista de verificación del informe de auditoría
Section 6: Audit Report - Traceability / Sección 6: Informe de auditoría - Trazabilidad
Section 7: Audit Report Summary / Sección 7: Resumen del informe de auditoría
3 Glossary / Glosario
Terms and abbreviations that are specific to this audit
report and that are not otherwise defined in the ASC
glossary /Términos y abreviaciones específicas para
este reporte de auditoría, no están definidos en el
glosario de la ASC
RT
CT
INFA
SERNAPESCA
4 Summary / Resumen
A concise summary of the report and findings. The summary shall be written to be readable to the stakeholders and other interested parties / Un resumen conciso del reporte y hallazgos. El resumen deberá ser escrito de tal forma que sea leíble por los grupos de interés y otras partes interesadas.
4.1
A brief description of the scope of the
Initial ASC certification for bivalve farms (Chilean mussel - Mytilus chilensis) Pesquera Apiao S.A., Rilan Cluster: Carahue I and Carahue II farms.
audit / Una breve descripción del alcance Certificación inicial ASC para produccion de bivalvos (Chilean mussel - Mytilus chilensis) Pesquera Apiao S.A. Cluster Rilan: Centros Carahue I y Carahue II.
de la auditoría
4.2
A brief description of the applicant's
Carahue I and Carahue II farms are located close to the town of Rilan in central eastern Chiloe, These farms belong to Pesquera Apiao which farm about 800 has in total in the island of Chiloe. There is
operations / Una breve descripción de las another farm owned by Apiao in the same area which is not part of the UOC. Carahue I and II farm mussels in suspended culture, in twin ropes. Ropes hang from main ropes supported by plastic buoys. Seed
operaciones del solicitante
is purchased from authorized will sources.
Los centros de cultivo Carahue I y Carhue II, perteecientes a Pesquera Apiao, estan localizados cerca de la comunidad de Rilan, en la costa centro-oriental de la isla de Chiloe, Chile. Hay otro centro de cultivo
en la misma caleta, Rilan, que no entra en la certificacion. Pesquera Apiao cultiva cerca de 800 has de mejillones en total en dos regiones de la isla de Chiloe, en cultivo suspendido de cuerdas y mantenidas
a flote con boyas plasticas, ancladas al fondo marino. Se utiliza semilla comprada de proveedores subcontratados debidamente autorizados.
4.3
A summary of the major findings / Un
resumen de los hallazgos mayores
4.4
The Audit determination / Determinación
de Auditoría
During the technical/environmental assessment, 0 Major NC and 2 Minor NC's were raised. During the social assessment, 1 Major NC and 2 Minor NC’s were raised. Durante la evaluación técnica / del medio
ambiente, se plantearon 0 NC Mayores, 2 NC Menores. Durante la evaluación social, se plantearon 1 NC Mayor, y 2 NC Menores.
5 CAB Contact Information / Información de contacto del OC
5.1
CAB Name / Nombre del OC
SCS Global Services
5.2
5.3
CAB Mailing Address / Correo
postal del OC
2000 Powell Street, Suite 600 Emeryville, CA 94608 USA
Email Address / Correo electrónico
[email protected]
5.4
Other Contact Information / Otra
información de contacto
1.510.452.6395 direct
6 Background on the Applicant / Antecedentes sobre el Solicitante
6.1
Information on the Public Disclosure Form (Form 3)
except 1.2-1.3 All information updated as necessary to
reflect the audit as conducted / Información del
formulario
de comunicación pública (Formulario 3) excepto 1.21.3. Toda la información actualizada que sea necesaria
que refleje la forma en que se llevó a cabo la auditoría.
6.2
A description of the operation being evaluated /
Descripción de la operación que esta siendo evaluada
Pes quera Api a o S.A opera tes i n 2 Area s grow out s i tes i n Chi l oe, Chi l e:
Area 1: North Chi l oe: Queta l ma hue Fa rm.
Area 2: Centra l Chi l oe: Cl us ter Quemchi (Fa rms : Quel er, Ca uca hue, Auca r 1, Auca r 2) a nd Cl us ter Pl a ncha da (Fa rms : Coña b 1, Coña b 2, Pul l a o 1, Pul l a o 2, Pul l a o 3, Pul l a o 4, Pl a ncha da 1, Pl a ncha da 2, Pl a ncha da 3,
Pl a ncha da 4, Pl a ncha da 5, Pl a ncha da 6) a nd Cl us ter Qui ncha o (Fa rms Punta Cuem, Al tos Va rga s , Ens ena da Qui ncha o, Huds on, Coquemcura 1, Coquemcura 2 ) a nd Cl us ter Ri l á n (Fa rms : Ri l á n, Cura hue 1, Cura hue
2).
The opera ti on bei ng eva l ua ted i s Cl us ter Ri l a n
Pes quera Api a o S.A opera en 2 a rea s de cul ti vos en Chi l oe, Chi l e:
Área 1: Norte de Chi l oé: Gra nja Queta l ma hue.
Área 2: Chi l oe Centra l : Cl us ter Quemchi (Centros de cul ti vos : Quel er, Ca uca hue, Auca r 1, Auca r 2) y Cl us ter Pl a ncha da (Centros de cul ti vos : Coña b 1, Coña b 2, Pul l a o 1, Pul l a o 2, Pul l a o 3, Pul l a o 4, Pl a ncha da 1,
Pl a ncha da 2 , Pl a ncha da 3, Pl a ncha da 4, Pl a ncha da 5, Pl a ncha da 6) y Cl us ter Qui ncha o (Centros de cul ti vos : Punta Cuem, Al tos Va rga s , Ens ena da Qui ncha o, Huds on, Coquemcura 1, Coquemcura 2) y Cl us ter Ri l á n
(Centros de cul ti vos : Ri l á n, Cura hue 1, Cura hue 2).
La opera ci ón que s e es tá eva l ua ndo es : Cl ús ter Ri l a n
6.3
6.4
Other certifications held by the applicant / Otras
certificaciones realizadas por el solicitante
Estimated annual production volumes of the unit of
certification / Estimación de volúmenes de producción
anual de la unidad de certificación
BAP, FOS, Organic EU 834/889
Estimated annual harvest for 2016 is 3,500 to 4,000 tons of mussels (with shells)
7 Scope / Alcance
7.1
The Standard(s) against which the audit was conducted
/ Estándar evaluado durante la auditoría
ASC Bivalves Standard, Version 1.0 Jan 2012 / Norma ASC Bivalvos, Versión 1.0 Enero 2012
7.2
The species produced at the applicant farm / / Especie
producida en el sitio solicitante
Mejillon chileno (Mytilus chilensis )
7.3
A description of the scope of the audit including a
Initial Certification for farmed Chilean mussels: Mytilus chilensis. Pesquera Apiao S.A - Cluster Quemchi (Multi site) with 2 farms and all production are covered by the audit. The farms are: Carhuei and
description of whether the unit of certification covers
Carahue II
all production or harvest areas (i.e. ponds) managed by
the operation or located at the included sites, or
Certificación inicial para centro de cultivo de mejillones chileno: Mytilus chilensi . Pesquera Apiao S.A - Cluster Rilan, incluyendo Carahue 1 y Carahue 2, toda su producción está cubierta en la auditoría.
whether only a sub-set of these are included in the unit
of certification. If only a sub-set of production or
harvest areas are included in the unit of certification
these shall be clearly named / Descripción del alcance
de la auditoría, incluyendo si es que la unidad de
certificación cubre todas las áreas de producción o
cosecha (por ejemplo estanques), administrados o
localizados en el sitio de la operación, o si sólo una
parte del sitio está incluída dentro de la unidad de
certificación. Si sólo una parte del área de producción o
cosecha se incluyen en la unidad de certificación, ésta
deberá nombrarse e identificarse claramente.
7.4
The names and addresses of any storage, processing, or None
distribution sites included in the operation (including
subcontracted operations) that will potentially be
handling certified products, up until the point where
product enters further chain of custody / Nombres y
direcciones de cualquier bodega, sitios de
procesamiento o distribución incluídas dentro de la
operación (incluyendo operaciones subcontratadas)
que puedan manipular producto certificado, hasta el
punto en que el producto entre a la posterior cadena de
custodia.
7.5
Description of the receiving water body(ies) /
Descripción del cuerpo de agua receptor en donde se
localiza el centro de cultivo
The Chiloe archipelago is located in southern Chile, between parallels 41º and 43º south latitude. It comprises a large island, the Big Chiloe Island and a large number of smaller islands and islets.
The inland sea that separates Chiloe from the mainland, is made up within Reloncaví sound and Ancud and Corcovado gulfs.
To the west, Chiloe faces the Pacific Ocean. The Big Chiloe Island has a rectangular shape, with extensions in the peninsulas of Rilán and Lacuy and entries in the Cucao Bay and Dalcahue channel. On
account of the erosion of glaciers, the East Coast has undulations and inlets (bays) and promontories (rocky hills). On the west side there are only hilly areas.
El archipiélago de Chiloé está localizado en el sur de Chile, entre los paralelos 41º y 43º de latitud sur. Comprende una gran isla, la isla Grande de Chiloé, y un gran número de islas e islotes menores.
El mar interior, que separa a Chiloé del continente, está formado por el seno de Reloncaví y los golfos de Ancud y Corcovado.
Hacia el oeste, Chiloé enfrenta al océano Pacífico. La Isla Grande de Chiloé tiene forma rectangular, con prolongaciones en las penínsulas de Lacuy y de Rilán, y con entradas en la bahía de Cucao y el canal
Dalcahue. A causa de la erosión de los glaciares, la costa este tiene ondulaciones y ensenadas (bahías) y promontorios (elevaciones rocosas). En la parte oeste existen solo zonas accidentadas.
8 Audit Plan / Plan de Auditoría
8.1
The names of the auditors and the dates when each of
the following were undertaken or completed: conducting
the audit, writing of the report, reviewing the report, and
taking the certification decision / / Nombre de los
auditores y las fechas en que cada uno de los procesos
de auditoríase llevaron a cabo o finalizaron: ejecución
de la auditoría, elaboración del reporte, revisión de
reporte y decisión de la certificación.
8.2
Previous Audits (if applicable) / Auditorías previas (si
aplica):
8.3
Summary of previous ASC certification audit(s) and
conclusion(s), with recommendations or conditions /
Resumen de ASC anteriores auditorías de
certificación(es) y conclusión(es), de las
recomendaciones o condiciones.
8.4
Juan Aguirre Lead Auditor / Auditor Lider
Mr. Guillermo Ganoza Price, Social Auditor / Sr. Guillermo Ganoza, Auditor Social
Conducting the audit / Realización de la auditoría: September 5th -7th, 2016 / 5 al 7 de Septiembre de 2016.
Document review and farm inspection Monday September 5th, Final document review September 7th/ Revision de documentos e inspeccion de centros lunes 5 de septiembre, revision final de documentos
miercoles septiembre 7.
Report writing / Informe escrito: October 3th, 2016 / 3 de Octubre de 2016.
Report review / Revisión del informe:Oct 28 2016
Certification decision / Decisión de certificación:
N/A
Audit plan as implemented including / Plan de auditoría
The audit included / La auditoria incluye:
implementado incluyendo:
Opening Meeting / Reunión de inicio
Document Review (All Principles) / Revisión de documentos (Todos los principios)
Visit Farm Facilities / Visita a las instalaciones del centro de cultivo
Staff Interviews / Entrevistas al equipo
Closing Meeting / Reunión de cierre
8.5
Desk reviews and other activities undertaken before or
after any site visits / Revisión de escritorio y otras
actividades llevadas a cabo antes o después de la visita Document review began in the week prior to the on-site audit / Revisión de documentos se inició en la semana previa a la auditoría in situ.
a un área.
8.6
Site visits with date(s) and location(s) / Visitas al sitio
con fecha (s) y lugar (es).
September 5th -7th, 2016 / 5 al 7 de Septiembre de 2016.
8.7
Names and affiliations of individuals consulted or
otherwise involved in the audit including:
representatives of the client, employees, contractors,
stakeholders and any observers that participated in the
audit / Nombres y cargos de las personas que
participaron durante el proceso de auditoría,
incluyendo: representantes del cliente, empleados,
grupos de interés y cualquier otro observador en la
auditoría.
Jefe de centro área Rilan: Milton Becerra
Gerente General: Félix Howard Brown
Sub Gerente General: Andres Pellegrini
Gerente de Operaciones Carlos Avendaño
Gerente de Producción: Humberto Monsalve
Gerente de Semillas: Rodrigo Sanzana.
Sebastian Herrera (Chief management and logistics) - Jefe de gestion y logistica
Patricia Velasquez (Resource Human Department) - Departamento de Recursos Humanos
Claudio Quelin (Health and safety occupational Department) - Departamento Salud y Seguridad Ocupacional
8.8
Stakeholder submissions, including written or other documented information and CAB written responses to each submission / Envíos de los grupos de interés, incluyendo documentos escritos u otra información documentada, y respuestas escritas del OC a cada
uno de los envíos realizados por los grupos de interés.
