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Feed Dependent

Species

Indicator 3.13.2

Requirement

The UoC shall identify, avoid and mitigate potential negative impacts on the surrounding communities resulting from its activities.

How Do I Interpret This Requirement?

  • The UoC can be a busy environment, and operations can have an impact on surrounding communities, who may experience increased:

    • noise

    • light

    • pollution

    • dirt and dust

    • traffic and damage to roads

    • restrictions on where people can move around the community.

    • Sometimes the UoC can cause disruption to communities who are further away, for example through increased traffic on the roads by trucks delivering feed early in the morning.

  • In consultation with the community the UoC should:

    • identify if any negative impacts are taking place

    • decide on ways to mitigate these impacts

    • inform the community of the contents of any mitigation plan.

    • See also the guidance for Indicator 3.13.1.

Evidence of Implementation

  • an analysis of any negative impacts caused by the UoC

  • records or minutes of meetings or other engagement with the community

  • a mitigation plan for any negative impacts.

Auditors Should Confirm

  • the UoC understands who the communities are who are potentially impacted by its operations;

  • the UoC has carried out a process of understanding what, if any, the impacts from its operations are for the local communities;

  • where possible, if communities have been engaged in a process of understanding the impacts of the operations of the UoC;

  • communities are aware of the mitigation plan.

Indicator 3.13.1

Requirement

The UoC shall not restrict or negatively affect the legal or customary rights of Indigenous and tribal peoples and local communities to sites that are of special cultural, ecological, economic, religious or spiritual significance.

How Do I Interpret This Requirement?

  • The aim of this criterion is that the UoC:

    • commits to responsible and ethical land and resource management

    • respects the rights and wellbeing of Indigenous and tribal peoples, and local communities.

  • Communities may have lived in the area for centuries, and the natural resources may:

    • hold cultural or religious significance

    • provide them with food security

    • provide them with economic benefits.

  • These areas can include:

    • land

    • lakes

    • rivers

    • streams

    • mangroves

    • marine areas.

    • Communities’ use of these areas and natural resources can be assessed in consultation with communities.

  • It is the responsibility of the UoC to:

    • assess which communities could potentially be affected by its operations;

    • understand and document which resources are vital to the communities;

    • seek and obtain community approval before undertaking changes that have the risk of restricting access to resources;

    • involve local communities in a consultative process to discuss the proposed changes;

    • document any community approvals;

    • engage with communities in a continuous process with annual reviews;

    • set up a permanently accessible mechanism for communities to raise any issues.

  • The UoC can take several steps to engage in these responsibilities:

    • Step 1: The UoC engages in regular consultation and collaboration:

      • identifies the communities, and Indigenous and tribal peoples who may be significantly impacted by the site’s activities

      • initiates a genuine and ongoing engagement and dialogue process with these stakeholders, which includes establishing and maintaining open lines of communication to understand their needs, concerns, and aspirations

      • commits to continually improving practices by being open to feedback and adapting to changing circumstances (see also Indicator 3.13.5).

  • Step 2: The UoC conducts social impact assessments:

  • assesses which communities may be affected by their operations:

    • the physical proximity of a community is less important than the extent of the impact experienced by them

    • engages these communities to conduct thorough impact assessments to understand the potential cultural, and socio-economic consequences of site operations on significant sites (also 3.13.2)

    • If an adequate and up-to-date social impact assessment has already been carried out for another purpose, there is no need to carry out another one. In some cases, the assessment will need to be complemented. The UoC will also need to show it has followed up on its findings.

  • Step 3: The UoC develops a mitigation plan:

    • that is based on the social impact assessments, to eliminate adverse effects on significant sites, in consultation with affected communities

    • implements this plan

    • monitors this plan.

  • Step 4: The UoC educates and trains employees about:

    • the cultural, historical, and ecological significance of the land and water resources in the area to foster a deeper understanding and respect for these resources

    • the mitigation plan

    • ensures that there are employees with the required competencies to conduct community engagement.

