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Indicator 3.12.1

Requirement

The UoC shall, when concerns arise, engage in dialogue with employees or their representatives, with the intent of avoiding an escalation to a grievance. The UoC shall ensure that employees understand how to engage in this dialogue.

How Do I Interpret This Requirement?

  • The UoC proactively implements a dialogue system that:

    • allows for open participation of all employees

    • is easily accessible to employees on a regular basis

    • provides options for anonymous feedback.

  • Mechanisms for employees to provide feedback and engagement with management could include:

    • dialogue between management and employees

    • engagement with elected employee or union representatives

    • employee meetings or assemblies to solicit feedback

    • employee committees

    • suggestion box that is safely accessible for employees

    • access to an online feedback form or dedicated email address or phone number

    • employee surveys.

  • Issues raised during this process may include suggestions for improvement or highlight negative impacts on employees from the UoC’s activities. Examples can include:

    • operational inefficiencies such as inadequately maintained machinery that may impact efficiency and could cause health risks

    • employee rights such as female employees are paid less than male employees with similar jobs

    • harassment, such as an employee is pressured to begin a romantic or sexual relationship with a supervisor (whether this occurs during or outside work hours and work location)

    • working conditions, such as:

      • employees are frequently asked to work excessive overtime hours

      • employees are not properly compensated for their work.

Evidence of Implementation

  • documentation on the mechanisms available

  • meeting minutes

  • records of actions taken to address issues.

Auditors Should Confirm

  • how the mechanisms for reporting any issues are communicated to the employees;

  • what the procedures are to facilitate dialogue;

  • employees’ awareness of any processes to raise or discuss concerns with managers;

  • how and how often issues can be communicated to the management;

  • the system for reviewing and addressing any issues.

Indicator 3.11.5

Requirement

The UoC shall ensure that all employees working in remote locations have access to a free, private, real-time communication link to communicate externally.

How Do I Interpret This Requirement?

  • Having access to outside communication is important for employees to:

    • protect their mental wellbeing

    • have an opportunity to raise any issues that occur on site.

  • Employees can use this communication link to communicate with:

    • family and friends

    • any independent organisation that they may be aware of (either through information from the UoC or other sources) who can support them.

  • This communication can happen through:

    • an employee’s own mobile phone

    • a telephone provided by the UoC

    • WiFi provided by the UoC for employees.

    • This line of communication is available 24 hours a day.

    • Outside an employee’s working hours there are no restrictions on when employees are able to connect with people outside the UoC.

Evidence of Implementation

  • information about the availability of an outside communication link

  • evidence that the communication link is working.

Auditors Should Confirm

  • that lines of communication are actually working;

  • the availability of these lines of communication for employees.

Indicator 3.11.4

Requirement

The UoC shall arrange for an annual meeting with employees or their representatives to discuss any reasonable improvements required to accommodation. The UoC shall maintain records of these meetings and shall take actions where necessary.

How Do I Interpret This Requirement?

  • Employees can use this meeting to:

    • make suggestions on improvements to ensure accommodation meets requirements related to:

      • safety

      • hygiene

      • privacy

      • sanitary facilities

      • rates

      • highlight any maintenance issues that need to be addressed.

      • Any agreed improvements are acted upon by the UoC.

Evidence of Implementation

  • records of meetings held between the UoC management employee representatives.

Auditors Should Confirm

  • if any issues have been brought to the notice of management and how they have been resolved;

  • the process of raising grievances about living conditions.

Indicator 3.11.3

Requirement

The UoC shall provide access to appropriate sanitary facilities that: a) are clean and hygienic; and b) include adequate privacy measures; and c) include separation by gender if required; and d) are sufficient for the number of people using them.

How Do I Interpret This Requirement?

  • Appropriate sanitary facilities:

    • are located within or in close proximity (i.e. less than 60 metres) to the dormitory or housing facilities

    • are dry and warm

    • have a source of ventilation (e.g. window or fan)

    • have adequate lighting

    • have doors that close and lock for privacy

    • are separated for men and women except in family accommodation

    • are constructed of hard materials that are easy to clean

    • include at least one of the following:

      • pit latrines

      • flush toilets

      • urinals

      • have taps and running water

      • have facilities for the safe disposal of sanitary products.

      • Waste and wastewater are disposed of in accordance with Criterion 2.12.

Evidence of Implementation

  • records of scheduled housekeeping such as cleaning of common areas like toilets, shower stalls, corridors and garbage disposal.