Name of stakeholder (if
permission given to make
name public) / Nombre del
grupo de interés (si autoriza
publicar su nombre)
Relevance to be contacted / Importancia Date of contact /
Fecha del
para ser contactado
contacto
CAB responded
Yes/No /
Respuesta del
OC Si/No
Brief summary of points Raised / Resumen de los puntos levantados
Response sent to
Use of comment
stakeholder /
by CAB / Uso de
Respuesta enviada
comentarios por
a los grupos de
el OC
interés
Nonconfomity Report Form / Informe de No Conformidades
Definitions / Definiciones:
Minor Non-conformity: Any non-conformity in which the client does not comply with the standard and those non-conformities do not jeopardize the integrity of the certified product. This includes: 1.) Where failure to comply with a
requirement which is not likely to result in the breakdown of a system to meet an ASC requirement; 2.) Where the failure is a single observed lapse or isolated incident; 3.) Where there is no systemic failure to conform to ASC
requirements; 4.) Where the impacts are limited in their temporal and spatial scale; 5.) Where there is minimal risk of the shipment of a product that does not conform to ASC requirements; 6.) Where the failure does not meet the
definition of a Major Non-conformity; 7.) Where the failure will not produce a non-conforming product.
No conformidad menor: Cualquier falta de conformidad en el que el cliente no cumple con la norma y aquellas no conformidades no pongan en peligro la integridad del producto certificado. Esto incluye: 1.) En caso de incumplimiento de
un requisito que no es probable que resulte en la ruptura de un sistema para satisfacer un requisito ASC; 2.) Si el fallo es una sola falla observada o incidente aislado; 3.) Cuando no existe una deficiencia sistémica para ajustarse a los
requisitos de ASC; 4.) Cuando los efectos están limitados en su escala temporal y espacial; 5.) Cuando hay un riesgo mínimo del envío de un producto que no cumpla con los requisitos de ASC; 6.) Si el fallo no cumple con la definición de
un incumplimiento grave; 7.) Si el fallo no va a producir un producto no conforme.
Major Non-conformity: Any non-conformity that has one or more of the following: 1.) The absence or total breakdown of a system that is likely to result in a failure to achieve the objective of the relevant ASC Criteria or another
applicable certification requirement; 2.) Would result in the probable shipment of product that does not conform to ASC requirements; 3.) Is likely to result in a failure of the system or materially reduce the ability of the client to assure
the integrity of the certified product; 4.) Is shown to continue over a long period of time; 5.) Is repeated; 6.) Is systematic or is the result of the absence or a total breakdown of a system; 7.) Affects a wide area and/or causes significant
damage; 8.) Is not corrected or adequately responded to by the client once identified; 9.) Where two (2) or more minor non-conformities may together meet any of the above criteria.
No conformidad mayor: Cualquier falta de conformidad que tiene uno o más de los siguientes: 1.) La ausencia o la avería total de un sistema que es probable que resulte en un fracaso para lograr el objetivo de los criterios pertinentes
ASC u otra certificación aplicable requisito; 2.) daría lugar a la expedición probable del producto que no se ajusta a los requisitos de ASC; 3.) Es probable que resulte en un fallo del sistema o reducir materialmente la capacidad del cliente
para asegurar la integridad del producto certificado; 4.) se muestra a continuar durante un largo período de tiempo; 5.) se repite; 6.) es sistemática o es el resultado de la ausencia o una avería total de un sistema; 7.) afecta a una
amplia zona y / o cause un daño significativo; 8.) no se corrige o adecuadamente respondida por el cliente una vez identificados; 9.) Cuando dos (2) o más no conformidades menores pueden reunirse cualquiera de los criterios anteriores.
A copy of this form shall be completed and included in the audit report for each nonconformity raised / Una copia de esta forma se completará y se incluye en el informe de auditoría para cada inconformidad plantead
Text to be provided by /
texto que ha de
proporcionar:
NCF 1
CAB / OC
NC Reference / Referenci a NC
CAB / OC
CAB / OC
CAB / OC
NC Detected by / NC Detecta da por
Da te Detected / Fecha Detecta da
Audi t Reference / Referenci a
de l a a udi toría
Sta tus of NC /Es ta tus de l a NC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Gra de of NC / Gra do de l a NC
Dea dl i ne for cl os i ng the nonconformi ty / Pl a zo pa ra el ci erre
de l a NC
Requi rement Reference / Referenci a del requeri mi ento
CAB / OC
CAB / OC
Sta tement of evi dence detected / Decl a ra ci ón de l a evi denci a detecta da
Cl i ent / Cl i ente
Sta tement of a ny errors of fa ct i n the nonconformi ty (i ncl ude the na me of the a uthor a nd da te
s ubmi tted) / Des cri pci ón de cua l qui er error de hecho en l a no conformi da d (i ncl ui r el nombre
del a utor y l a fecha de envío)
CAB / OC
Res pons e (i ncl ude the na me of the a uthor a nd da te s ubmi tted) / Res pues ta (i ncl ui r el nombre
del a utor y fecha de envío)
Sta tement of the root ca us e of the nonconformi ty (i ncl ude the na me of the a uthor a nd da te
s ubmi tted) / Des cri pci ón de l a ca us a ra íz de l a no conformi da d (i ncl ui r el nombre del a utor y l a
fecha de envío)
CAB / OC
Sta tement of the correcti ve a cti ons propos ed a nd ta ken (i ncl ude the na me of the a uthor a nd
da te s ubmi tted) / Des cri pci ón de l a a cci ón correcti va propues ta y toma da (i ncl ui r el nombre
Eva l ua ti on by CAB (i ncl ude the na me of the a uthor a nd da te s ubmi tted) / Eva l ua ci ón por el OC
(i ncl ui r el nombre del a utor y fecha de envío)
Sta tement of the preventi ve a cti ons propos ed a nd ta ken (i ncl ude the na me of the a uthor a nd
da te s ubmi tted) / Decl a ra ci ón de l a s a cci ones preventi va s propues ta s y toma da s (Incl ui r el
nombre del a utor y l a fecha de envío)
CAB / OC
(i ncl ui r el nombre del a utor y l a fecha de envío)
CAB / OC
Da te on whi ch the nonconformi ty wa s cl os ed / Fecha en que s e cerró l a no conformi da d
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Open
x
Bi va l ves Sta nda rd Vers i on 1.0 Ja n 2012
5.1.4
Veri fy tha t the fa rm ha s s uffi ci entl y documented preventi on a nd res pons e pl a ns
for dea l i ng wi th potenti a l s pi l l s of chemi ca l a nd hydroca rbon wa s te.
Veri fi ca r que l a gra nja ha documenta do s ufi ci entemente l os pl a nes de prevenci ón
y res pues ta pa ra ha cer frente a pos i bl es derra mes de res i duos quími cos e
hi droca rburos .
Ma chi nery ha s s i gna ge a nd s tora ge a rea s for oi l s a nd fuel s , however s pi l l
conta i nment s tructures s eem i ns uffi ci ent. Oi l s pi l l s noti cea bl e outs i de s hops ,
s ome s tora ge a rea s .
La ma qui na ri a y a rea s de a l ma cena mi ento de a cei tes y combus ti bl es cuenta con
s eña l i za ci ón, s i n emba rgo l a s es tructura s de contenci ón de derra mes pa recen
i ns ufi ci entes . Derra mes de a cei te/combus ti bl e fuera de a l guna s á rea s de
a l ma cena mi ento.
Oi l s pi l l s vi s i bl e. Ins uffi ci ent protecti on a ga i ns t s pi l l s a round engi nes .
Derra mes de hi droca rburos vi s i bl es . Fa l ta protecci on contra derra mes a l rededor
motores .
Agree wi th a udi tor / De a cuerdo con el a udi tor
Api a oRi l a n-2016-2
Jua n Agui rre
7/9/2016
Api a o Ri l a n 1
Open / Abierta
Closed / Cerrada
Critical /Critica
Major / Mayor
Minor / Menor
Observation / Observación
Open
x
de l a NC
Source Document / Fuente del
documento
Clause Number / Número de
cláusula
Text of Requirement / Texto del
Requerimiento
5.2.1 b
Compute the a nnua l energy cons umpti on for the l a s t 12 months . Energy us a ge i s
i temi zed a nd s ummed i n ki l ojoul es . Convers i ons of energy components to
ki l ojoul es of energy ca n be found a t:
http://tonto.ei a .doe.gov/energyexpl a i ned/i ndex.cfm?pa ge=a bout_energy_convers i
on_c a l cul a tor. Ca l cul e el cons umo a nua l de energía dura nte l os úl ti mos 12
mes es . El cons umo de energía s e des gl os a y s e s uma en ki l ojul i os . La s
convers i ones de componentes energéti cos en ki l ojul i os de energía s e pueden
encontra r en:
http://tonto.ei a .doe.gov/energyexpl a i ned/i ndex.cfm?pa ge=a bout_energy_convers i
on_c a l cul a tor.
CAB / OC
Des cri pti on of the nonconformi ty / Des cri pci ón
de l a NC
CAB / OC
s ubmi tted) / Des cri pci ón de cua l qui er error de hecho en l a no conformi da d (i ncl ui r el nombre Agree wi th a udi tor / De a cuerdo con el a udi tor
Res pons e (i ncl ude the na me of the a uthor a nd da te s ubmi tted) / Res pues ta (i ncl ui r el nombre Fa rm ha s s ubmi tted upda ted ca l cul a ti ons , however thes e a re not s peci fi c to
cl us ters . Ca l cul a ti on s ubmi tted i s 0.1415 MJ/Kg
CAB / OC
The a ccura cy of the ca l cul a ted a nnua l energy cons umpti on wa s wrong.
La exa cti tud del ca l cul o del cons umo de energía a nua l fue erróneo.
The ca l cul a ti ons were not converted to Ki l o joul es a nd the ca l cul a ti ons do not
i ncl ude proper convers i on for fuel .
Los cá l cul os no cons i dera ron el us o en Ki l o joul es como medi da . La fórmul a
s el ecci ona da es errónea porque s e convi rti eron l os combus ti bl es a KJ.
Energy us e i s not bei ng recorded for ea ch cl us ter but l umped for a l l s i tes . El us o de
s ubmi tted) / Des cri pci ón de l a ca us a ra íz de l a no conformi da d (i ncl ui r el nombre del a utor y l a energía no s e regi s tra pa ra ca da grupo, s i no que s e a grupa pa ra todos l os centros
de cul ti vos .
fecha de envío)
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Jua n Agui rre
CAB / OC
de l a a udi toría
Api a o Ri l a n 1
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Accepted by Jua n Agui rre on October 30, 2016 / Accepted by Jua n Agui rre Octubre 30
2016.
7/9/2016
Open / Abierta
Closed / Cerrada
Critical /Critica
Major / Mayor
Minor / Menor
Open
x
de l a NC
CAB / OC
CAB / OC
documento
cláusula
Requerimiento
6.1.10 a
Veri fy the exi s tence of a fa rm protocol for res pondi ng to compl a i nts l odged by
s ta kehol ders , communi ty members , a nd orga ni za ti ons .
Veri fi ca r l a exi s tenci a de un protocol o de expl ota ci ón a grícol a pa ra res ponder a
l a s queja s pres enta da s por l os i nteres a dos , mi embros de l a comuni da d y
orga ni za ci ones .
CAB / OC
de l a NC
There wa s no evi dence of a fa rm protocol for res pondi ng to compl a i nts l odged by
s ta kehol ders , communi ty members , a nd orga ni za ti ons .
No hubo evi denci a de un protocol o pa ra res ponder a l a s queja s pres enta da s por
l os i nteres a dos , mi embros de l a comuni da d y orga ni za ci ones .
CAB / OC
No records , fi l es or l og for communi ty compl a i nts .
No ha y regi s tros ni bi ta cora pa ra queja s de l a comuni da d
Sta tement of a ny errors of fa ct i n the nonconformi ty (i ncl ude the na me of the a uthor a nd da te Agree wi th a udi tor / De a cuerdo con el a udi tor
CAB / OC
fecha de envío)
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Jua n Agui rre
7/9/2016
Api a o Ri l a n 1
Open / Abierta
Closed / Cerrada
Critical /Critica
Major / Mayor
Minor / Menor
Accepted by ------------ on xx.xx.2016 / Acepta do por -------------------------- el xx.xx.xxxx
Open
x
de l a NC
CAB / OC
CAB / OC
documento
cláusula
Requerimiento
7.4.2 b
Emergency res pons e procedures s ha l l exi s t a nd be known by empl oyees .
CAB / OC
de l a NC
The cons ul ta nt of ri s k a na l ys i s a nd s a fety ga ve cours es on s ubjects of fi rs t a i ds ,
res pons e to ha za rds , us e of PPE, etc. However, i t wa s evi denced a t the i ntervi ew
wi th workers tha t they don’t know how to us e the exti ngui s hers a nd the hydra ul i c
cra ne a rm boa t. (Annex 05) The procedures for us i ng the hydra ul i c hooks a nd cra ne
a rms a re deta i l ed but there i s no regi s ter of tra i ni ng.
El a s es or de a ná l i s i s y ri es go s eguri da d di o curs os s obre tema s de pri meros
a uxi l i os , res pues ta a l os ri es gos , el us o de equi po de protecci ón, etc. Si n emba rgo,
s e evi denci ó en l a entrevi s ta con l os tra ba ja dores que no s a ben cómo uti l i za r l os
exti ntores y l a grúa hi drá ul i ca Ba rco del bra zo. (Anexo 05) Los procedi mi entos pa ra
el us o de l os ga nchos y bra zos hi drá ul i cos de l a grúa s e deta l l a n pero no ha y
regi s tro de l a forma ci ón.
