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Indicator 3.6.5
Requirement
The UoC shall uphold any collective bargaining agreements developed.
How Do I Interpret This Requirement?
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A collective bargaining agreement is a labour contract usually set out between a union representing employees and management.
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It can set terms and conditions of employment, including:
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wages
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working hours
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working conditions
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grievance procedures
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rights and responsibilities of the worker representatives and management.
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Evidence of Implementation
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documented collective bargaining agreements and which employees are covered by them.
Auditors Should Confirm
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employees’ and managers’ understanding of the right of collective bargaining
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any collective bargaining agreements in place are upheld.
Indicator 3.6.4
Requirement
The UoC shall report to ASC if there are any collective bargaining agreements in place and if there is any engagement with local trade unions, according to ASC data submission procedures.
How Do I Interpret This Requirement?
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This is a reporting requirement, not a disclosure requirement, which means that all data is held confidentially by ASC, who does not share it publicly.
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Companies should never publicly share personal employee data.
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The information collected through this reporting requirements will enable ASC to:
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gain insights into collective bargaining practices and contact with local trade unions, which will inform the future development of ASC’s collective bargaining and freedom of association requirements, and worker voice programme.
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foster open discussions about collective bargaining, and worker voice.
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Evidence of Implementation
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confirmation of data uploaded to MyASC.
Auditors Should Confirm
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that data uploaded to MyASC is consistent with results of the wage gap analysis.
Indicator 3.6.3
Requirement
The UoC shall not interfere with collective bargaining processes or the establishment, operation, or administration of trade unions or worker organisations.
How Do I Interpret This Requirement?
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The UoC:
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does not disrupt any employees looking to form or join an organisation
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does not interfere in the election of representatives
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allows representatives access to employees and workplaces during working hours
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engages in meaningful negotiations when approached by worker organisations.
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Interference by employers can take many forms, such as making use of their positions of power and influence to:
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coerce or intimidate employees into not participating in workers’ organisations or collective bargaining
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compromise the independence and effectiveness of these organisations and bargaining processes.
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An employee committee or union shall make decisions independently from the management. For example:
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representatives are not appointed or supervised by management when executing their union or employee committee duties
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participation is voluntary
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there is no limitation to the number of employee organisations that can be set up.
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Management should be willing to enter into dialogue with employee organisations.
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Engagement in meaningful negotiations with employee organisations means that the UoC bargains in good faith and does not engage in actions to slow, stop or limit the bargaining process.
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Employee organisations are allowed to hold meetings at the UoC, if that is what they choose to do, but management cannot ask them to do so.
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Evidence of Implementation
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documents related to the representative election process
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list of current representatives.
Auditors Should Confirm
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employee knowledge and awareness on:
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how employee representatives were elected, and if any candidates were chosen by the management
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whether management interferes with the establishment, functioning and administration of employee organisations
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whether employee organisations’ meetings can be held freely and without management interference.
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Indicator 3.6.2
Requirement
The UoC shall allow all employees to engage in collective bargaining. An exception applies where this is restricted by applicable law, in which case the UoC shall allow alternative lawful mechanisms for employee engagement.
How Do I Interpret This Requirement?
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Collective bargaining:
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is a voluntary negotiation between employers and workers organisations to establish the terms and conditions of employment by means of written collective agreements
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aims to reach a collective agreement, however, if bargaining is undertaken in good faith but an agreement cannot be reached, this may still comply with the requirement
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includes mutually agreed conditions that may be beneficial to workers and/or the management, for example, collective bargaining may mean that workers are:
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paid a higher wage other than the minimum prescribed by law
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work a different shift pattern that both workers and management agree is more appropriate to their context.
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Allowing employees to engage in this process includes ensuring that they understand:
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what collective bargaining is
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that they have the right to engage in it.
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Ensuring employees understand this can form part of training on the human rights policy (Indicator 3.1.4).
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The term ‘lawful mechanism’ means a legal process.
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In countries where collective bargaining is restricted by law, the management must allow workers to have parallel means to engage in discussion and negotiation between employees and employers.
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Evidence of Implementation
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documents, records or other evidence that show how sites have informed their employees that they are free to bargain collectively, such as:
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employee contract
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employee handbook
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training records
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written policy
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displayed information on the site
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any collective bargaining agreements that are in place
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meeting minutes of collective bargaining negotiations.
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Auditors Should Confirm
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documents, records or other evidence allow for verifying that sites have informed their employees that they are free to bargain collectively;
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any collective bargaining agreements in place are being followed;
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employees’ awareness and knowledge of their right to bargain collectively;
Indicator 3.6.1
Requirement
The UoC shall allow all employees to join or form a trade union or worker organisation. An exception applies where this is restricted by applicable law, in which case the UoC shall allow alternative lawful mechanisms for employee engagement.
How Do I Interpret This Requirement?
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A trade union or worker organisation represents workers’ labour interests and concerns.
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Employees are allowed to choose:
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whether or not to become a member of a trade union or worker organisation
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which organisation they choose.
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Freedom of association enable employees to:
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collectively advocate for their rights
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negotiate employment terms and conditions
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address workplace grievances effectively.
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These practices make them less vulnerable to unfair and exploitative practices in the workplace.
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Allowing employees to engage in this process includes ensuring that they understand:
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what freedom of association is
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that they have the right to engage in it.
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In cases in which national regulation does not reference migrant employees or does not allow them to join trade unions, the UoC must allow and should encourage them to form an internal employees’ committee that meets periodically and represents migrant employees.