Auditors Should Confirm

  • through a walkthrough of the sanitary facilities that all provisions of this Indicator are met;

  • what employees report on the quality of drinking water, maintenance of sanitary equipment like taps and toilet flushing systems.

Indicator 3.11.1

Requirement

The UoC shall ensure that any accommodation provided for employees or their family: a) is according to applicable legal requirements; and b) has adequate safety provisions; and c) is regularly maintained and kept in good working order; and d) is clean and hygienic; and e) allows for adequate privacy, including separation by gender if required; and f) meets the basic needs of the employees and their families; and g) is sufficient for the number of people using them.

How Do I Interpret This Requirement?

  • Rates are ‘reasonable’ when:

    • below or comparable to similar accommodation available on the market

    • not more than a reasonable proportion of the employee’s income.

  • Where an employee or employee and their family plans to live in employer-provided accommodation:

    • the level of rent is a part of the contracting agreement

    • the site is able to provide a calculation and rationale for the level of rent.

    • If an employee lives in employer-provided accommodation and has an early termination of their contract (for example, due to gross misconduct), they should be entitled to a reasonable period of time to vacate the premises.

Evidence of Implementation

  • records of rental agreements and payments

  • employee contracts

  • payslips.

Auditors Should Confirm

  • the costs of any accommodation;

  • average local rental rates;

  • any additional charges for the provision of water and electricity, which should not be more than what employees would have to pay if they stayed outside the employer-provided accommodation.

Indicator 3.10.4

Requirement

The UoC shall not deduct from wages or benefits as part of any response to breaches of company rules.

How Do I Interpret This Requirement?

  • A person’s livelihood and ability to feed and provide for themselves and their families should not be impacted by a disciplinary action at work.

  • Wages cannot be withheld for disciplinary action from any:

    • regular wages

    • payments for overtime

    • other benefits such as fixed year-end bonuses.

    • Non-fixed bonuses that are determined based on performance are not considered a benefit.

    • This indicator applies even if local laws or regulations allow monetary fines to be imposed as part of disciplinary procedures.

  • Suspension can sometimes be used as a disciplinary action. This period of suspension should always be paid unless:

    • suspension for a time is offered to the employee as an alternative to dismissal, this period could be unpaid as long as:

      • the employee has agreed to accept this

      • it is not enacted after the event as deduction from wages.

Evidence of Implementation

  • written workplace conduct response policy

  • payroll documentation to verify if they are deductions other than legally mandated deductions (for example, taxes and employees’ contributions towards social security or health insurance).

Auditors Should Confirm

  • if there have been any fines, as they are not always reflected on pay records;

  • if there are any specific methods of discipline for production targets not being met or for quality issues;

  • any fines that employees have had to pay (for example, for coming late to work, excessive use of toilets, being absent or sick etc.).

Indicator 3.10.3

Requirement

The UoC shall maintain records of responses to breaches of company rules.

How Do I Interpret This Requirement?

  • These records should include:

    • the observed misconduct by the employee

    • the actions taken by the employer, including:

      • copies of written notices

      • withholding of bonuses, suspensions, demotions or dismissals, if applicable

      • the investigation carried out

      • the appeals process by the employee, if applicable

      • who was involved in or witnessed each of these steps.

Evidence of Implementation

  • written workplace conduct response policy

  • records of any workplace response procedures.

Auditors Should Confirm

  • records of any investigations, actions and responses.

Indicator 3.10.2

Requirement

The UoC shall ensure that all employees are aware of, and understand, the workplace conduct response policy.

How Do I Interpret This Requirement?

  • The UoC can inform employees about the workplace conduct response policy by:

    • including it in the employee contract or staff handbook

    • distributing the written policy to employees in languages they understand

    • including the workplace conduct response policy in orientation or ongoing training.

Evidence of Implementation

  • written workplace conduct response policy

  • training records

  • employee handbook.

Auditors Should Confirm

  • training records and employee handbook;

  • employees understand workplace response procedures

  • how employees were trained on workplace response procedures.

Indicator 3.10.1

Requirement

The UoC shall have a written workplace conduct response policy with the intent of setting out the process to respond to breaches of company rules. The policy shall define clear levels of escalation and shall ensure that the employee’s dignity is upheld at all times.

How Do I Interpret This Requirement?

  • The written policy should:

    • outline the process for when employees break any rules of the UoC, detailing:

      • what behaviour may trigger disciplinary action

      • the corresponding action to be taken

      • adhere to local legislation and any collective bargaining agreements in place, particularly regarding cases of potential dismissal

      • list who is responsible for decision-making at different levels

      • outline how employees are rewarded for good work and encouraged to improve

      • be accessible and understandable to all employees

    • be integrated in company processes through training for supervisors and managers, including:

      • how to communicate effectively

      • carry out any responses in a fair and respectful manner.