  • Step 5: The UoC integrates community engagement into management systems (see also Criterion 1.2):

    • integrates the mitigation plan in company policies

    • ensures there is a member of senior management who is responsible for implementation of these company policies and the mitigation plan

  • Step 6: The UoC establishes conflict resolution mechanisms, which are:

    • clear and fair

    • for resolving disputes or conflicts that may arise between the UoC and Indigenous or local communities

      • agreed upon in advance and involve impartial third parties if necessary (see also Indicators 3.12.4 – 3.12.9).

  • Step 7: The UoC ensures transparency, reporting and communication, internally, to the communities and to other interested stakeholders. This can include:

    • maintaining transparency in operations

    • reporting on community engagement efforts accessible to communities.

    • communicating clearly and well in advance about any activities that have the potential to affect communities.

Evidence of Implementation

  • reports from environmental and social impact assessments

  • impact mitigation plan

  • reports or meeting minutes from community meetings and other engagement

  • documentation from grievance procedures

  • brochures, posters and other materials used for communication with communities.

Auditors Should Confirm

  • which communities may be impacted by the operations of the UoC and if they are Indigenous communities or not;

  • whether the methodology for stakeholder mapping was robust enough to identify the key rightsholders and stakeholders.

  • if the stakeholders identified include diverse groups representing different segments of the community.

  • where possible with communities, that the assessments were conducted in good faith and include all significant sites that the UoC may have an impact on, or where this is not possible seek input from local NGOs or other organisations.

  • the mitigation plan is being implemented;

  • communities understand how to access the UoC’s community grievance mechanism;

  • documentation from grievance processes, the nature of the grievances and how they have been resolved;

  • how communities engage with the UoC;

  • whether there are any conflicts about the use of resources by the UoC or if the UoC has restricted access to sites of religious or spiritual significance for Indigenous people;

  • whether there are any other negative impacts they experience from the UoC.

Useful Resources

Indicator 3.12.9

Requirement

The UoC shall ensure that grievance mechanisms are confidential, and information is only shared where necessary to investigate the grievance.

How Do I Interpret This Requirement?

  • If a confidential grievance process has been requested, anyone managing the grievance process receives, processes, files and monitors records with particular attention to ensuring that the identity of the person raising the claim is:

    • kept confidential

    • not in any public documentation.

  • Sometimes there may be a situation where in order to properly investigate and understand the grievance, the UoC has to share some information about the grievance. If this is the case:

    • the person bringing the grievance should be informed,

    • the information should be shared sensitively and only to those who need to know it.

Evidence of Implementation

  • grievance policy with provisions for confidential procedures

  • records of grievance processes.

Auditors Should Confirm

  • employees understand that the grievance processes are confidential;

  • those processing grievances understand how to keep the process confidential.

Indicator 3.12.8

Requirement

The UoC shall facilitate the establishment of employee representation to support the implementation and maintenance of the grievance mechanism.

How Do I Interpret This Requirement?

  • Employee representation is freely chosen or elected by their peers without interference from management.

  • The UoC staff may wish to have employee representation in the form of a committee to support the grievance mechanism. In this case, the committee:

    • can vary in size depending on the size of the UoC

    • should include representation for diverse groups and consider the needs of vulnerable groups. For example:

      • ensuring a representative number of men and women

      • ensuring that migrant employees are included

      • if the UoC is unionised, a member of the Trade Union should be included.

  • The UoC staff may wish to have employee representation in the form of a committee to support the grievance mechanism. In this case, the committee:

  • Employee representatives:

    • have been trained and are knowledgeable about the business and common grievances that occur

    • understand human rights issues including labour rights, community rights, and Indigenous peoples’ rights, as applicable

    • are seen as accessible and impartial

    • have appropriate skills and authority level to investigate and resolve grievances, and where appropriate, facilitate dialogue, remedy and identify areas of improvement

    • are protected from any reprisals, particularly where they are involved in sensitive issues.