CAB / OC
Intervi ew wi th workers tha t they don’t know how to us e the exti ngui s hers a nd the
hydra ul i c cra ne a rm boa t. (Annex 05) The procedures for us i ng the hydra ul i c hooks
a nd cra ne a rms a re deta i l ed but there i s no regi s ter of tra i ni ng.
Se evi denci ó en l a entrevi s ta con l os tra ba ja dores que no s a ben cómo uti l i za r l os
exti ntores y l a grúa hi drá ul i ca Ba rco del bra zo. (Anexo 05) Los procedi mi entos pa ra
el us o de l os ga nchos y bra zos hi drá ul i cos de l a grúa s e deta l l a n pero no ha y
regi s tro de l a forma ci ón.
CAB / OC
fecha de envío)
CAB / OC
CAB / OC
CAB / OC
NCF 5
documento
cláusula
Requerimiento
CAB / OC
CAB / OC
NCF 4
Open / Abierta
Closed / Cerrada
Critical /Critica
Major / Mayor
Minor / Menor
de l a NC
CAB / OC
NCF 3
Api a o Ri l a n 1
CAB / OC
CAB / OC
NCF 2
Jua n Agui rre
7/9/2016
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
Jua n Agui rre
7/9/2016
Api a o Ri l a n 1
Open / Abierta
Closed / Cerrada
Critical /Critica
Major / Mayor
Minor / Menor
Open
x
de l a NC
CAB / OC
CAB / OC
documento
cláusula
Requerimiento
7.5.1 c
La bor confl i ct res ol uti on pol i cy i n pl a ce to tra ck confl i cts a nd compl a i nts ra i s ed,
a nd res pons es to confl i cts a nd compl a i nts .
Pol íti ca de res ol uci ón de confl i ctos l a bora l es es ta bl eci da pa ra da r s egui mi ento y
res pues ta a confl i ctos y queja s pl a ntea da s .
CAB / OC
de l a NC
There i s no l a bor confl i ct res ol uti on pol i cy
No exi s te una pol íti ca de res ol uci ón de confl i ctos l a bora l es
CAB / OC
There i s no l a bor confl i ct res ol uti on pol i cy. The book us ed for s ugges ti ons a nd
compl a i nts i s empty. The workers a re a fra i d of repri s a l s i f they l ea ve thei r
obs erva ti ons s i gni ng the book (Annex 07) Exa mpl e of two compl a i nt l i s tened by the
a udi tor: the workers buy thei r own worki ng pa nts . Do the compa ny i s res pons a bl e
of gi vi ng thi s PPE? (Annex 08). 2.- We dont ha ve a enti ngui s her on the pl a tform
(Annex 09)
No exi s te una pol íti ca de res ol uci ón de confl i ctos l a bora l es . El l i bro uti l i za do pa ra
s ugerenci a s y queja s es tá va cío. Los tra ba ja dores ti enen mi edo a l a s repres a l i a s
s i s a l en de s us obs erva ci ones que fi rma n el l i bro (Anexo 07) Ejempl o de dos
queja s es cucha da s por el a udi tor: l os tra ba ja dores compra n s us propi os
pa nta l ones de tra ba jo. ¿La empres a es res pons a bl e de da r es te PPE? (Anexo 08). 2.Nos otros no di s ponemos de un exti ngui dor en l a pl a ta forma (Anexo 09)
CAB / OC
CAB / OC
CAB / OC
CAB / OC
CAB / OC
fecha de envío)
EVALUATION RESULTS ASC BIVALVE v1.0
AUDIT MANUAL - ASC BIVALVE STANDARD
Scope: The requirements of the ASC Bivalve Standard apply globally to all locations and scales of filter-feeding bivalve aquaculture production systems. Bivalve aquaculture is defined by this Dialogue as active husbandry of bivalve shellfish from seed to harvest within a defined area and with defined ownership of the shellfish being cultured.
Conforming
Conforming with Observations
PRINCIPLE 1. OBEY THE LAW AND COMPLY WITH ALL APPLICABLE LEGAL REQUIREMENTS AND REGULATIONS WHERE FARMING OPERATION IS LOCATED
1.1 Criteria: All applicable legal requirements and regulations where farming operation is located
1.1.1
Compliance Criteria (Required Client Actions):
Auditor Evaluation (Required CB Actions):
Evidence
a. Obtain copies of applicable land and water use laws.
A. Verify compliance with applicable land and water use laws.
Apiao farms Curahue I and II presented copies of General Law for Fisheries and
Aquaculture N° 20.657 (02.09.2013): Law for operation of aquaculture concessions, and
have proper permits issued by SERNAPESCA, the Chilean authority for aquacultural
farms. APIAO also presented the environmental report: "Calificación ambiental" issued
by Sec Comisión Regional Medio Ambiente Región de los Lagos (Regional Commission
for the Environment for Los Lagos Región), on May 14 2009. D.F.L. Nº 292, 2002. The
concession sites are registered with Armada de Chile (Chilean Navy) and also registered
with Sernapesca (Servicio Nacional de Pesca y Acuicultura) with all legal documents in
order.
b. Obtain original lease agreements or land titles on file.
B. Confirm client holds original lease agreements or land titles. Where documentation is informal It was verified that the two areas under cultivation have valid concessions. The
or validity is in doubt, interviews of relevant neighbors should be conducted to establish support original documentation was provided during the audit. The auditor verified that
Pesquera Apiao S.A is in possession of legal titles for the land sites adjacent to the Rilan
of the claims.
farms were the offices and warehouses are located. Original agreement and legal
contracts were provided during the audit. Curahue 1 has concession No. 103705.
Curahue 2 has concession No.104006. Notarized concession, sales and transfers
presented. Application for permit to farm mussels was granted on Dec 30 2011.
c. Keep records of inspections for compliance with national and local laws and
regulations (only if such inspections are legally required in the country of operation).
C. Verify that inspection records comply with national and local laws and regulations (as
applicable).
Indicator: Evidence of compliance with all
applicable legal requirements and regulations
where the farming operation is located (e.g.,
permits, licenses, evidence of lease, concessions
and rights to land and/or water use)
Requirement: Yes
Applicability: All
Unannounced inspections are carried out by Sernapesca and Chilean maritime
authority. Records of inspection were available in logbook. Concession fee receipts
reviewed (Pagos de patentes, APIAO 13/11/2013, Tesorería General de la Republica)
Last payment made on 31/12/15 by Emp. Pesq. Apiao. There was a complaint about
Apiao farming in unauthorized areas in 2011. Fines were paid and issue resolved.
Farm Curahue 1 is in Category 5 under Chilean regulations, this category requires an
Environmental and animal Health Report (Informe Sanitario y Ambiental Acuicultura)
(INFA) every 3 years, last INFA was done in July 2014 by Fishing Partners Ltda.
Sampling No. 19-05-2014, delivered 08-07-2014. Farm was approved. Curahue 2 is in
category 3 and requires bi-annual INFA. Last was done in July 2 2014. Oxygen levels
reported in INFA, in compliance.
Evaluation
NC Minor NC Major
Conforming
d. Obtain all necessary permits relating to land and water use as required by local and D. Verify the farm has valid permits relating to land and water use. Where documentation is
The original concession documents were provided, as well as certificates of registration
national authorities.
informal or validity is in doubt, interviews of relevant neighbors should be conducted to establish from Sernapesca for each farm, and also resolutions from Chilean Marine Authority for
support of the claims.
each farm.
Registro Nacional Acuicultura. Sernapesca, 2005,
Concession Transfer: Transferencia de concesion de acuicultura , sept 8 2010
Application for concession: Solicitud de concesion de acuicultura abulón rojo . Ref.
resolución 2607, for 30.39 has. Last permit (Resolución) was issued on July 21 2009,
includes approval for modification in technical guidelines by SUBPESCA, describing type
of culture (suspended) number of ropes, type, etc.
e. Provide a detailed map of the farm with at least 4 GPS coordinates to show that farm E. Verify that the farm is represented accurately through verification of at least one of the GPS
coordinates. If possible, verify spatial information using Google Map, satellite images or similar
location in relation to national preservation areas.
means.
Detailed maps for each farm were available, with coordinates and descriptions:
Carahue 1 42o 33' 38.38'' S 73o 39' 56.68'' W
Carahue 2 42o 33' 17.67'' S 73o 40' 38.44'' W (NW vertices), full coordinates in maps.
f. If the farm is sited within a national preservation area or marine protected area,
maintain documents to show that the farm's activities are consistent with legal
requirements and regulations of the protected area.
NA. The farms are not located in national preservation areas or marine protected
areas. Coordinates reviewed in maps and permits and concessions, all in compliance.
Nearest protected area is Parque Nacional Cuicao, about 37 km away in straight line
from concessions.
F. If applicable, verify that the farm complies with legal requirements and regulations of the
national protected area.
PRINCIPLE 2. AVOID, REMEDY OR MITIGATE SIGNIFICANT ADVERSE EFFECTS ON HABITATS, BIODIVERSITY, AND ECOLOGICAL PROCESSES
General Considerations for Criterion 2.1
The initial assessment shall be conducted within a 6 month period prior to the first audit. Sediment samples for the assessment of total "free" sulfides. If the client is unable to conduct the initial assessment themselves, then a suitably qualified independent expert should be contracted. Methods for the measurement of "free" sulfides in marine sediments is outlined in Appendix 2.
2.1 Criteria: Benthic effects for off-bottom and suspended-culture methods [1]
a. If the farm site is a non-depositional area: Ensure that monitoring via video or seabed imaging transects is conducted prior to the
first audit and at least once every five years thereafter (Proceed to 2.2.)
A. Verify from video or seabed imaging evidence that the aquaculture site is non- depositional.
Evidence
Bottom video survey was performed to verify the type of substrate in the Rilan area,
with an underwater BENTOSCAM camera, 6 transects were surveyed.
Evaluation
Rilan farms are located on depositional seabed, soft substrate and utilize
suspended culture technology.
Report AES 16-006 done by Fishing Partners, date: August, 2016. Transects cover all the
concessions.
2.1.1
Footnote
Footnote
Indicator: Acceptable levels of total ‘free’
sulfides in surficial sediment (0-2 centimeters
from the surface) measured beneath the farm in
comparison to control sites[2]
Requirement: ≤ 1500 µM, monitoring every five
years is required,
≥ 1500 µM and ≤ 3000 µM, monitoring every
year is required
Applicability: Off-bottom and suspended methods
over depositional substrate
b. If the farm site is a depositional area of soft substrate: An initial assessment of S concentration in sediments shall be conducted according to
Appendix 1 & 2 of the Bivalve Standard. Direct measurement of S concentration may be
replaced by an analysis of benthic community structure in areas where this biotic
approach is preferred by the client or is already mandated by a regulatory body [3] (see
2.1.4.).
B. Verify documentation that the farm has conducted an initial assessment of S concentration
The client shall present information detailing the sampling design used and results of
within a 6 month period prior to the first audit using either direct measurement or analysis of
the S assessment:
benthic community structure.
- If S concentration is ≤ 1500 µM, monitoring shall be conducted every five years
(Proceed to 2.2.).
- If S concentration is ≥ 1500 µM and < 3000 µM, monitoring shall be conducted every
year (Proceed to 2.2.).
- If S concentration is ≥ 3000 µM (Proceed to 2.1.2.).
Direct measurement of sulphides is not possible in Chile because of a restriction on a
chemical reagent. Chiloe Seafoods farms opted to perform an homologation of benthic
fauna with sulphide levels. Farms used benthic community structure analysis.
In the report AES 16-006 done by Fishing Partners, dated August, 2016, 10 triplicate
samples corresponding to five stations inside and under cultivation modules and five
stations outside were made. The results are: Stations; E1: – E3, E5: > 6000 µM S, E4:
3000 a 6000 µM S, C1 –C3: >6000 µM S, C4: 3000 to 6000 µM S, C5:>6000uM S (See
the map in ref.)
c. If the farm intends to conduct measurements of total 'free' sulfides using a method
C. If applicable, confirm that the variation request was approved by ASC and document in the
different from the one prescribed in Appendix IV & V of the Bivalve Standard (e.g. in
audit report how the alternate method of measuring free sulfides meets the intent of the
order to comply with local regulations), the farm must first request a variation from ASC Standard in an equivalent way.
showing how the alternate method will meet the intent of the Standard in an
equivalent way.
NA. No variation request.
Conforming
[1] Farms utilizing in- and on-bottom husbandry practices are exempted from assessment for benthic organic enrichment. These requirements specifically target off-bottom and suspended-culture activities that permit greater stocking biomass per area than can be achieved using bottom culture approaches.
[2] Sampling design and sulfide methodology are included in Appendix IV & V of the Bivalve Standard
For farms using off-bottom and suspended methods on depositional substrate and not compliant with 2.1.1.
Indicator: Unacceptable levels of total ‘free’
a. If initial assessment of S concentration is ≥ 3000 µM, the farm is not certifiable unless A. Verify documentation of initial assessment of S concentration by either direct measurement or
sulfide in surficial sediment measured beneath natural background S levels exceed 3000 µM (proceed to 2.1.3.). Management response analysis of benthic community structure.
the farm in comparison to control sites
is required to reduce S levels.
Requirement: ≥ 3000 µM
2.1.2
2.1.3
Indicator: In cases where natural background
sulfide levels exceed 3000 µM, the annual S
concentrations should not significantly[3] exceed
levels measured at reference sites located
outside the farm[4]
Requirement: Yes
a. Provide results comparing sampled S culture area to reference sites outside the farm
(see Appendices I & 2 for the comparison to control sites). If S concentrations beneath
the farm structures are not found to be significantly higher (p<0.05) than reference sites
, monitoring shall be conducted every year. (Proceed to 2.1.5.).
