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Water Type

Feed Dependent

Species

Indicator 1.5.3

Requirement

Indicator applicability: freshwater trout, flatfish, seabass, seabream, meagre and salmon The UoC shall99An exemption applies to sites in the supply chain that hold valid ASC certification. These sites do not need to comply with Indicator 1.5.3. only stock ASC certifiable product if it can be demonstrated that all sites1010An exemption applies to broodstock sites. in the supply chain conform with the requirements in Appendix 14. An exception applies for salmon sites that are supplied with product from other cage site(s), in which case all cage site(s) in the supply chain shall be ASC certified.

How Do I Interpret This Requirement?

  • Appendix 14 (14.1) establishes that documentation is required to be maintained from the sites in the supply chain to demonstrate that these sites conform with the requirements of this appendix.

    • The documentation should provide information to the extent necessary to ensure that the supplier sites conform with the requirements of Appendix 14 (14.1).

  • Different applicability examples are provided below:

Evidence of Implementation

  • Documentation that demonstrates suppliers of the site conform with the requirements of Appendix 14 (14.1).

Auditors Should Confirm

  • Documentation that demonstrates the suppliers of the site conform with the requirements of Appendix 14 (14.1)

Indicators 1.5.1–1.5.2

Requirement

The UoC shall map their supply chain using the ASC Supply Chain Mapping Template, provided on the ASC website.

The UoC shall only stock ASC certifiable product if accompanied by a completed ASC Stock Status Record,88The ASC Stock Status Record holds batch-specific information on products moving through the supply chain. This includes information on origin of broodstock, treatments, feed, and ASC certification status. provided on the ASC website.

How Do I Interpret This Requirement?

  • Traceability in the supply chain is essential for ensuring transparency, improving product quality and safety, and promptly identifying and addressing issues.

  • The indicators allow for information related to the status of ASC certified products to be passed along the supply chain.

  • The scope of the supply chain that needs to be mapped includes all sites supplying certifiable products, from broodstock onwards.

Evidence of Implementation

  • Completed ASC Supply Chain Mapping Template listing the supply chain from broodstock sites onwards.

  • Completed ASC Stock Status Record.

Auditors Should Confirm

  • ASC Supply Chain Mapping Template is completed listing the supply chain from broodstock sites onwards.

  • Crosscheck mapping with purchase records.

  • ASC Stock Status Record completed.

Indicator 1.4.7

Requirement

The UoC shall report to ASC the production volumes and sales/dispatch volumes of ASC certified and non-certified products originating from each site, and submit specified traceability data (when requested), according to ASC data submission procedures.

No additional guidance is provided for this indicator.

Indicator 1.4.6

Requirement

The UoC shall disclose to buyers of their ASC certified product, upon request, a list of all veterinary therapeutants applied to the product.

No additional guidance is provided for this indicator.

Indicator 1.4.5

Requirement

The UoC shall not sell or dispatch the following as ASC certified: a. crustaceans treated with antibiotics at the UoC, or b. any product treated with antimicrobials listed as Critically Important Antimicrobials for Human Medicine by the World Health Organisation (WHO), at any stage in the lifecycle of the product.

How Do I Interpret This Requirement?

  • This requirement addresses situations where a product may conform to the Standard, however it cannot be sold or dispatched as ASC certified.

  • The UoC should:

    • Maintain detailed records of any antibiotic treatments applied prior to the UoC (see Indicator 1.5.2).

    • Implement a process to ensure that the product under 1.4.5(a) or (b) is not sold or dispatched as ASC certified.

Evidence of Implementation

  • Records:

    • antibiotic treatments, including those applied prior to the UoC.

Auditors Should Confirm

  • UoC’s process to ensure that the product under 1.4.5(a) or (b) is not sold or dispatched as ASC certified.