    • The same employee representation may also take on the role of supporting the implementation of the human rights policy (see indicator 3.1.3).

Evidence of Implementation

  • evidence of training for employee representatives on the relevant topics

  • clearly documented roles and authority levels needed for employee representatives

  • job descriptions for employee representatives

  • records of employee representative selection process

  • minutes of any committee meetings.

Auditors Should Confirm

  • that employees feel represented by the employee representatives;

  • how employee representatives feel the system is working in practice.

Indicator 3.12.7

Requirement

The UoC shall maintain written records of all grievances, responses and resolutions.

How Do I Interpret This Requirement?

  • The system used to track grievances, responses, communication and remedy should include:

    • the name of the person who brought the grievance

    • the date it was submitted

    • the person or department against whom the grievance was made

    • the category of the grievance

    • dates and the results of internal investigations carried out

    • the outcome of the investigation

    • dates when a response was provided to the person who brought the grievance.

Evidence of Implementation

  • records of grievance processes.

Auditors Should Confirm

  • records of grievance processes are complete.

Indicator 3.12.6

Requirement

The UoC shall ensure that: a) grievances are acknowledged within 10 days from submission; and b) grievances are resolved within 90 days from submission. Where resolution is not possible within 90 days, justification and an alternative timeline shall be provided to relevant parties.

How Do I Interpret This Requirement?

  • The UoC follows the procedure to address grievances, beginning with acknowledging the receipt of the grievance within 10 days from submission.

  • The UoC develops a clear action plan to resolve the grievance within 90 days from submission.

  • Urgent concerns should be addressed sooner. For example:

    • If the grievance relates to a workplace hazard related to equipment that could harm an employee, that equipment must be removed from operation and repaired immediately.

    • If the UoC suspects that the person making the claim or other people may be at risk, and if the case involves human rights, including potential cases of child labour or forced labour, the UoC follows Appendix 16 (Remediation Protocol).

  • Full remediation of the issue may take place over a longer timeframe when required by the circumstance. For example:

    • until the child has reached school-leaving and working age.

    • Simple grievances may not require a 90-day timeframe.

Evidence of Implementation

  • records of grievance processes.

Auditors Should Confirm

  • the timeframe in which grievances are resolved.

Indicator 3.12.5

Requirement

The UoC shall ensure the grievance mechanisms in Indicators 3.12.2 and 3.12.4 include provisions for non-retaliation.

How Do I Interpret This Requirement?

  • Non-retaliation means that no action can be taken by the UoC against a person or an entity bringing a grievance that has been raise in good faith.

  • If retaliation occurs, this means that the grievance mechanism is inadequate.

  • This protection against retaliation applies to those bringing grievances and to whistleblowers.

  • ILO defines whistleblowing as: ‘the reporting by employees or former employees of illegal, irregular, dangerous or unethical practices by employers’.

  • Examples of retaliation in the workplace can include:

    • direct consequences, such as:

      • firing

      • demotion

      • salary reduction

      • reduced hours

    • more subtle consequences, such as:

      • reassignment to work that causes personal hardship

      • exclusion from key meetings and group events

      • threats

      • harassment

      • bullying

    • indirect consequences, such as:

      • encouraging shunning, harassment or bullying by other staff members.

  • Examples of retaliation for a community member or Indigenous or tribal person can include:

    • direct actions

    • indirect actions through others

    • threats

    • harassment

    • damage to a person or property.

  • Ways to protect employees and communities from retaliation can include:

    • having clear grievance processes and policies that include accountability (see 3.12.2)

    • raising a confidential grievance (see also 3.12.9)

    • raising an anonymous grievance through a hotline or similar, where the identity of the person bringing the grievance is never known:

      • in this case, remediation is likely to affect a wider population and is not tied to a specific individual

Evidence of Implementation

  • grievance policy or procedure, including provision for confidentiality

  • records of grievance processes.