A. Verify comparison with natural background levels if presented.
Footnote
[3] Statistical significance (i.e. 95% confidence interval)
Footnote
[4] Farming activity is permitted in areas where the natural benthic environment is already heavily enriched with organic matter prior to the initiation of any shellfish aquaculture activities
Instructions for Indicator 2.1.4 - Replacement of Direct Free Sulfide Measurements with a Biotic Approach
a. Notify the CAB if the farm used the biotic approach and identify a source reference
A. Record whether the farm replaced the sulfide analysis with a direct analysis of benthic
Indicator: Sulfide analysis may be replaced by
(i.e. a scientific publication) for the method used.
community structure. If yes, confirm that the farm's benthic community analysis complies with
direct analysis of benthic community structure
requirements [5].
(i.e. infaunal surveys) in areas where this biotic
b. Provide documentary evidence to show how the farm established equivalency of
B. Review farm datasets for benthic community structure to confirm that the farm has established
approach is preferred by the applicant or is
2.1.4
biotic indices with sulfide levels (e.g. reports from analysis of infaunal surveys).
equivalency of indices with sulfide levels.
already mandated by a regulatory body[5]
Requirement: Yes
c. If S equivalency is < 3000 µM, proceed to 2.1.1. If S equivalency is > 3000 µM,
C. Verify that the farm correctly used the equivalent S concentrations to determine the next
action (i.e. whether to establish monitoring frequency, or to compare to reference sites).
proceed
to
2.1.2.
Footnote
Using a homologation method based on Hargrave et al. 2008 sulphide Levels exceed
3000μM in Rilan Cluster.
An additional study by FP was performed to determine the historical natural levels of
sulphide in the study area. This study considered the data obtained in the INFA's
conducted in May and June 2014 for the farms 102272 (INF 14-070); 102496 (INF 14059); 102901 (INF 14-071) and 103543 (INF 14-060) and was established by the results
obtained in homologation that the study area has concentrations above 6000 μM S.
The area of the channels of southern Chile is an area of historical aquaculture, which
undoubtedly influences the characterization of the seafloor, values greater than 5000
μM S, have been found in areas of high aquaculture intensity (Brooks and Mahnken,
2003). See Variance 64 requested by FCI for Ría Austral.
Benthic community indexes beneath the culture areas were compared with sites used
as controls in environmental reports (INFAS) from May 2014 and June 2014. According
to the diversity indexes, by homologation with tables by Hargrave et al. 2008, the
concentrations of sulphur in Carahue 1 and Carahue 2 are greater than 6000 uM S.
Control sites are also above 6000 uM S. According to consultant that performed the
study, this is common in Chile due to mineralogy of the region. Auditor searched for
other references from studies in the area but no specific measurements were found.
Also see Variance 64 requested by FCI for Ria Austral. Auditor suggest that another
study with control sites farther away from farmed areas be performed for next
surveillance audit.
Conforming
Conforming
Table of homologation used was taken from Hargrave et al, 2008. It was a classification
of organic enrichment in marine sediments based on biogeochemical indicators. Marine
Pollution Bulletin.
Rilan cluster - Farms: Carahue and Curahue 2 levels S ≥ 6000 μM by homologation
according to table in Hargrave et al, 2008.
Conforming
See 2.1.2
[5] Biotic indicator decision thresholds need to be assessed to ensure equivalency with the thresholds identified for total ‘free’ sulfide given in requirement 2.1.1. There are several papers that have been published linking specific benthic sulfide levels to indices for benthic biodiversity. Please refer to the reference section for examples (e.g., Hargrave et. al.
For all farms using off-bottom and suspended method
A. Verify that video or imagery demonstrates that the farm is not located over areas that
provide significant biological or ecological function within the broader ecosystem.
Video evidence was available that demonstrated the type of seabed beneath the
concession areas and biological communities associated. Survey shows no biologically
significant structures according to monitoring made in June 2016 across both Curahue 1
and 2., no cold water corals .
There is presence of organisms belonging to various Phyla: Brachiopoda, Arthropoda,
Cnidaria, Echinodermata, Porifera, Mollusca.
Indicator: Allowance for bivalve aquaculture
over areas that provide a particularly significant a. Prepare results from video or seabed imaging survey of the farm.
or essential biological or ecological function
2.1.5
within the broader ecosystem[6]
Requirement: None
Applicability: Off-bottom and suspended methods b. Summarize information about sensitive habitats in proximity to farming operations
Information verified on Google Earth during the audit. Rilan cluster is not located in
(e.g. using a map of habitat distribution; see 1.1.1e) noting any areas where biogenic
B. Verify farmer knowledge of sensitive habitat in proximity to farming operations.
sensitive habitats and does not interfere with sensitive habitat.
structures are located [8]).
Footnote
[6] Areas containing biogenic structures that are not particularly adapted to sedimentation or organic enrichment (e.g., tubeworm mounds, bryozoan mounds, bivalve beds and reefs or sponge gardens that form a structure for other epifauna)
Instructions to Clients for Criteria 2.2: Pelagic effects
Conforming
2.2 Criteria: Pelagic effects
Instructions for Indicator 2.2.1. Example calculations of clearance and retention times
a. Present a map showing the water body and all farm locations (including the unit of
certification). Calculate the percent of the water body area covered by farms and
present values used in the calculation.
2.2.1
Indicator: The ratio of clearance time[7] (CT)
over retention time[8] (RT)
Requirement: >1
Applicability: All*
*If the area of all of the farms within a water
body as defined in Appendix I of the Bivalve
Standard, inclusive of the certification unit, is
less than 10% of the total area of the water
body, then requirements 2.2.1 and 2.2.2 need
not apply.
Evidence
A. Verify the accuracy of values used in the defining the areas of the farm and water body.
Survey maps- part of a study done by Fishery Pro show location of farms and water
body.
Rilan area: Area=545,779.9 m2; Depth High tide= 37 m, Depth Low tide= 24 m, Total
volume High tide= 30.618.196,7 m3, Total volume Low tide= 19.860.451,9 m3
b. If combined area of all farms is < 10 % of total are of the water body, then 2.2.1 does B. Verify this conclusion and document in the audit report.
not apply (Proceed to 2.3.1.).
c. If the area of the farm is >= 10% of the water body, calculate clearance time (CT) of
the dominant bivalve stocks (wild and cultured) for the water body. Provide all bivalve
census information and published clearance rates[9] used in the calculation.
C. Verify that the CT has been correctly calculated from appropriate census data and published
clearance rate data. Verify bivalve density.
Combined area is of concessions is 545,779.9 m2;
Water body is 33,838,537 m2. according to study.
Area is open to the ocean, rectangle of inlet (open on both sides) is 3 km by 13.6 km
according to Google maps.
If area were confined farms would amount to 1.3-1.6% of water body. Conclusion: total
farmed area is les than 10% of water body.
Evaluation
Conforming
N/A
d. If the area of the farm is >= 10% of the water body, calculate the retention time (RT) D. Verify that the farm meets the requirement of CT/RT>1 .
N/A
of the water body. Calculate CT / RT ratio. Provide all data used in the calculation,
including references.
[7] Clearance time is the number of days required for the dominant bivalve stock(s) (wild and cultured) to clear the volume of the bay or regional water body (i.e., sites with no clear boundaries). The dominant species census should be based on the peak standing stock during the year. The calculation is based on published clearance rate data for the bivalve
Footnote
Footnote
[8] Retention time is the number of days for tides to flush a volume of water equal to the volume of the bay or water body
for farms not compliant with 2.2.1.
a. Calculate the yearly averaged phytoplankton biomass (B) and primary production
A. Verify the accuracy of all estimates and that values used represent yearly averages for the
NA. CT >RT
(PPP) for the entire water body. Provide all information regarding the sampling methods entire extent of the water body.
Indicator: Where clearance time is less than
retention time, the ratio of clearance time over used and the locations and times of each sample. Provide all references used in the
conversion of values into similar units.
primary production time[9] (PPT)
2.2.2
Not applicable
Requirement: >3
Applicability: All farms not compliant with 2.2.1. b. Calculate primary production time (PPT) and CT / PPT ratio. Provide all data used in B. Verify that the ratio of CT / PPT > 3.
NA. CT >RT
the calculation, including references.
Footnote
[9] PPT is the number of days required for the replacement of the standing stock of phytoplankton in the bay (i.e., time-scale of phytoplankton population growth). PPT is the ratio of yearly averages of phytoplankton biomass (B) to phytoplankton primary production (PPP) within the system. B can be estimated from chlorophyll a measurements, published
for farms demonstrating compliance with Indicators 2.2.1 and 2.2.2 using more comprehensive modeling estimates of carrying capacity.
Indicator: Equivalency with requirements 2.2.1
a. Provide the published peer-reviewed publication describing the model as applied to A. Verify that the model has been published in a peer-reviewed journal and that it applies to the N.A
or 2.2.2 may be demonstrated, if a farm or group
the present state of the water body and all associated aquaculture.
present state of water body and all associated aquaculture.
of farms is able to prove, through more
2.2.3
comprehensive carrying capacity modeling that,
Not applicable
b. Provide the model estimates of CT, RT, and PPT. If these were not directly presented B. Verify that the model results clearly show that the farm does not exceed the ecological
N.A
in aggregate, they do not exceed the ecological
in the publication, provide additional information as to how these parameters were
carrying capacity of the water body. CT/RT and PPT values must meet the levels indicated in
carrying capacity of the applicable water body in
calculated.
2.2.1 and 2.2.2, respectively.
which they are located
2.3 Criteria: Critical habitat and species interactions
Instruction to Clients for Indicator 2.3.1 - Presence of Species Listed as Threatened or Endangered on the IUCN Red List
a. Provide a list of threatened or endangered species as identified by national law or
the IUCN Red List. To obtain the IUCN Red List designated species, perform the above
search and record all IUCN Red List species and farm-related threats.
2.3.1
Indicator: Allowance for harm to
threatened/endangered species[10] or the
habitat on which they depend
Requirement: None
Applicability: All
b. Provide a map showing location of the farm (see Indicator 1.1.1e) relative to the
known distribution of endangered species or critical habitats in the area.
c. If a threatened or endangered species is identified in region of the farm (including
receiving and source waters), document the specific actions the farm takes to minimize
impacts.
-
Evidence
Evaluation
A. Repeat the search to verify that client obtained an accurate result. Verify through additional UCN search shows Small Tern (Gaviotín chico) Sternula lorata and Darwin Fox (Zorro de
databases and government reports to cross-check whether endangered species exist in the
Darwin) Lycalopex fulvipes for the region. The list is included in: MANUAL PARA LA
immediate vicinity of the farm.
PROTECCIÓN DE LA VIDA SILVESTRE. This document shows all species that could be
found in general around the farms (Rilan cluster) and was compared with IUCN Red List
species.
B. Verify that client is aware of these endangered species or critical habitats located near farm.
C. Verify the actions taken by the client to minimize impacts and document them in the audit
report.
Client is aware. List of species used by Farm Center was provided, it includes
instruction for personnel regarding threatened species. Fox is present in forests inland.
Tern has not been seen in the area. Information verified with Google Earth and IUCN
during audit. Workers have undertaken training on threatened and endangered
species.
Conforming
Workers have undertaken training on wildlife protection and threatened and
endangered species.
D. During interviews with local community members, confirm there is no evidence that the farm No instances of harm to endangered species reported during interviews with workers
harms threatened/endangered species or the habitat on which they depend.
and local community. No reported cases.
[10] As defined by national law or as found in the International Union for Conservation of Nature Red List of Threatened Species.
Footnote
2.4 Criteria: Environmental awareness
Instructions for Indicator 2.4.1. - Evidence of training, compliance to regional codes of practices or implementation of environmental management plans
a. Provide documentation of environmental training/education of staff (e.g. certificates, A. Verify documented evidence of farm worker environmental training (OR)
evidence of workshops attended etc.) (OR)
b. Provide documentation of regional codes of practice and actions taken to ensure
compliance, including staff training (OR)
c. Provide evidence for implementation of an environmental management plan.
2.4.1
Indicator: Evidence of environmental training,
compliance to regional codes of practices or
implementation of environmental management
plans.
Requirement: Required
Applicability: All
Evidence
Evaluation
Rilan cluster has a Hazardous Materials Handling Plan (Plan de Manejo de Residuos
Peligrosos), created in 2009.
Training log was reviewed onsite with social auditor and verified in interviews with
workers.
B. Verify that documentation of regional codes of practice are up to date and adhered to and that See indicator 2.4.1 a & b
staff have been appropriately trained in its execution (OR)
C. Verify that the farm has an environmental management plan and that the plan is
An environmental management plan for Rilan cluster was presented and reviewed. The
implemented.
plan covers several aspects of environmental impact, including waste management,
management of toxic chemicals, hydrocarbons, waste and oil spills, training in
environmental management, benthic impacts, management of impacts on flora and
fauna.
There was clear evidence of implementation of the plan on the farm, such as:
-management of hydrocarbons (storage, waste disposal)
-storage and separation of wastes (e.g., biological, plastics and domestic)
-removal of wastes, shoreline clean-ups in farming areas, a procedure called Playas
limpias.
-training records for staff in environmental management.
