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Indicator 1.2.3

Requirement

The UoC shall ensure that relevant employees have the necessary skills and training to implement the ASC Requirements.

How Do I Interpret This Requirement?

  • At the site, it should be clear who is responsible for what tasks and management should ensure all employees are competent for the role that they will be carrying out. Employees should have:

    • Knowledge,

    • Experience,

    • Training (theory and on the job),

    • Capacity, and

    • Decision-making permissions.

  • ‘Relevant employees’ and ‘necessary competencies’ refer to an employee’s function and area of responsibility:

    • For example, a Health and Safety Manager is able to carry out and regularly update the Health and Safety risk assessment and define mitigating measures, but might not have the experience to treat injuries. Or the person responsible for first aid can take immediate action in the case of an injury and has access to and an overview of all first aid supplies, but might not have the experience to carry out a Health and Safety risk assessment.

Evidence of Implementation

  • Job descriptions of all employees.

  • Organisational chart with clarity on who is responsible for what.

  • Records and documents of training.

Auditors Should Confirm

  • Employees and management are clear on their roles and responsibilities in the implementation of ASC Requirements.

  • Employees have the necessary competencies, knowledge and experience to implement the ASC Requirements.

Indicator 1.2.2

Requirement

The UoC shall appoint at least one member of management responsible for the implementation of the ASC Requirements.

How Do I Interpret This Requirement?

  • The responsible person may be one person or several persons, covering the wide range of issues addressed by the ASC Requirements.

    • For example, a human resources manager may be responsible for the requirements on labour rights and working conditions, and a fish health and welfare manager may be responsible for the requirements on fish health;

      • senior management should be responsible for seeking more specialised knowledge when needed.

  • The responsibility should be embedded in the organisational structure documentation to ensure clear accountability.

Evidence of Implementation

  • Records:

    • that evidence the responsible person(s) were designated by the management.

    • role description of the responsible person(s) for the implementation of ASC Requirements.

Auditors Should Confirm

  • The management designated responsible person(s) for the implementation of the ASC Requirements.

  • through records and interviews with employees and the management.

  • Role description of the responsible person(s) for the implementation of the ASC requirements.

Indicator 1.2.1

Requirement

The UoC shall develop, implement and maintain a management system to support the implementation of the ASC Requirements that is appropriate to the size and complexity of the UoC.

How Do I Interpret This Requirement?

  • The scope of the management system should suit the operation that it is designed for. For example:

    • A site situated at a remote distance at sea might not need additional elements in the management system to work with communities, or

    • A site operating a RAS system might not need additional elements in the management system to manage the risks of escapes.

  • A management system should include:

    • Policies: explain why a site is operating in such a way.

      • they can be beneficial for employees to understand their rights and duties.

      • it is not necessary to have a policy for every topic in the ASC Farm Standard and sometimes topics are grouped together in one policy.

        • for example, forced labour, child labour, discrimination, collective bargaining and freedom of association and others can all be addressed together through the human rights policy.

      • policies are most valuable for topics which are not straightforward in the local context.

        • for example, where employees have an inconsistent or incomplete understanding of an issue, a policy might be needed.

    • Procedures: explain how a site operates in a certain way and specify how to put policies into operation to ensure the outcome intended.

    • Records: provide an essential source of information for both internal self-assessments and external audits, documenting that policies and procedures have been followed in specific instances.

      • sites can use recording templates to guide the user through all of the steps of a record and provide accurate information in a set format.

      • records should be adequately maintained and controlled, including ensuring only up-to-date versions of documents are used.

Evidence of Implementation

  • Documents of the management system, including policies, procedures and records.

  • Evidence that demonstrates management’s ownership of the management system (see ???).

Auditors Should Confirm

  • Existence of up-to-date policies, procedures and records.

  • Management’s ownership of the management system:

    • attendance at management reviews (see Indicator 1.2.4).

    • active role in the development, implementation and maintenance of the management system.

      • demonstrable during interviews with the management.

Useful Resources

Indicator 1.1.2

Requirement

The UoC shall comply with all applicable legal requirements, including those relevant to the Criteria within the ASC Farm Standard.

How do I interpret this requirement?

  • ‘Applicable legal requirements’ refers to any type of law or regulation that is relevant to the scope of the ASC Farm Standard.

  • The UoC should be responsible for:

    • having a good understanding of laws and regulations including their applicability to the local context; and

    • facilitating any inspections by authorities.

Evidence of implementation should be maintained, e.g.:

  • A register for legal compliance, for example, listing:

    • relevant applicable laws and regulations, including, for labour-related laws and regulations, those within the home country of any migrant employees; and

    • compliance status, and any future actions needed to remain complaint; and

    • any measures needed to correct potential non-compliance with a law or regulation.

  • Certificates or other records to confirm compliance with legal requirements.

  • Documented outcomes and records of any inspections by authorities.

Auditors should confirm:

  • Existence of any legal documentation, outcomes of inspections, or records kept by UoC to demonstrate legal compliance.

  • Management understands the legal context in which they are operating.

Useful Resources

  • The International Labour Organization (ILO) maintains NATLEX (www.ilo.org/dyn/natlex), a database of national labour, social security and related human rights legislation across 196 countries and more than 160 territories and subdivisions. NATLEX is a free source of information for all users.

Indicator 1.1.1

Requirement

The UoC shall hold all applicable legal licences and permits.

How do I interpret this requirement?

  • The UoC should be responsible for:

    • Having a good understanding of local licensing and permit systems that apply.

    • Obtaining all necessary documentation for siting, constructing and operating their facilities. Examples of these can include:

      • business/operational licences,

      • land deeds,

      • leases or concession agreements,

      • construction permits,

      • water use permits,

      • effluent permits,

      • landfill operation permits,

      • fire safety certificate,

      • building fitness certificate,

      • permit or licence to store fuel (such as oil and/or gas),

      • licences or permits to house workers in provided accommodation,

      • changes to labour legislation, regulations and laws are reflected in workers’ contracts.

  • Paying attention to:

    • pending licence renewal for applications of, e.g. relocation of sites, biomass increase;

    • conditions set as part of the licence/permits.

Evidence of implementation should be maintained, e.g.:

  • Up-to-date documentation for siting, constructing and operating, including any applications in progress.

Auditors should confirm:

  • Documentation confirming required legal licences and permits are in place.

  • Conditions required as part of business licence applications are adhered to. For example:

    • In some parts of the world, a business licence is not issued unless mandatory certificates of building fitness and emergency preparedness for natural disasters are obtained.

Useful Resources

  • Assistance in determining necessary licences and permits can be sought from governmental agencies dealing with business and the environment and communities.