Indicator 1.4.4

Requirement

Indicator applicability: every UoC using compound feed The UoC shall disclose to all buyers of their ASC certified product when a product’s feed contains >0.9%77European Council. (2003). Regulation (EC) No 1830/2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms and amending Directive 2001/18/EC. European Parliament, Council of the European Union. Genetically Modified Organisms (GMO) or macro ingredients produced from GMO.

How Do I Interpret This Requirement?

  • The required disclosure is to the UoC’s buyers of ASC certified products.

  • A public disclosure is possible but not required.

  • The UoC shall ensure buyers are informed when a product’s feed contains or is produced from GMO.

  • Disclosure may be provided to buyers individually or collectively.

Evidence of Implementation

  • Records:

    • disclosure to buyers.

Auditors Should Confirm

  • Evidence of disclosure to buyers.

Indicator 1.4.3

Requirement

Indicator applicability: every UoC using compound feed The UoC shall demonstrate that feed products, subject to conformance with Indicator 2.12.1, are accompanied by the following information: a. the originating feed mill holds valid certification against the ASC Feed Standard with the appropriate scope of certification in relation to the ASC Production Model (i.e. Mass Balance Production Model or Segregation Production Model product); and b. feed is traceable as ASC-conforming throughout all steps between the feed mill and site; and c. documentation accompanying the feed identifies the feed as ASC-conforming; and d. documentation accompanying the feed identifies the production model applied (i.e. Mass Balance Production Model or Segregation Production Model); and e. for ASC-conforming Segregation Production Model feed, the product is identifiable by a distinct feed name in formal documentation accompanying the product and is listed on the schedule to the feed mill certificate.

How Do I Interpret This Requirement?

  • Indicator 2.12.1 requires the UoC to only use ASC-conforming compound feed.

  • Use of non-conforming feed will be treated as a non-conformity against Indicator 2.12.1.

  • For product which is sold under the segregation model, identifying the feed production model and distinct feed name is required by the ASC Feed Standard, Indicator 3.3.2.

Evidence of Implementation

  • Process to confirm the originating feed mill holds valid certification against the ASC Feed Standard.

  • Records:

    • traceability system and its verification, for example:

      • use of a digital traceability system

      • outcome of any input-output exercises and traceability tests.

      • accompanying documents incorporating information required by 1.4.3(c), (d) and (e).

Auditors Should Confirm

  • Process to confirm the originating feed mill holds valid certification against the ASC Feed Standard.

  • Effective traceability and segregation systems are in place.

  • Outcome of any input-output exercises and traceability tests.

Indicators 1.4.1–1.4.2

Requirement

The UoC shall identify, evaluate and mitigate risks of mixing and substituting ASC certified products with non-certified products at all sites.

The UoC shall develop, implement and maintain a traceability system, covering all sites, to ensure that the following conditions are met: a. only larvae/juveniles that conform with the requirements in Criterion 1.5 are used to produce certified product; and b. all stocked animals are traceable back to the supplier; and c. all batches of ASC certified and non-certified product are identifiable and segregated at all sites and at all times; and d. all batches of ASC certified product are traceable at all times to: – the site(s) used ; and – the production unit(s) used; and e. corrective actions are taken if non-conforming product is identified, sold or dispatched; and f. accompanying documentation shall identify product sold or dispatched as ASC certified or non-certified.

How Do I Interpret This Requirement?

  • The UoC is responsible for ensuring it mitigates risks of substitution and mixing of certified and non-certified products.

  • The UoC may use the Risk Assessment Method outlined in Appendix 3 of the ASC Farm Standard, Section 3.2, to identify, evaluate and mitigate risks of mixing and substituting ASC certified products with non-certified products at all sites (Indicator 1.4.1).

  • Certified and non-certified products shall be identifiable and segregated at all sites and at all times within the UoC (Indicator 1.4.2(c)).

  • This includes during production while fish are alive.

  • Certified products shall be traceable at all sites and at all times within the UoC (Indicator 1.4.2(d)).

  • The UoC may decide to sell products from the UoC as non-certified (Indicator 1.4.2(f)).