Conforming
PRINCIPLE 3. AVOID ADVERSE EFFECTS ON THE HEALTH AND GENETIC DIVERSITY OF WILD POPULATIONS
3.1 Criteria: Introduced pests and pathogens
3.1.1
Indicator: Allowance for the illegal introduction a. Maintain documentation showing the origin of culture stock including names,
of a non- native species, pest or pathogen
addresses, contact person(s) and delivery dates when applicable.
attributable to the farm within 10 years prior to
assessment.
Requirement: None
Applicability: All
3.1.2
Indicator: Documentation of compliance with
established protocol or evidence of following
appropriate best management practices for
preventing and managing disease and pest
introductions with seed and/or farm equipment.
Applicability: All
A. If documented evidence exists linking farm to an illegal introduction within 10 years prior to
assessment, farm is not eligible for certification.
Evidence
Rilan cluster farms only grow native Chilean mussels Mytilus chilensis. Documents
approved by Sernapesca. This species is not introduced and is native to Chile.
B. During interviews with local community members, confirm there is no indication that the farm No indication of illegal introduction of species. Species cultured is native. No complaints
has caused an illegal introduction of a non-native species, pest, or pathogen in the last ten years. or indication of pathogen introduction.
a. Provide documentation of established protocol or best management practices used in A. If applicable, documentation of compliance with established protocol or best management
preventing and managing disease and pest introductions.
practices exists and is available.
Evaluation
Conforming
Rilan farms had a copy of OIE document. According to the world organization for animal
health there are no notifiable diseases for Mytilus chilensis in Chile and Sernapesca
controls all health regulations with current environmental regulations
Conforming
b. Provide evidence that the farm has implemented established protocols or best
B. During the on-site inspection look for evidence the farm has implemented protocols or best
management practices for preventing and managing disease and pest introductions with management practices provided in 3.1.2a
seed and/or farm equipment.
SERNAPESCA inspections were current and confirm farms are complying with sanitary
regulations.
Evidence
A. Verify that wild seed is not from an open-access, unregulated source
Wild seed come from a source regulated by Sernapesca. The seed are collected from
licensed concession areas. Rilan farms' owner Pesquera Apiao S.A has many regulated
seed suppliers, who work under contract; some areas that provide seed are:
Hornopiren, Reloncavi, Quellon and Chaiten. Example: Provider Leonel Tapia, dispatch
No.643, stamped by Sernapesca, destination Pesquera Apiao, Rilan, No. 643, 12/18/16.
In Chile, seed can only be collected from licensed concession areas. The concession
terms and conditions require that all harvested volumes are recorded and reported
officially to Sernapesca. Seed shipments must also have specific authorization from
Sernapesca. Such authorizations must include specific batch shipment number that must
refer to a production volume, harvest date, concession number and consignee.
Evidence presented in the audit indicated that seeds are from regulated source included
the concession, registration with Sernapesca and the maritime authority (Armada de
Chile). Additional harvest and shipment documentation showed full traceability for all
seed suppliers and shipment to all farms of Quemchi cluster
3.2 Criteria: Sustainable wild seed procurement
Instructions for Indicator 3.2.1. - Purchase or collection of wild seed from regulated sources
a. Maintain documentation showing the origin of culture stock with names, addresses,
contact person(s) and delivery dates of each purchase.
3.2.1
Indicator: Excluding larval collection, evidence
that purchased or collected wild seed is not
harvested from an open-access, unregulated
source
Applicability: All
b. Provide documentation that wild seed has not been collected from an open-access,
unregulated source.
B. Verify that documentation is available that shows wild seed collected is procured from an area Areas are regulated by Sernapesca. Each provider must have a permit, if not
that falls under existing regulatory schemes
Sernapesca will not stamp. SERNAPESCA Resolutions confirmed the legality of the seeds
suppliers (SUBPESCA) and approved by SERNAPESCA that indicates seed suppliers comes
from an regulated source.
Evaluation
Conforming
3.3 Criteria: Introduced non-native cultivated species
Evidence
Evaluation
Instructions for Indicator 3.3.1 - Evidence of responsible[11] introduction of non-native cultivated species
a. If the farm works with the culture of newly-introduced non-native bivalve species,
A. Verify the farm has obtained permits showing compliance with ICES guidelines for introduction N/A.
Indicator: Evidence of responsible[11]
obtain permit(s) substantiating compliance with ICES guidelines for introduction of exotic of exotic species and certification to ICES requirements regarding parasites and pathogens.
The farms cultivate only native Chilean mussels (Mytilus chilensis ). Statement signed by
introduction of non-native cultivated species
species
and
certification
to
ICES
requirements
regarding
parasites
and
pathogens.[11].
Felix Howard.
3.3.1
Applicability: All
N/A
[11] At a minimum, farms must have a permit(s) substantiating compliance with ICES guidelines for introduction of exotic species and certification to ICES requirements regarding parasites and pathogens.
Footnote
3.4 Criteria: Native species cultivation
Evidence
a. Provide documentation of the use of local, wild broodstock to address genetic
concerns specific to species and the geographic region where the seed will be outplanted (OR)
A. Verify that efforts have been made to address genetic concerns specific to species and the
geographic region where the seed will be out-planted. Document in the audit report the farms
use of the local, wild population for the broodstock with appropriate rotation of spawned
individuals. If there is uncertainty about whether a broodstock is of local origin, record source
locality in the audit report (OR)
NA. Only wild seeds collected.
b. Provide documentation of the scale of farming activities and the reproductive
potential of crops (e.g., whether diploid or triploid, or considering age at harvest and
age at first maturation) are well-below the size and reproductive potential of the
natural population within a reasonable “dispersal kernel” from the farm. (OR)
B. Verify that the reproductive potential (e.g., whether diploid or triploid, or considering age at NA. Only wild seeds collected.
harvest and age at first maturation) of the hatchery produced seed is well-below the size and
reproductive potential of the natural population within a reasonable “dispersal kernel” from the
farm are (OR)
Evaluation
Instruction to Clients for Indicator 3.4.1 - Addressing Genetic Concerns Associated with Native Species Cultivation
3.4.1
Indicator: For hatchery produced seed,
documentation of efforts made to address
genetic concerns specific to species and
geographic region where the seed will be outplanted
Applicability: All farms producing seed
Not applicable
c. Provide documentation on the production of sterile seed for out-planting from
C. Verify the existence of a breeding program that produces altered sterile seed for out- planting NA. Only wild seeds collected.
breeding programs that intentionally alter wild stocks for improved culture traits, such (OR)
as growth, yield, survival and morphology (OR)
d. Provide documentation of cooperation with restoration efforts in the geographic
region using out-planting that involves the intentional divergence from wild stocks to
produce disease resistant wild populations
D. Verify that the farm's breeding program is in coordination with existing restoration efforts in
the geographic region.
NA. Only wild seeds collected.
Evidence
N/A. Seed is purchased from independent suppliers that collect seed from regulated
areas. See above for list of suppliers and description of documentation. Wild seeds are
collected from licensed concession areas. Verified with seed purchase, shipping and
authorization documents
3.5 Criteria: Transgenic animals
3.5.1
Indicator: Allowance for farming of
transgenic[12] animals
Requirement: None
Applicability: All
a. Maintain documentation showing the origin of culture stock with names, addresses,
contact person(s) and delivery dates of each purchase (see 3.2.1a).
A. Verify that farm documents show the origin of culture stock with names, addresses and
contact person(s) of suppliers.
b. Prepare a declaration stating that the farm does not culture transgenic bivalves.
B. Verify that farm records for cultured stock (3.5.1.A) clearly indicate that the stock is not
transgenic.
C. Suspicion of transgenic shellfish being cultured requires validation by the sampling of 3
individuals from suspected stock and shipped for genetic mapping by an ISO 17025 certified
laboratory to determine gene sequence and unknown sequences
NA. Only wild seeds collected, there is no risk of growing transgenic mussels. Statement
signed by Felix Howard. Production Manager
No suspicion of GMO animals.
Evidence
A. Verify by inspection and review of chemical use records that no mutagenic, carcinogenic or
teratogenic pesticides are used by the farm and/or contractors on the farm or farmed animals
during any stage of culture.
No chemicals are utilised at any stage of production. There are no records of chemical
purchases in accounting records and no chemicals were observed to be present during
site inspection. No documented procedures in the production process mandate or
indicate the need for use of chemicals.
There is pest control (rodents, insects) in the warehouses, this is done by a contractor:
Factor Control.
Footnote
Evaluation
Conforming
[12] Introduced genes from other species
PRINCIPLE 4. MANAGE DISEASE AND PESTS IN AN ENVIRONMENTALLY RESPONSIBLE MANNER
4.1 Criteria: Disease and pest management practices
Instruction to Clients for Indicator 4.1.1. - Use of mutagenic, carcinogenic or teratogenic pesticides
a. Maintain a record of all chemicals (any substance that is added by the producer to
farm or farmed animals) used for prior 12 month period by farm and/or contractors. If
the farm is located in an integrated facility, all chemicals used in hatcheries and
Indicator: Allowance for the application of
processing plants must be recorded, in addition to those used in grow-out. Supply
mutagenic, carcinogenic or teratogenic
technical information on all chemicals used on the farm.
4.1.1
pesticides on the farm or farmed animals
Requirement: None
Applicability: All
b. Provide chemical supplier name and contact information.
B. Verify chemical supplier and contact information
Contractor Factor Control uses Bromadiolone.
-
C. Inspect the farm's chemical inventory and cross-check to a sample of records for purchase and
receipt.
Farm does not handle nor buy the product used for pest control.
a. Same as 4.1.1.a.
A. Verify by inspection and review of chemical use records that no chemicals are used by the farm
and/or contractors on the farm or farmed animals that can persist as toxins in the marine
No chemicals are utilised at any stage of production in the marine
environment.
environment.
B. Verify chemical supplier and contact information
No chemicals are utilised at any stage of production and marine
environment.
C. Inspect the farm's chemical inventory and cross-check to a sample of records for purchase and
receipt.
No chemicals are utilised at any stage of production and marine
environment.
Evaluation
Conforming
Instruction to Clients for Indicator 4.1.2. - Use of chemicals that persist as toxins
4.1.2
Indicator: Allowance for the application of
chemicals that persist as toxins in the marine
environment or on the farm or farmed animals
Requirement: None
Applicability: All
b. Same as 4.1.1.b.
-
Instructions to Clients for Indicator 4.1.3 - Non-lethal Management of Critical Species that are Pests or Predators
a. Provide a list of all predator and pest control devices used at the site and their
locations.
Indicator: Only non-lethal management (e.g.,
exclusion, deterrents and removal) of critical
4.1.3
species[13] that are pests or predators
Requirement: Yes
b. Provide a description of all procedures used for managing pests and explain how the
Applicability: All
farm ensures that no harms is done to critical species (identified in 2.3.1.).
Footnote
A. Validate the accuracy of the control devices listed through site inspection
Conforming
No predatory control on farm (at sea) except avoidance. There is pest control in
warehouse and storage areas on land. The farms provided records from contractor
Farm Control. Only rats are controlled through use of approved rodenticides.
Conforming
B. Verify that the farm takes appropriate precautions to ensure that no IUCN Red List species are The list of procedures used to control pests only refers to rodents. There are no other
harmed.
species that require control.
[13] As defined by national law or as found in the IUCN Red List of Threatened Species.
4.1.4
4.1.5
Indicator: Allowance for the use of leadline or
lead sinkers on predator netting
Requirement: None
Applicability: All
Indicator: Allowance for the use of explosives
Requirement: None
Applicability: All
a. Ensure that no leadline or sinkers are located on the farm or used on predator
netting.
A. Verify through site inspection that these materials are not located on or used by the farm.
No evidence of use of lead line or lead sinkers on predator netting.
Conforming
a. Ensure that no explosives are used on the farm.
A. During the on-site audit, verify that there are no explosives on site. Confirm during interviews
with local community members that the farm does not use explosives.
No evidence of use of explosives, this was confirmed with interviews.
Conforming
PRINCIPLE 5. USE RESOURCES EFFICIENTLY
5.1 Criteria: Waste management/pollution control
5.1.1
5.1.2
5.1.3
Indicator: Evidence of waste reduction (e.g.
reuse and recycling) programs
Requirement: Yes
Applicability: All
Indicator: Evidence of appropriate storage
and/or disposal of biological waste
Requirement: Yes
Applicability: All
Indicator: Evidence of appropriate storage
and/or disposal of chemical and hydrocarbon
wastes
Requirement: Yes
Applicability: All
a. Provide a description of the most common production waste materials and indicate
which waste materials are recycled.
A. During the on-site inspection look for evidence of recycling of waste materials
a. Prepare a plan that details how the farm ensures proper disposal of all biological
waste including separation and segregation of biological waste from non-biological
waste.
A. Verify that the farm has a plan for the proper disposal of biological waste.
b. Maintain records to show how the farm disposes of dead bivalves and other forms of B. Verify from farm records that disposals follow the farm's plan.
biological waste.
Cluster Rilan has a waste management plan that focuses on waste reduction, reuse and
recycling. All significant waste streams are clearly identified and the manner in which
they are to be handled is detailed. The waste management plan includes provision for
reducing wastes by appropriate means and encourages recycling of materials.
The production of biological waste is minimal and is mostly unwanted mussel species
(e.g.: cholgas, chorito malton, etc.). Receipts for garbage service presented.