  • Suspension can sometimes be used as a disciplinary action. This period of suspension should always be paid unless:

    • suspension for a time is offered to the employee as an alternative to dismissal, this period could be unpaid as long as:

      • the employee has agreed accept this

      • it is not enacted after the event as deduction from wages.

Table 5. Examples of levels of escalation in disciplinary procedures (adapted from SA8000):

Type of infraction | Example of infraction | Example disciplinary action progression / escalation plan / procedure

Minor | Isolated incident of tardiness or minor production errors | 1. Oral warning to employee that his/her conduct or level of performance is unacceptable.

| |

| | 2. If unsatisfactory performance or conduct continues or becomes more serious, a written warning identifying the details of the infraction that led to the warning. May contain a request for corrective action, a timeline for correction, and the consequences if not complied with.

| |

| | 3. If the employee fails to improve, a final written warning that documents the continued misconduct or poor performance and explains the consequences of further failure to improve, such as possible suspension or even dismissal.

| |

| | 4. 4. As a last resort, the employee may be suspended, demoted, or dismissed. The employee is given the opportunity to appeal the decision before such action is taken.

Major | Repeated incidents of tardiness or minor production errors | 1. A written warning to the employee identifying the details of the infraction that led to the warning. May contain a request for corrective action, a timeline for correction, and the consequences if not complied with.

| |

| Isolated major production error | 2. If the employee fails to improve, a final written warning that documents the continued misconduct or poor performance and explains the consequences of further failure to improve, such as possible suspension or even dismissal.

| |

| | 3. 3. As a last resort, the employee may be suspended, demoted, or dismissed. The employee is given the opportunity to appeal the decision before such action is taken.

Gross misconduct | – Theft or fraud | 1. The employee may be suspended from work on full pay, while the alleged offence is investigated.

| |

| – Physical violence or bullying | 2. 2. If, on completion of the investigation and the full disciplinary procedure, the organisation is satisfied that gross misconduct has occurred, the result could be summary dismissal without notice or payment in lieu of notice. However, the employee is given the opportunity to appeal the decision before such action is taken.

| |

| – Deliberate and serious damage to property |

| |

| – Serious incapability at work brought on by alcohol or illegal drugs |

| |

| – – Causing loss, damage, or injury through serious negligence |

Evidence of Implementation

  • written workplace conduct response policy

  • training records

  • records of any disciplinary process.

Auditors Should Confirm

  • the workplace conduct response policy complies with the ASC Farm Standard’s intention;

  • employees are aware of the workplace conduct response policy;

  • employees confirm that the company adheres to their policy and actions are fair;

  • there are no monetary deductions imposed during the process.

Useful Resources

Indicator 3.9.11

Requirement

The UoC shall ensure that all employees are granted paid leave as defined by applicable legal requirements or any collective bargaining agreements in place.

How Do I Interpret This Requirement?

  • Paid leave can include:

    • public holidays

    • annual leave

    • maternity/paternity leave

    • sick leave.

    • Types of leave can be defined by national law and collective bargaining agreements.

  • Annual leave:

    • is the longest period of rest available to employees

    • allows physical and mental recuperation and a break from the workplace

    • is paid with normal wages or with additional holiday pay on top of the normal wage (e.g. 13th month)

    • can be taken in days or weeks, with employees being allowed at least a 2-week block, as suggested by ILO standards.

    • Laws in many nations set fixed monthly and yearly minimum leave days.

  • ILO Convention No. 132 (Holidays with Pay Convention, 1970) specifies that annual leave is:

    • 3 weeks of leave for 1 year of service,

    • typically accrued monthly, and

    • calculated pro-rata to their contracted working hours.

  • ILO Convention No. 146 (Seafarers’ Annual Leave with Pay Convention, 1976) can apply in aquaculture when vessels used by the site and subcontractors travel between sites in open water. This convention specifies:

    • 30 days of annual leave for 1 year of service.

  • Annual leave days are not the same as public holidays, which are:

    • set by governments for cultural or historical reasons

    • not counted as part of annual leave days.

Evidence of Implementation

  • contracts

  • collective bargaining agreements

  • working hours records.

Auditors Should Confirm

  • employees understand their entitlement to paid leave;

  • employees do not feel discriminated against when they take annual leave.