Auditors Should Confirm

  • policies and provisions for non-retaliation with employee and community representatives.

Indicator 3.12.4

Requirement

The UoC shall ensure that all employees are trained on the employee grievance mechanism.

How Do I Interpret This Requirement?

  • For the grievance mechanism for communities, the guidance under Indicator 3.12.2 for employees also applies.

  • Mechanisms for submitting grievances are best determined together with community representatives. Examples of channels for submitting grievances include:

    • in-person meetings

    • dedicated telephone numbers

    • email addresses

    • instant messaging or other online submission mechanisms

    • letters or written notes

    • via community leaders and representatives, or community organisations.

    • Different communities may prefer different channels for submitting grievances.

  • Vulnerable populations may need special consideration in terms of how the grievance is submitted to enable their participation. For example:

    • when persons of the same gender, or ethnic group are available to receive a complaint, that may increase the likelihood of participation.

  • The following steps can be taken to inform potential users about the grievance mechanism:

    • conduct a stakeholder mapping and engagement process to identify communities and Indigenous and tribal peoples who may use the grievance mechanism.

    • make them aware of their rights under the law and under the ASC Farm Standard, including the grievance mechanism.

    • share information about the grievance mechanism, for example through:

      • local community representatives, community leaders and relevant community organisations

      • local publications

      • printed materials such as company newsletters, flyers, posters

      • digital means such as company website, online newsletter or social media.

    • give special consideration to reaching vulnerable groups within the population, as they are:

      • most likely to be impacted

      • unlikely to be comfortable with raising issues to the company.

Evidence of Implementation

  • materials used to inform communities of the grievance mechanisms

  • minutes of meetings where grievance mechanisms are discussed.

Auditors Should Confirm

  • community representatives (including Indigenous people’s representatives where applicable) understand:

    • how they can raise concerns and grievances with the UoC;

    • who their point of contact at the UoC is;

      • how the grievance mechanism was communicated to communities;

      • when discussions were had between UoC management and communities;

      • when grievances were raised in the past and how they were resolved.

Indicator 3.12.3

Requirement

The UoC shall ensure that all employees are trained on the employee grievance mechanism.

How Do I Interpret This Requirement?

  • Training on the grievance mechanism is provided to all employees. This can take place:

    • as part of the induction process

    • at the start of each production cycle.

  • Awareness of this mechanism is:

    • essential for all employees

    • important for a positive environment in the workplace.

  • The UoC can communicate the grievance mechanism to employees through a variety of ways, including:

    • induction training and other ongoing training

    • information posted in public areas of the UoC

    • distributing it to employees in flyers, via text messages, instant messaging, emails or other private forms of communication

    • discussing it in employee meetings and assemblies

    • including it in employment contracts or the employee handbook.

Evidence of Implementation

  • grievance policy or procedure

  • employee handbook

  • training materials or distributed materials

  • meeting minutes.

Auditors Should Confirm

  • employees’ understanding of how to raise issues and how they were made aware of the grievance mechanisms.

Indicator 3.12.2

Requirement

The UoC shall have an employee grievance mechanism which is accessible, fair and applicable to all employees.

How Do I Interpret This Requirement?

  • A grievance mechanism is a formal complaint process that can be used by employees to resolve a grievance.

  • Based on UN Guiding Principle No. 31, and effective a grievance mechanism must:

    • engender trust among participants

    • be transparent: ensure that users are given clear information about what is happening

    • be fair: ensure that users have access to sources of information and expertise necessary to engage in a grievance process

    • be predictable: ensure that users understand the process, how long it takes and what the outcomes can be

    • be accessible: ensure that users have been informed about it and can use it

    • be rights-based: ensure that outcomes and remedies are compatible with international human rights

    • be based on dialogue and engagement, ensuring that stakeholders are consulted and included in the process

    • be a source for continuous learning, analysing individual complaints to help prevent other grievances.