-
C. During the on-site inspection, confirm the farm's plan is effectively implemented. Evidence will Garbage is disposed of properly, according to type of rubbish. Interview with farm
include interviews with farm workers who confirm that disposals followed the plan.
workers confirmed that waste management follows the company documented
procedures in the WMP.
a. Ensure that the disposal of disused equipment and waste is done promptly, including
hazardous waste from the site according to local law and Material Safety Data Sheets
(MSDS). Farms shall maintain an inventory of all chemicals used or located on site.
A. Verify through farm inspection that disposal is done according to local law and MSDS
Waste collection done by independent services, Hidronor for oil contaminated water,
descriptions. e.g. no disposal of waste at sea or in any watercourse, burning of plastics and other receipt presented . Also for used oil, together with official documents stating type of
synthetic materials
residue.
Log for all pick ups. RESISTER handles common waste. Document reviewed include
dispatch #. Receipt #., volume of waste. Farms have a plan for hazardous waste: EPA.
PL. RESPEL 2009. Land base diesel container and gas container (propane butane)
comply with national regulations.
a. Prepare a prevention and response plan spills of chemical and hydrocarbon waste.
A. Verify that the farm has sufficiently documented prevention and response plans for dealing
The plan shall outline the preventative maintenance of equipment exist and in place for with potential spills of chemical and hydrocarbon waste.
the avoidance of fuel spills from vehicles, winches, cranes, and mechanical equipment on
land and water.
5.1.4
Evidence
Evaluation
The only recyclable material is rope which is reused for other purposes in the farm (seed
collection, etc.) and may also be sold to third parties when not usable at the farm.
Conforming
Damaged plastic floats are reused and may be cut up and used to repair other damaged
floats.
Indicator: Spill prevention and response plan for
chemicals/hydrocarbons originating from farming
operations
b. Maintain documentation regarding the training history of all employees in the proper B. Verify that the farm has sufficiently documented the training of all employees in current
disposal of waste and in the prevention and management of chemical and hydrocarbon prevention and response plans to manage chemical and hydrocarbon spills.
Applicability: All
spills as described in the above plan (5.1.4.a).
Conforming
Conforming
Spill prevention plan reviewed. Machinery has signage and storage areas for oils and
fuels, however spill containment structures seem insufficient . Oil spills noticeable
outside shops, some storage areas.
Plan of hazardous waste EPA.PL.RESPEL since 2009. It includes all actions and equipment
that will be used for hydrocarbons spills at sea and on land.
Action Plan for spills provided and reviewed. There is a risk manager-consultant Claudio
Quelin (external).
Training records provided for hydrocarbon spills, 2015.
1
Minor Non Conformity
c. Maintain documentation of equipment or structures that have come into contact with C. Verify that the farm has sufficiently documented equipment or structures that have come into No evidence
spilled chemicals and have been subsequently cleaned.
contact with spilled chemicals and the actions taken to clean the affected areas.
Criteria 5.2: Energy efficiency
a. Maintain records (e.g. receipts) of on-farm fuel and electricity usage. A minimum of 12 A. Verify the farm maintains records.
months of continuous records are required before the first audit.
5.2.1
Indicator: Evidence of energy use monitoring
relative to production and ongoing effort to
improve efficiency
Requirement: Yes
Applicability: All
b. Compute the annual energy consumption for the last 12 months. Energy usage is
itemized and summed in kilojoules. Conversions of energy components to kilojoules of
energy can be found at:
B. Verify the accuracy of the calculated annual energy consumption.
http://tonto.eia.doe.gov/energyexplained/index.cfm?page=about_energy_conversion_c
calculator.
c. Using results from 5.2.1.b and the total weight (metric tons) of shellfish produced over C. Verify the accuracy of the calculated energy consumption relative to production.
the last 12 months, determine the farm's energy consumption relative to production.
Evidence
Cluster Rilan keeps records of farm's fuel, propane gas and electricity usage. Twelve
months of continuous records were available before the first audit.
Evaluation
Calculations were provided and reviewed: were not calculated correctly, energy forms
not converted to kj
Farm has provided estimated and actual harvest for 2015-2016 cycle.
Calculation not properly done.
1
d. Document the main procedures undertaken by the farm to improve energy efficiency D. Report the main procedures used by the farm to improve energy efficiency and include a short Energy consumption relative to production is already very low because farms use very
and provide a short summary of the effectiveness of those procedures.
summary of effectiveness in the audit report.
little electricity, diesel, or gasoline in the process. Main fuel used is propane gas
utilized in boats and barges. Pesquera Apiao S.A requires implementation of energy
saving procedures included in the environmental management Plan.
5.2.2
Indicator: Maintenance records for farm
a. Prepare a maintenance plan which identifies the schedule for regular maintenance of A. Verification that the farm has a plan covering regular maintenance of key farm equipment.
equipment (e.g., boats and generators) are up to farm equipment including boats and generators.
date and available
Requirement: Yes
Applicability: All
b. Maintain records of equipment maintenance. A minimum of 12 months of continuous B. Verify that maintenance records of equipment are accurate and complete for prior 12 month
maintenance records must be provided for the first audit.
period
Maintenance plan was reviewed on land base office for boats, motors, winches and
tractors. Scheduled maintenance every 300 hours for motors, including oil changes, etc.
Log of service hours for equipment and maintenance plan is kept on land base.
Records of maintenance for motors, generators, oil changes etc., were checked in
records available from 12.27.2010 to 09.05.2016 (implemented in Excel sheets and
complete)
Conforming
PRINCIPLE 6. BE A GOOD NEIGHBOR AND CONSCIENTIOUS COASTAL CITIZEN
6.1 Criteria: Community relations and interaction
6.1.1
6.1.2
6.1.3
6.1.4
Indicator: Visible floats must be of a uniform
color, except where otherwise specified by law
(if applicable to growing area)
Applicability: All
Evidence
a. If the farm uses visible floats, ensure that they are all uniform in color.
A. If applicable, verify through site inspection that floats are uniformly colored.
Most floats are grey, first and last orange, but sometimes a grey has been replaced by
an orange one, less than one percent. There are yellow marker buoys with a slanted
cross at the four corners of the growing area, as required by Chilean law, enforced by
Dept. of Nay and or Sernapesca. Floats are uniformly arranged. T
-
a. Ensure that visible farm structures are uniformly positioned and oriented and do not
Indicator: Uniform positioning and orientation of impede navigation.
visible farm structures, except where specified
by law (if applicable to growing area)
Applicability: All
Indicator: Allowance for floats made out of opencell Styrofoam
a. Ensure that no open-celled Styrofoam floats are used or located on the farm.
Requirement: None
Applicability: All
a. Prepare a list of all sources of noise, light and odor originating on the farm and
Indicator: Noise, light and odor originating from
include actions taken to reduce them
the farm are minimized in areas where it may
impact others (if applicable to growing area)
b. Ensure that designated storage areas and containers exist for the materials that
create odors.
Applicability: All
a. Provide a copy of local navigation rules and regulations.
6.1.5
6.1.6
6.1.7
6.1.8
B. Verify that lights and bright colored buoys are minimized in comparison to those required for
navigational safety
A. Verify through site inspection
A. Verify through site inspection that open-cell Styrofoam is not located on or used by the farm.
Conforming
No open-cell styrofoam floats used in Rilan farms
Conforming
A. Verify the existence of a list of all sources of noise, light and odor originating on the farm.
Verify that actions taken to reduce these sources are appropriate.
No noise except for boat (outboards), and floating platform used for certain duties have
generators to power hydraulic winches. Both of these motors inspected at Curahue 1 y
2 look functional but old.
B. Verify through site inspection that storage areas and containers for materials that may create No odors at time of audit, however no harvests occurring during this time of year.
odor exist and are clearly designated.
A. The farm maintains a copy of local navigational rules and regulations.
Copy of local navigational rules from DIRECTEMAR, Instrucciones Generales de
Navegación en Las Cercanías de la Costa y aguas interiores.
Navigation Law DL (M) N° 2.222 since 05.21.1978, stipulated in article 14 in "
Reglamento para fijar dotaciones de seguridad de las naves" D.S (M) N° 31 01.14.1999.
Reglamento general de orden, seguridad y disciplina en las naves y litoral de la
republica, D.S.(M) N° 1.340 1941.
b. Maintain records of the training of relevant farm staff in local navigational rules and B. Verify from records that all relevant staff have been trained.
regulations.
All motorists need to pass a licensing exam in order to operate a boat: Tripulante Nave
Menor (Small Vessel) Licence, issued by the General Directorate of Maritime Territory
and Merchant Marine. Operator Licenses were reviewed.
-
Boats operators showed knowledge of navigation rules during audits.
C. Verify through on-site interviews that workers are able to demonstrate an understanding of
local navigational rules and regulations and the competency to act in accordance.
a. Maintain a record of effort spent cleaning the receiving shoreline in response to gear A. Verify the existence of a record of cleaning the receiving shoreline. Verify that the clean-up
Indicator: Documented clean-up of receiving
frequency accurately reflects the probability of gear loss based on local conditions.
shoreline in response to gear loss based on local loss. Record shall span at least a 12 month period prior to the audit.
conditions
Applicability: All
a. Ensure that all substantial gear is clearly labeled and identifiable as belonging to the
Indicator: Substantial gear (e.g., floats, cages,
farm. At a minimum, labeled gear shall include floats, cages, bags, predator nets and
bags, predator nets and racks) is identifiable to racks.
farm (if applicable to growing area)
A. Verify through site inspection that any farm equipment is attributable to farm.
Requirement: Yes
Applicability: All
Floats are of minimum size required for efficient operation. Color is not unnecessarily
bright. Float protrude about 50 cm above water surface
In addition, the farms maintained a copy of the rules and conditions for
operation of aquaculture concessions from DIRECTEMAR called: Reglamento sobre
concesiones marítimas, D. S. (M) N° 660 06.14.1988 14. Includes navigational
considerations and
requirements amongst other issues.
a. Ensure that the farm maintains equipment and /or mechanisms for recovering lost
gear.
Conforming
Farms structure are uniformly positioned and oriented and do not impede navigation.
Indicator: Evidence of compliance with all
applicable navigational rules and regulations
Applicability: Sea-based Farms
Indicator: Provision of equipment for gear
recovery (e.g., scoop nets and grapple hooks)
Applicability: All
Evaluation
A. Verify through site inspection that the farm has recovery equipment and/or mechanisms for
recovering lost gear.
Rilan kept records of shoreline clean-ups in response to gear loss; farm has a Beach
Clean-up Plan. Records cover a span of at least a 12 month period prior to the audit.
Records since 2014 are available and last record is from 08.22.2016.
Conforming
Conforming
Gear was clearly labeled and identifiable as belonging to Apiao, including all floats,
buoys, barges, boats, winches, ropes.
Conforming
No special equipment for collection. All structures and buoys are fixed by anchoring to
bottom of sea. Collection of loose equipment is done from boats with hooks, etc.
Conforming
Minor Non-conformity
Major Non-conformity
N/A
a. Provide documentation of a mechanism for the collection and decommissioning of
gear.
6.1.9
Indicator: A mechanism (e.g., insurance or an
industry agreement to collect derelict gear) is in
place for the decommissioning of abandoned
farms
Requirement: Yes
Applicability: All
A. Verify the existence of a mechanism for the collection and decommissioning of gear.
a. Provide documentation outlining the farm's protocol for responding to complaints
lodged by stakeholders, community members, and organizations.
6.1.10
b. Maintain publically available documentation of registered complaints and farm
Indicator: Conflict resolution protocol, including responses.
publicly available registry of complaints and
evidence of due diligence to resolve them
Applicability: All
6.1.11
Indicator: Evidence of outreach (e.g., meeting
records, newsletters, consultation with
communities and indigenous groups, or
membership in association with documented
outreach program)
Applicability: All
6.1.12
Indicator: Evidence of acknowledgment of
indigenous groups’ rights (if applicable to
growing area)
Applicability: All
a. Provide documentation of community outreach and measures taken to maintain
positive communication. Documented evidence shall include one or more of the
following:
- meeting records,
- newsletters,
- records of consultation with communities and indigenous groups,
- membership in an association with a documented outreach program
A. Verify the existence of a farm protocol for responding to complaints lodged by stakeholders,
community members, and organizations.
Govt decree 320 -D.S.320/2001 Environ. Reg., for Aquaculture has provisions for aquac.
operations and indicates responsibilities to keep equipment in order and area clean of
debris, and also proper disposal of debris, garbage. Infractors are subjected to
substantial fines.
RAMA and RESA regulations indicate rules for disposal, cleanliness, etc. All concession
are supervised by Maritime Authority, SERNAPESCA and SMA (Superintendent of
Environment); if the farms had derelict gear or abandoned there would be fines.
Pesquera Apiao S.A provided documents that complied with Maritime Authority,
SERNAPESCA and SMA regulations,
Conforming
There was no evidence of a farm protocol for responding to complaints lodged by
stakeholders, community members, and organizations.
1
B. Verify that the farm implements its policy for handling stakeholder complaints as evidenced by Refer to the evidence written in the criteria 6.1.10 a
farm documentation.
C. Verify from the record that past complaints, when brought to farm attention, were dealt with There are no past complaints or records for this criteria. The interviewed stakeholders:
swiftly. Confirm through interviews with representatives from the local community.