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The term ‘lawful mechanism’ means a legal process.
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In countries where the right to freedom of association is restricted by law, the management must allow employees to choose to have parallel means of association.
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For example, employees can develop an internal employee committee that meets periodically and represents the diversity of employees.
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Evidence of Implementation
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documents, records or other evidence that show how sites have informed their employees that they are free to join or form workers’ organisations of their own choosing, such as:
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employee contracts
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employee handbook
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training records
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written policy
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displayed information on the site
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documents that show how sites have informed their employees of the right to join an alternative organisation
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meeting minutes of alternative organisations.
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Auditors Should Confirm
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whether local laws and regulations permit freedom of association;
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employees’ awareness and knowledge of their right to join trade unions and other workers organisations;
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information from documents and records match with information from employee interviews;
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employee knowledge and awareness on:
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their right to form or join an alternative worker organisation
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their ability to form or join a workers’ organisation, and/or any barriers to doing so.
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Useful Resources
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FOA & worker representation: company guidance. Ethical Trading Initiative.
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Q&As on Business and freedom of association. International Labour Organisation (ILO).
Indicator 3.5.23
Requirement
The UoC shall ensure that commercial divers undergo annual medical tests to confirm they are fit to dive.
How Do I Interpret This Requirement?
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By ensuring that divers are healthy enough to dive, this minimises the risk of negative impacts to their health and safety during dives.
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If a diver has been subcontracted from a diving company, the UoC can ensure that the diving company have taken responsibility for the medical tests.
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Some countries have requirements that medical professionals have to undergo particular training or have particular qualifications to confirm someone’s fitness to work as a commercial diver.
Evidence of Implementation
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records of medical certificates of fitness to dive, signed by a qualified medical professional.
Auditors Should Confirm
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management understand the importance of divers being medically fit and healthy;
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management are able to confirm that all divers are medically fit to dive, whether they have been directly employed or are subcontracted through a diving company.
Indicator 3.5.22
Requirement
The UoC shall ensure that any person involved in commercial diving activities holds commercial diver certification through an accredited organisation.
How Do I Interpret This Requirement?
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Different countries have different certifications for commercial diving, but a normal scuba certification is not and should never be accepted as adequate commercial diver training.
Evidence of Implementation
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commercial diver certificates for all commercial divers working at the UoC.
Auditors Should Confirm
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management understand the relevant qualifications that divers should have to be allowed to dive commercially;
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management are able to confirm that all divers are properly certified, whether they have been directly employed or are subcontracted through a diving company.
Indicator 3.5.21
Requirement
The UoC shall log all commercial diving activities and maintain records, including a list of any persons involved.
How Do I Interpret This Requirement?
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Commercial divers are professional divers who engage in underwater operations and have specific skills and qualifications.
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Through keeping records of commercial diving activities, the UoC can:
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monitor time spent diving
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ensure qualifications of commercial divers
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ensure that appropriate health and safety measures are in place.
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The types of records to keep depends on local regulations and the type of dive certification. At a minimum, records include:
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dives
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time
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depth
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surface time
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associated dive table records.
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This is usually recorded with a dive safety checklist.
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These records are also used for the daily diving plan.
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Evidence of Implementation
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complete diving records
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list of persons involved in diving at the UoC.
Auditors Should Confirm
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diving records are properly maintained for each dive and are up-to-date.
Indicator 3.5.20
Requirement
The UoC shall ensure that machinery and equipment: a) is compliant with applicable legal regulations or other recognised standards; and b) is safely installed, maintained and safeguarded; and c) is only operated by trained employees.
How Do I Interpret This Requirement?
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Accidents and injuries involving machinery and equipment can arise from:
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misuse
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malfunctioning
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bypassing, disabling or malfunctioning safety features.
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All machinery and equipment should be:
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compliant with national or other recognised health and safety standards
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appropriately installed, maintained and safeguarded.
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Only employees trained to use machinery and equipment are permitted to operate it.
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Examples of improper use of machinery may include:
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bypassing or disabling emergency stop buttons, guards or interlocks to speed up processes
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overloading equipment and machinery beyond its capacity
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using equipment for a purpose it is not intended for
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making unauthorised modifications
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ignoring or disabling safety signals.
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Safely installed usually includes being installed according to manufacturer’s instructions.
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Safeguarded means that any warning notices and operational guidance are in place for the machinery and equipment.
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Evidence of Implementation
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records of who is trained to use the machinery or equipment
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maintenance records for machinery and equipment
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instruction manuals for the use of equipment.
Auditors Should Confirm
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employees understand who is allowed to operate the machinery and equipment;
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the UoC has a process in place to ensure the maintenance and upkeep of the machinery and equipment.
Indicator 3.5.19
Requirement
The UoC shall ensure that all buildings and structures on the site are safe to use through adequate construction, maintenance and repair.
How Do I Interpret This Requirement?
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Without adequate construction, maintenance and repair, buildings could collapse if subjected to external forces, which could have devastating results.
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Materials can wear out over time, so continuous inspection and testing structures is important.
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Ensuring adequate construction, maintenance and repair involves regular monitoring by a knowledgeable, designated person, and maintenance and repair.
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Understanding when and by whom construction, maintenance and repair should be checked is a result of the health and safety risk assessment (Indicator 3.5.1).
Evidence of Implementation
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documentation about any surveys or construction carried out at the UoC
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maintenance records.
Auditors Should Confirm
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someone at the UoC is responsible for the wear and tear of the building and for overseeing any construction and maintenance work and has the resources to carry out needed works.