  • In this case, the products shall be identified as non-certified when sold or dispatched.

  • The requirements of these indicators establish a consistent, streamlined approach for traceability, identification and segregation at all ASC certified sites.

  • They relieve the need for separate Chain of Custody certification to cover farming activities.

Evidence of Implementation

  • Records:

    • risk assessment and any resulting actions.

    • use or verification of the effectiveness of the traceability system, for example:

      • outcome of input-output exercises and traceability tests.

Auditors Should Confirm

  • Risks have been adequately assessed and mitigated.

  • Effective traceability and segregation systems are in place.

  • Outcome of any input-output exercises and traceability tests.

Indicator 1.3.2

Requirement

The UoC shall ensure that information provided as evidence of conformance to the ASC Requirements is not falsified or misrepresented.

How Do I Interpret This Requirement?

  • Records are documented information that provides permanent evidence about past events. They should:

    • Be completed and maintained in a way that ensures information is accurate and preserved;

    • Be genuine;

      • they should be completed at the time of the checks or shortly after.

    • Capture and illustrate information when processes do not perform as expected.

      • for example, if the cooling system ceases to work, it is important that temperatures above the acceptable range according to internal requirements are recorded so that management can learn from these events.

        • recording temperatures only within the acceptable range will lead to management not understanding that a backup temperature regulator might be needed.

    • Be legible;

    • Be complete;

      • which may include a form of authorisation through the initials of the supervisor verifying records are complete;

  • Be stored appropriately:

    • paper records should be stored in a way that prevents damage.

    • where records are stored electronically, this storage should be backed up.

    • If incidences of falsification of records or misrepresentation of information are identified, corrective action and actions to prevent recurrence should be taken.

Evidence of Implementation

  • Records:

    • that demonstrate genuineness.

    • corrective action and actions to prevent recurrence when incidences of falsification of records or misrepresentation of information are identified.

Auditors Should Confirm

  • records and their genuineness

  • effectiveness of corrective action and actions to prevent

Indicator 1.3.1

Requirement

The UoC shall discourage all forms of corruption and shall encourage ethical behaviour and integrity in their business operations.

How Do I Interpret This Requirement?

  • Corruption can:

    • Happen anywhere;

    • Involve anyone;

    • Take many forms. For example:

      • extortion

      • embezzlement

      • bribery

  • Examples of corruption are:

    • A manager buys supplies from a friend and in return, the friend gives 20% of the profits to the manager. This may go as far as the manager excluding other appropriate suppliers from the system of approved suppliers.

    • A piece of infrastructure has an unsafe mechanism and the owner pays the manager cash to not disclose this at the next audit.

  • Examples of extortion are:

    • Employee A threatens to provide information to the manager which could get Employee B into trouble or fired, unless Employee A is paid a requested amount of money.

    • A site owner threatens to hurt the owner of the neighbouring plot of land unless the land-owner agrees to give up some of his land so that the site can build an additional building.

  • Examples of embezzlement are:

    • A site manager getting cash from the first point of sale in exchange for under-declaring harvest volumes (i.e. the purchaser receiving more product that they are paying for).

    • A sourcing manager purchases cheaper non-eligible feed but registers them as eligible and provides documentation falsely declaring it as more costly eligible feed, as financial sourcing performance increases the sourcing manager’s bonus.

  • Examples of bribery are:

    • A supplier buys a new car for a site manager, in exchange for the site manager giving the sourcing contract to that supplier.

    • A site pays cash to customs officials to speed up the passage of their feed through the import and export system.

    • A sustainability manager offers auditors excessive accommodation and lunches to reduce the audit effort or to turn a blind eye to non-conformities.

Evidence of Implementation

  • Policies preventing corruption, including extortion, embezzlement and bribery.

  • Terms of dismissal should employees engage in these practices.

Auditors Should Confirm

  • Management and employees are aware of:

    • what these practices involve and how to recognise them.

    • the policies in place for preventing corruption, including extortion, embezzlement and bribery.

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