Mr. Victor Flores – Captain of Quemchi Port, Mr. Osvaldo Aguilar- Community leader of
the neighborhood council of Aucar, Mrs. Marion Soto- President of Tourism, from
“Quemchi” community (10,000 inhabitants) assured that all agreements, questions or
complaints are talked face to face with the company staff. They are satisfied with the
relationship they have built with APIAO S.A.No records, but no complaints from the
community in interviews.
A. Verify that the client has documentary evidence of community outreach
A. Verify that records of agreement or proof of acknowledgement are evident and available.
Attached evidence of community outreach. Apiao S.A and St. Andrews commitment to
develop academic activities, research and trainings. (Annex 01). The interviews with
local inhabitants confirm that Apiao S.A. is a good neighbour and helps community
activities and hiring local people. This people feel that Rilan and Rilan has gained an
strategic ally to rely on. Attached evidence: record of agreement between Apiao S.A.
and the sea institute "Captain Williams" (Annex 02)
Conforming
N/A. There are no indigenous groups surrounding or near the company at the
communities of Rilan.
a. Provide a record of agreement or proof of acknowledgement of indigenous rights
Conforming
PRINCIPLE 7. DEVELOP AND OPERATE FARMS IN A SOCIALLY AND CULTURALLY RESPONSIBLE MANNER
7.1. Criteria: Child labor
a. Minimum age of permanent workers is 15 or higher (per national legal minimum age).
7.1.1.
Indicator: Incidences of child [14] labor [15]
Requirement: 0
Applicability: All
Evidence
Chilean regulations on child labour follow the International Labour Organization -OIL
standards . The company assures not to hire workers under 18 years old. It was
evidenced with employees tax information in "Rol Único Tributario" - RUT)
b. System exists to monitor hours and conditions of young workers and light work by children.
Apiao S.A. company does not have young workers (between 15 and 18 years of age).
c. Young workers from 15 to 18 years of age [as defined in footnote 16]: have no conflicts between work and schooling; do not spend more than 10 hours/day on transportation time,
school and work; and do not perform hazardous work [as defined in footnote 17].
d. Children under 15 perform only light work. Light work & school not to exceed 7 hours/day.
e. Equal treatment for children of migrant workers.
Evaluation
Conforming
Footnote
Footnote
[14] A “child” is defined as any person less than 15 years of age. A higher age would apply if the minimum age law stipulates a higher age for work or mandatory schooling. If, however, the local minimum age law is set at 14, in accordance with developing country exceptions under International Labor Organization (ILO) Convention 138, the lower age will
[15] “Child labor” is defined as any work by a child younger than the age specified in the definition of a child, except for light work as provided for by ILO Convention 138, Article 7.
Footnote
Footnote
[16] A “young worker” is defined as any worker between the age of child, as defined above, and under the age of 18.
[17] “Hazardous work” is defined as work that, by its nature or circumstances in which it is carried out, is likely to harm the health or safety of workers.
7.2. Criteria: Forced, bonded, compulsory labor
a. Contracts clearly stated and understood by employees, no ‘pay to work’ schemes through labor contractors or training credit programs.
7.2.1.
Indicator: Incidences of forced [18], bonded [19], b. Employees free to leave workplace and manage their own time.
or compulsory labor
Requirement: 0
c. Employer does not withhold employee’s original identity papers.
Applicability: All
d. Employer shall not withhold any part of workers’ salaries, benefits, property or documents in order to oblige them to continue working for employer.
e. Employees not obligated to stay in job to repay debt.
Footnote
Footnote
Evaluation
Evidence
There are contracts for permanent and temporary workers, defined and understood by
employees of Apiao S.A. company. All the clauses and commitments on both parts
(employee and employer) for all issues in this criterion, are described in the contract.
(Annex 03)
The employers interviewed know that they are free to leave workplace and manage
their own time.
Employer does not withhold employees original Ids. This was evidenced by workers
interviewed.
The contract shows clearly all the items about salaries. Employer does not withhold any
part of workers benefits.
Conforming
Employees are not forced to stay in job to repay debt. This was evidenced by workers
interviewed.
[18] “Forced labor” is all work or service that is extracted from any person under the menace of any penalty for which said person has not offered himself or herself voluntarily or for which such work or service is demanded as a repayment of debt. “Penalty” can imply monetary sanctions and physical punishment, such as loss of rights and privileges or
[19] “Bonded labor” is when a person is forced by the employer or creditor to work to repay a financial debt to the crediting agency.
7.3. Criteria: Discrimination
7.3.1.
Footnote
Indicator: Incidences of discrimination [20]
Requirement: 0
Applicability: All
a. Written anti-discrimination policies in place, stating that the company does not engage/support in discrimination in hiring, remuneration, access to training, promotion, termination or
retirement based on race, caste, national origin, religion, disability, gender, sexual orientation, union membership, political affiliation, age or any other condition that may give rise to
Evidence
Anti discrimination policy in Apiao's "Internal rules of Order, Health and Safety", in
chapter XVI- "Provisions related to Law N°20.609"
b. Worker testimony supports that the company does not interfere with the rights of personnel to observe tenets or practices, or to meet needs related to race, caste, national origin,
The employer respects the principle of equal pay for equal work and equal access to job
religion, disability, gender, sexual orientation, union membership, political affiliation or any other condition that may give rise to discrimination. Records indicate objective mechanisms for opportunities, promotions and raises. This was confirmed by workers interviewed.
employee reviews and the offering of promotion and training opportunities
Evaluation
Conforming
[20] “Discrimination” is any distinction, exclusion or preference, which has the effect of nullifying or impairing equality of opportunity or treatment. Not all distinction, exclusion or preference constitutes discrimination. For instance, a merit or performance-based pay increase or bonus is not by itself discriminatory. Positive discrimination in favor of people
7.4. Criteria: Health and safety
7.4.1.
Indicator: All health and safety related accidents
a. Documentation is generated with regards to occupational health and safety violations.
and violations are recorded and corrective
b. Corrective action plans are implemented in response to accidents that have occurred. This should include: analysis of the root causes, address the root causes, remediate and prevent
action is taken when necessary
future accidents of similar nature.
Requirement: Yes
a. Minimization of hazards/risks in the working environment, including documented systemic procedures and policies to prevent workplace hazards and their risks, shall exist and the
information shall be available to employees.
b. Emergency response procedures shall exist and be known by employees.
7.4.2.
Indicator: Occupational health and safety
training is available for all employees
Requirement: Yes
Applicability: All
c. Health and safety training for all employees is available, including training on potential hazards and risk minimization.
d. Potentially dangerous chemicals are stored properly and as prescribed.
7.4.3.
Indicator: Employer responsibility and proof of
insurance (accident or injury) for employee
medical costs in
a job-related accident or a. Documentation maintained by management confirms that all personnel are provided sufficient insurance to cover costs related to occupational accidents or injuries. Equal insurance
coverage must include temporary, migrant or foreign workers.
injury, unless otherwise covered
Requirement: Yes
Applicability: All
Evidence
There were no records of health and safety violations.
There were no records of health and safety violations or accidents that have occurred.
Evaluation
Conforming
There were no records of health and safety violations or accidents that have occurred.
The consultant of risk analysis and safety gave courses on subjects of first aids, response
to hazards, use of PPE, etc. However, it was evidenced at the interview with workers
that they don’t know how to use the extinguishers and the hydraulic crane arm boat.
(Annex 05) The procedures for using the hydraulic hooks and crane arms are detailed
but there is no register of training.
1
Major Non Conformity
Refer to the evidence written in the criteria 7.4.2 b
Rilan farm from Apiao S.A. does not apply chemicals into the sea. The auditor observes
there is no evidence of dangerous chemicals stored at the warehouse. In this area we
can find other inputs and tools.
All the employees have sufficient insurance to cover the costs of an occupational
accident or injury. Apiao S.A. has an agreement with "Asociación Chilena de
Seguridad". This is a private association of security that confirms fulfilment of all the
items of this criterial (Annex 06)
Conforming
7.5 Criteria: Fair and decent wages
7.5.1.
Indicator: Payment of fair and decent wages
Requirement: Yes
Applicability: All
Evidence
a. Employers/Managers understand and have policies to ensure the principle of equal pay for equal work.
The employer understands and has internal polices to ensure the principle of equal pay
for equal work. This was reviewed in the internal rules for order, health and safety,
chapter XVII- related to Chilean Law N°20.422, all written in compliance with the
criteria. (Annex 04)
b. Employers ensure wages paid for a standard working week (no more than 48 hours) always meet, at least, legal/industry minimum standards.
Item N°17 of the chapter V in Internal rules of order, health and safety - "working day"says: The ordinary working hours shall not exceed 45 hours per week, which may not be
distributed in more than six or less than five days and in no case may exceed the normal
working hours of 10 hours per day. (Annex 04)
c. Labor conflict resolution policy in place to track conflicts and complaints raised, and responses to conflicts and complaints.
There is no labor conflict resolution policy. The book used for suggestions and
complaints is empty. The workers are afraid of reprisals if they submit their comments
and signing the book (Annex 07). Example of two complaints heard by the auditor: the
workers buy their own working pants. Is the company responsible for providing this
PPE? (Annex 08). 2.- We don't have a extinguisher on the platform (Annex 09)
d. Ratio of lowest wage rate to basic needs wage always exceeds 100%.
Evaluation
1
The employer maintains documents of wages paid to workers. The lowest paid workers
earn at least the minimum wage in Chile.
7.6. Criteria: Freedom of association and collective bargaining
a. Workers have the freedom to form and join any trade union, free of any form of interference from employers or competing organizations set up or backed by the employer. The ILO
specifically prohibits "acts which are designed to promote the establishment of worker organizations or to support worker organizations under the control of employers or employers'
organizations".
Evidence
Evaluation
Rilan farm has permanent and temporary workers. According to Chilean law, Rilan farm
from Apiao S.A. is the only one that can form a collective bargaining committee
because it has more than 22 permanent workers.
b. Local trade union, or where none exists a reputable civil-society organization, confirms no outstanding cases against the employer for violations of employees’ freedom of association
and collective bargaining rights.
Workers interviewed confirm no outstanding cases against the farm management for
violations of employees' freedom of association and collective bargaining rights.
7.6.1.
Indicator: Employees have access to freedom of
association and collective bargaining
c. Trade union representatives have access to their members in the workplace at reasonable times on the premises.
Requirement: Yes
Applicability: All
d. Explicit communications from the employer about their commitment to freedom of association and collective bargaining rights of all.
e. If trade unions exist, they are able to access/inform all workers directly (posters, pamphlets, visits).
The Human resources manager of APIAO S.A. at Rilan Farm verbally assured that the
criteria will be fulfilled once the workers have chosen their workers organization.
Conforming
Interviewed workers confirm that they have received communications from the
employer about their commitment to freedom of association and collective bargaining
rights at Rilan Farm.
APIAO S.A. is in the legal process for approval of its collective bargaining or trade
union.
7.7. Criteria: Non-abusive disciplinary practices
7.7.1.
Indicator: Incidences of abusive disciplinary
practices occurring on the farm
Requirement: 0
Applicability: All
Evidence
a. There is never any use of or support for (e.g. subcontractors using) corporal punishment, mental or physical coercion, or verbal abuse.
There are no cases of corporal punishment, mental abuse, physical coercion, etc.
b. Fines or wage deductions shall not be acceptable as a method for disciplining workers (indicated by policy statements, as well as evidence from worker testimony).
Fines or wage deductions are not accepted as disciplinary measures.
c. Procedures exist for situations in which disciplinary action is required, and they establish the use of progressive verbal and written warnings. Aim should always be to improve the
worker before letting him/her go. (Indicated by policy statements as well as evidence from worker testimony).
Employer does not use threatening, humiliating or punishing disciplinary practices that
negatively impact a worker’s physical and mental health or dignity. This was confirmed
in worker's interviews.
Evaluation
Conforming
7.8. Criteria: Working hours
a. No deductions in pay for disciplinary actions.
b. Wage and benefits are clearly articulated to employees and rendered to employees in a convenient manner; e.g. no need to travel to collect benefits, no promissory notes, coupons or
merchandise; payment in cash or check.
7.8.1.
Indicator: Incidences, violations or abuse of
working hours and overtime laws or
expectations
Requirement: None
Applicability: All
Evidence
There were no deductions observed in pay for disciplinary actions.
All the employees have a current account card in a local bank, which may be: Banco
Estado Chile, BBVA, Falabella, BCI, Santander. Apiao S.A. uses an electronic payment
method.
c. Labor-only contracting or false apprenticeship schemes are not accepted, including: revolving/consecutive labor contracts used to deny benefit accrual.
d. Clear, transparent mechanism for wage setting known to employees.
Labor-only contracting or false apprenticeship was not observed.
The contract clearly shows all wage details. The company makes a clear and
transparent deal for wage setting with the employees.
e. Employer shall comply with applicable laws and industry standards related to working hours. “Normal workweek” can be defined by law but shall not on a regular basis (constantly or
majority of the time) exceed 48 hours. Only if allowed by law, variations (to the 48-hour regular work week) based on seasonality may apply.
Internal rules for order, health and safety, item N°17 in chapter V - "working day"- says:
The ordinary working hours shall not exceed 45 hours per week, which may not be
distributed in more than six or less than five days and in no case may exceed the normal
working hours of 10 hours per day. (Annex 04)
f. All overtime shall be paid at a premium and should not exceed 12 hours per week.
Overtime is paid at a premium. Example of an employee record (payroll) attached
(Annex 10)
g. Overtime work shall always be voluntary.