  • Mechanisms for submitting grievances are best determined together with employee representatives and can include:

    • in-person meetings

    • dedicated telephone numbers

    • email addresses

    • instant messaging or other online submission mechanisms

    • letters or written notes

    • a suggestion box

    • via employee representatives, trade unions, and worker associations

    • worker voice tools to conduct anonymous worker surveys.

  • For a grievance mechanism to be accessible for employees they must understand:

    • their labour rights (Criterion 3.1)

    • rights related to other workplace issues, such as health and safety regulations (Criterion 3.5)

    • how the grievance mechanism functions and what kinds of issues may be brought to the grievance mechanism (see also 3.12.3).

  • Foreign migrant workers may be given the option to raise issues:

    • internally with the UoC using the same channels open to other employees

    • with the local Consular Office of the Labour Attaché for their country in the country where the UoC is located

    • websites or Facebook pages of the Consulate or Embassy where migrant workers can raise grievances.

  • An effective grievance process will incorporate elements of the following steps at a minimum (adapted from Rainforest Alliance’s Grievance Guidance):

    • Step 1: Receive and acknowledge grievance complaint

    • Step 2: Take immediate action on human rights or hazardous issues (see Appendix 10 for the Remediation Procedure)

    • Step 3: Review the grievance complaint to check if it is admissible.

      • if it is inadmissible, this is communicated along with the reason, to the person who brought the grievance.

    • an inadmissible complaint is one that is unrelated to the activities or location of the UoC.

    • Step 4: Investigate the grievance complaint to establish what happened, maintaining confidentiality.

    • for complex issues or where there are conflicts of interest, external experts may be brought in to support.

      • Step 5: Communicate findings to the person who brought the grievance.

      • Step 6: Agree on a remediation plan with the person who brought the grievance.

        • for complex issues, external arbitration and external remediation support including NGOs or rights experts may be brought in.

    • Step 7: Provide an opportunity for an appeals process, if agreement cannot be reached.

    • Step 8: Implement and monitor the remediation plan.

      • Step 9: Communicate the progress of the remediation to the person who brought the grievance and to any relevant stakeholders when confidentiality is not a concern.

      • Step 10: Engage in continuous improvement.

| > Example grievance  | Example resolution |

| > My wages are always paid 4 or 5 days late, sometimes even more than a week late. This makes it difficult to plan when to pay my bills and how to manage my finances. | 1. Member of staff hearing the grievance ensures that the employee understands that their complaint is confidential.  |

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| | 2. Ensure that the employee has received their latest wages.  |

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| | 3. Interview other employees to understand if anyone else is experiencing the same issue.  |

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| | 4. Examination of the wage payment system to understand why there are delays.  |

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| | 5. Any changes necessary are implemented.  |

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| | 6. Next month, the member of staff who is working on the grievance checks with the employee about the date they received their wages.  |

| > I keep being asked to go out onto the feed barge without being provided with a lifejacket. | 1. Member of staff hearing the grievance ensures that the employee understands that their complaint is confidential.  |

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| | 2. Interview other employees to understand if anyone else is experiencing the same issue.  |

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| | 3. Check the availability of life jackets and ensure that there is a sufficient number available, that they are in good working condition and that they are kept in an accessible location.  |

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| | 4. Add some signs to remind workers and management that life jackets are essential for going onto the feed barge.  |

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| | 5. Follow up with the employee after a few weeks to find out if the situation has improved.  |

Evidence of Implementation

  • grievance policy or procedure

  • employee survey results

  • employee notices and notice boards

  • employee handbook

  • records from grievance procedures and their outcomes

  • meeting minutes.

Auditors Should Confirm

  • if the grievance procedure provides employees with clearly written and understandable instructions on how to report grievances using different methods that involve formal, informal and anonymous reporting;

  • if the grievance procedure applies to and is accessible to all employees, including full-time, permanent, contract, seasonal, migrant (domestic and foreign) and temporary employees.

Useful Resources