Interviewed workers affirm that "All overtime is voluntary"
Evaluation
Conforming
4
1
ASC Audit Report - Traceablity / Reporte de auditoría ASC - Trazabilidad
10
Traceability Factor / Factor de Trazabilidad
Describe any traceability, segregation, or other
systems in place to manage the risk / Describir
Description of risk factor if present / Descripción de los
cualquier sistema de trazabilidad, segregación u
factores de riesgo, si están presentes
otros implementados en sitio para manejar el
riesgo
10.1
The possibility of mixing or substitution of
certified and non-certified product, including
product of the same or similar appearance or
species, produced within the same operation. La
posibilidad de mezcla o sustitución entre
producto certificado y no certificado,
No Risk / No hay Riesgo
incluyendo producto de la misma o similar
apariencia o especies,producidos dentro de la
misma operación.
No risk of substitution of certified with noncertified
product within the unit of certification as all mussel
in the farms are within the scope of the ASC Bivalves
Standard audit./ No existe riesgo de sustitución de
producto certificado con producto no certificado
dentro de la unidad de certificación, todos los
mejillones de los centros de cultivo están dentro del
alcance de la auditoria del Estándar ASC Bivalvos.
10.2
The 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. / La
posibilidad de mezcla o sustitución entre
producto certificado y no certificado,
incluyendo producto de la misma o similar
apariencia o especies, presentes durante la
producción, cosecha, transporte,
almacenamiento, o actividades de
procesamiento.
No risk of substitution of certified with noncertified
product within the unit of certification as all
mussels in the farms are within the scope of the ASC
Bivalves Standard audit. Transports are identifiable
on production units ( farm and lines). The mussels
only are transported from a farm to the Processing
plant at a time.
No existe riesgo de sustitución de producto
certificado con no certificado dentro de la unidad
de certificación, todos los mejillones de los centros
de cultivo están dentro del alcance de la auditoria
del Estándar ASC Bivalvos. El transporte siempre es
identificado a nivel de unidades productivas ( centro
de cultivo y lineas). Sólo se transportan peces desde
un centro de cultivo hasta la planta de proceso a la
vez.
10.3
The possibility of subcontractors being used to
handle, transport, store, or process certified
products / La posibilidad de que subcontratos
manipulen, transporten, almacenen o procesen
productos certificados.
Harvested mussels are transferred to the
subcontracted truck on the barge and is under
supervision of farm manager. No other
transshipment activities take place. The
subcontractor is under the supervision of the farm
manager.
Los mejillones cosechados se
transfieren al camión subcontratado en la barcaza y
se encuentra bajo la supervisión del administrador
del centro de cultivo. No hay otras actividades de
transbordo se llevan a cabo. El subcontratista se
encuentra bajo la supervisión del administrador del
centro de cultivo.
Low Risk / Bajo Riesgo
10.4
10.5
Any other opportunities where certified product
could potentially be mixed, substituted, or
mislabelled with non-certified product before
the point where product enters the chain of
custody / Cualquier otra oprotunidad donde
producto certificado pudisese potencialmente
mezclarse, sustituirse o perder su etiquetado
con productos no certificados antes del punto
donde los productos entren a cadena de
custodia.
Detail description of the flow of certified
product within the operation and the associated
traceability system which allows product to be
traced from final sale back to the unit of
certification / Descripción detallada del flujo
del producto certificado dentro de la operación
y el sistema de trazabilidad asociado, que
permita trazar el producto desde la unidad de
certificaciín hasta su venta.
Traceablity Determination Determinación de la
trazabilidad:
10.6.1 The traceability and segregation systems in the
operation are sufficient to ensure all products
identified and sold as certified by the operation
originate from the unit of certification, or can
be eligible to carry the ASC logo / El sistema de
trazabilidad y segregación en la operación son
suficientes para asegurar la identificación de
todos los productos cultivados por la unidad de
certificación hasta su venta como producto
certificado, o bien sea considerado como apto
para portar el logo ASC.
At no point is there an opportunity for mixing
certified and non-certified mussels / En ningún
momento hay una oportunidad para la mezcla de
mejillones certificado y no certificado.
The mussels will remain in grow-out lines until market size is reached. Then mussels from the farm is sent to
the processing plant using a subcontracted transport company (All movements are recorded in internal and
obligatory documents and are very important to keep a good traceability suystem)
All harvests are tracked by batches (Lots) assigned by the processing plant, each Lot is unique and all is
controled by a traceabilty system that is robust and efficient according to the Management System
implemented. These Processing plants are certified under the following standards: HACCP, BAP, IFS, Organic
Standard EU 834/889, and ASC COC.
Los mejillones se mantendran en las lineas de engorda hasta que se alcance el tamaño de mercado. En este
punto se llevan los mejillones del centro de cultivo hasta la planta de procesamiento mediante una empresa
de transporte subcontratado; todos los movimientos están respaldados por los documentos internos y
obligatorios y son muy importantes por mantener una buena trazabilidad.
Todas las cosechas son rastreadas por lotes asignados por las plantas de procesamiento. Cada Lote es único y
todo es controlado por el sistema de Trazabilidad que es robusto y eficiente de acuerdo a implementado
Sistema de Gestión. Esta planta de procesamiento tiene certificaciones como: HACCP, BAP, IFS, Organic
Standard EU 834/889, and ASC COC.
10.6
The traceability and segregation systems used in the operation are sufficient to ensure that all products
identified and sold as certified originate from the unit of certification. El sistema de trazabilidad y de
segregación utilizados en la operación son suficientes para asegurar que todos los productos identificados y
vendidos como certifica su origen en la unidad de certificación.
10.6.2 The traceability and segregation systems are
N/A.
not sufficient and a separate chain of custody
certification is required for the operation before
products can be sold as ASC-certified or can be
eligible to carry the ASC logo. El sistema de
trazabilidad y segregación en la operación son
suficientes. De manera independiente se
requiere la certificación de la cadena de
custodia para la operación, antes de que los
productos sean vendidos como productos
certificados ASC o puedan ser considerados
como aptos para portar el logo ASC.
10.6.3 The point from which chain of custody is
required to begin / El punto desde el cual se
requiere que la cadena de custodia comience.
The chain of custody begins at the point of transfer to the processing facility.
La cadena de custodia comienza en el punto de transferencia a la planta de procesamiento.
10.6.4 Is a sepearate chain of custody certificate
required for the producer? Se requiere
certificado de cadena de custodia por separado
del productor?
No. Pesquera Apiao S.A. processes the mussels in Processing Plants N° 10217 and 10752 - Quemchi and
Chonchi in Chiloe island, these plants were audited under ASC Chain of Custody in September 2016.
No. Pesquera Apiao S.A. procesa los mejillones en Plantas de Procesamiento N ° 10217 y 10752 - Quemchi y
Chonchi en la isla de Chiloé, estas plantas fueron auditadas bajo la Cadena de Custodia ASC en septiembre de
2016.
ASC Audit Report Summary / Reporte de auditoría ASC - Resumen
11 Findings / Hallazgos
11.1 A summary table that lists all non-conformities and observations / Tabla resumen en donde se enlistan las no conformidades y observaciones
Descriptions of actions pending
NC reference / Referencia
NC Status /
Clause Reference /Referencia de
Description of NC / Descripción de la NC / Descripción de las
de la NC
Estatus de la NC
la cláusula
acciones pendientes
Action plan by client
ApiaoRilan-2016-1
open /abierta
5.1.4 .a
Machinery has signage and storage areas for
oils and fuels, however spill containment
structures seem insufficient . Oil spills
noticeable outside shops, some storage
areas.
La maquinaria y areas de almacenamiento
de aceites y combustibles cuenta con
señalización, sin embargo las estructuras de
contención de derrames parecen
insuficientes. Derrames de
aceite/combustible fuera de algunas áreas
de almacenamiento.
ApiaoRilan-2016-2
ApiaoRilan-2016-3
ApiaoRilan-2016-4
ApiaoRilan-2016-5
open /abierta
open /abierta
open /abierta
open /abierta
5.2.1 b
The accuracy of the calculated annual
energy consumption was wrong.
La exactitud del calculo del consumo de
energía anual fue erróneo.
6.1.10 a
There was no evidence of a farm protocol
for responding to complaints lodged by
stakeholders, community members, and
organizations.
No hubo evidencia de un protocolo para
responder a las quejas presentadas por los
interesados, miembros de la comunidad y
organizaciones.
7.4.2 b
Interview with workers show that they
don’t know how to use the extinguishers
and the hydraulic crane arm boat. (Annex
05) The procedures for using the hydraulic
hooks and crane arms are detailed but
there is no register of training.
MAJOR needs to be closed by 30
Se evidenció en la entrevista con los
December 2016
trabajadores que no saben cómo utilizar los
extintores y la grúa hidráulica Barco del
brazo. (Anexo 05) Los procedimientos para
el uso de los ganchos y brazos hidráulicos
de la grúa se detallan pero no hay registro
de la formación.
7.5.1 c
There is no labor conflict resolution policy.
The book used for suggestions and
complaints is empty. The workers are afraid
of reprisals if they leave their observations
signing the book (
No existe una política de resolución de
conflictos laborales. El libro utilizado para
sugerencias y quejas está vacío. Los
trabajadores tienen miedo a las represalias
si salen de sus observaciones que firman el
libro
11.2 A copy of the non-conformtity report form completed for each non-conformity and observation raised / Copia del formulario del reporte de NC terminado para cada una de
12 Evaluation Results / Evaluación de los resultados
12.1 A report of the results of the audit of the operation against the
specific elements in the standard and guidance documents /
Reporte de los resultados de auditoría para los Principios
específicos de la Norma y documentos guía.
12.2 a clear statement on whether or not the audited operation has
the capability to consistently meet the objectives of the
relevant standard(s) / Una declaración clara respecto a si es
que la unidad de certificación auditada cuenta con la
capacidad de cumplir consistentemente con los objetivos de la
Norma(s) correspondiente(s)
The company showed good overall compliance with the ASC Bivalves standard. Only one major non conformity, 3 minor non conformities and 0 observations were raised during the audit.
La compañía mostró un buen cumplimiento general de la norma ASC bivalvos. Sólo se plantearon 1 no
conformidad mayor, 3 no conformidades menores y 0 observaciones durante la auditoría.
The audit team finds the company to be in compliance with the ASC Bivalves standard, after submittal of
suitable corrective action plans for 1 Major non -conformity, 3 Minor non-conformities that were identified
during the audit along with 0 observations.
El equipo de auditoría encuentra que la empresa cumple suficientemente de acuerdo a la norma ASC
Bivalvos, despues de revisar planes de acción correctivos adecuados para 3 no conformidades menores que
fueron identificados durante la auditoría, junto con 0 observaciones.
12.3 In cases where Biodiversity Environmental Impact Assessment N/A
(BEIA) or Participatory Social Impact Assessment (PSIA) it shall
be added in full to the audit report. IF these documents are
not in English, then a synopsis in English shall be added to the
report as well / En casos donde la Evaluación de Impactos
Ambientales sobre la Biodiversidad (EIAB) o en la Evaluación
de Impacto Social Participativa (EISP), esté(n) disponible(s),
deberá(n) ser incluídas completamente en el reporte de
auditoría Si los documentos no están en Inglés.
13 Decision / Decisión
13.1 Has a certificate been issued? (yes/no) / Se ha emitido el
certificado? (si/no)
13.2 The Eligiblity Date (if applicable) / Fecha de determinación (si
aplica)
No, this is the draft report by public comments.
No, Es el informe borrador para comentarios públicos.
The Eligiblity Date will be the date of certification. La fecha de elegibilidad será la fecha de la certificación.
Final certification decision will be included in final report after completion of stakeholder period (public
comments).
La decisión de certificación final se reportara en el informe final después de la finalización del periodo de las
partes interesadas (los comentarios del público).
13.3 Is a separate coc certificte required for the producer? (yes/no) No. Pesquera Apiao S.A. processes the mussels in Processing Plants N° 10217 and 10752 - Quemchi and
/ Se requiere un certificado de Cadena de Custodia (CdC) por Chonchi in Chiloe island, these plants were audited under ASC Chain of Custody in September 2016.
No. Pesquera Apiao S.A. procesa los mejillones en Plantas de Procesamiento N ° 10217 y 10752 - Quemchi y
separado para el productor? (si/no)
Chonchi en la isla de Chiloé, estas plantas fueron auditadas bajo la Cadena de Custodia ASC en septiembre
de 2016.
13.4 If a certificate has been issued this section shall include / Si un
certificado ha sido emitido, esta sección deberá incluir::
13.4.1 The date of issue and date of expiry of the certificate / La fecha Certification decision will be taken with the final report.
de emisión y fecha de expiración del certificado.
La decisión de certificación será notificada en el informe final.
13.4.2 The scope of the certificate / El alcance del certificado
Supended culture of Chilean mussels / Cultivo suspendido de mejillon chileno - Mytilus chilensis under ASC
Bivalve Standard
14 Surveillence / Vigilancia
14.1 Next planned Surveillance / Próxima auditoría de vigilancia planeada
14.1.1 Planned date / Fecha de
planificación
14.1.2 Planned site / Sitio
Rilan Cluster
definido
14.2 Next audit type
14.2.1 Surveillance 1 / Vigilancia 1
x

Pesquera Apiao SA - Rilan Cluster

Transcripción

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annex to jas certificate

Repaso del capítulo 2B