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Species

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.

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| | 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.

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| | 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.

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| 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.

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| | 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.

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| – 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.

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| – Deliberate and serious damage to property |

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

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| – – 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.

Indicator 3.9.10

Requirement

The UoC shall ensure that additional breaks are granted for pregnant women and breastfeeding women. These breaks shall be counted as working time and appropriate facilities shall be provided.

How Do I Interpret This Requirement?

  • According to ILO, the lack of support at the workplace is one of the main reasons that women stop breastfeeding before the recommended time.

  • Employers can support breastfeeding women by providing:

    • ample time away from work activities

    • a comfortable, private location to express breast milk

    • access to a fridge to store it

    • a clean and safe environment (other than a bathroom).

Evidence of Implementation

  • policy, for example addressing new and expectant mothers

  • health and safety risk assessment

  • contracts

  • working hours records.

Auditors Should Confirm

  • entitlement to paid nursing breaks in the country/region where the UoC is located;

  • confirm that a location for breastfeeding mothers is suitable;

  • confirm that the relevant employees understand these requirements.

Useful Resources

Indicator 3.9.9

Requirement

Indicator applicability: any person aged 18 and above. The UoC shall ensure that all employees are granted at least 24 consecutive hours of rest within a 7-day period, or at least 48 consecutive hours of rest within a 14-day period if allowed by applicable law.

How Do I Interpret This Requirement?

  • The ILO’s 1921 Weekly Rest Convention (No. 14) mandates a 24-hour weekly rest period (within a 7-day period).

  • Where the UoC may be located more remotely or where shift patterns may require a longer number of consecutive days of work, 48-hours rest can be taken within a 14-day period, if allowed by applicable law and collective bargaining agreements.

  • Where there is a longer number of consecutive days working, the UoC should ensure that there are adequate safeguards for employees’ health and safety, as per Indicator 3.9.3.

Evidence of Implementation

  • contracts

  • any collective bargaining agreements that are in place

  • working hours records.

Auditors Should Confirm

  • employees understand the rest time that they are entitled to.

Indicator 3.9.8

Requirement

Indicator applicability: any person aged 18 and above. The UoC shall ensure that all employees are granted at least 11 consecutive hours of rest within a 24-hour period.

How Do I Interpret This Requirement?

  • Rest for a period of 11 consecutive hours within a 24-hour period ensures that employees have an adequate amount of time for both sleep and personal free time.

  • All employees, regardless of their shift pattern, require this rest.

Evidence of Implementation

  • contracts

  • any collective bargaining agreements that are in place

  • working hours records.

Auditors Should Confirm

  • employees understand the rest time that they are entitled to.

Indicator 3.9.7

Requirement

Indicator applicability: any person aged 18 and above. The UoC shall ensure that all employees are granted breaks during work shifts. Where this is defined by applicable legal requirements or any collective bargaining agreements in place, these shall be followed.

How Do I Interpret This Requirement?

  • The amount, length and frequency of rest breaks that employees are entitled to can be specified by:

    • collective bargaining agreements in place

    • national laws.

    • The UoC should ensure that rest breaks are clearly agreed upon and set out for employees.

  • Rest breaks:

    • provide employees with essential rest during the workday

    • help reduce fatigue, which can also reduce the risks of accidents or errors

    • may also accommodate personal needs, like restroom or prayer breaks.

    • Ensuring clean and hygienic facilities for breaks is vital in workplaces with potential hygiene risks due to factors like chemicals, noise, or pollutants, where employees cannot leave the premises during breaks.

  • Management should consider climate conditions when they plan breaks and rest times. In very hot temperatures, employees will need:

    • more frequent access to breaks,

    • breaks taken in the shade where possible

    • access to drinking water.

  • This requirement refers to rest time when an employee can be asked to work, only if:

    • they agree to work during their rest time

    • the rest time is made up at a different time.

  • There can be situations where an employee is on standby, which is when:

    • the employee is required to be on-site, even if they are not required to be working for that period of time

    • the hours that they are required to be on-site are counted as working hours

    • they must be fully compensated.

  • Examples of when employees may be on standby includes any time spent at the UoC where they could be at the direction of the company to perform a work-related task. For example:

    • an employee waiting for the arrival of a delivery of feed, which they will help to unload

    • an employee who is responsible for feeding the fish and in between feeds, they are waiting at the site for the next feeding time.

  • There can also be situations when an employee is on-call, which is when:

    • the employee is not required to be on site

    • the employee is required to be reachable and available during a defined period of time

    • this time of being available is not counted as normal working hours

      • this time should be compensated in some way.

  • Examples of when employees may be on-call can include:

    • an employee who is at home overnight, but is available to be called in case there is an emergency on the site and they are called into the site.

Evidence of Implementation

  • contracts

  • any collective bargaining agreements that are in place.

Auditors Should Confirm

  • employees understand the pattern of rest breaks that they are entitled to;

  • rest breaks are adequate for the needs of the employees in their context.

Indicator 3.9.6

Requirement

The UoC shall ensure that overtime hours are paid at a premium rate of at least 125% of the agreed wages, or as defined by applicable legal requirements or any collective bargaining agreements in place, whichever is higher. **

How Do I Interpret This Requirement?

  • For overtime hours 125% of the basic wage is paid to employees.

  • Overtime work often involves sacrifices from employees, such as time away from family and personal life, and this additional effort needs to be rewarded.

  • Where collective bargaining agreements or applicable law include a premium rate that is below 125%, the ASC minimum of 125% applies.

  • The premium rate should be:

    • documented in payslips

    • documented in the employee contract

    • clearly understood by all employees.

Evidence of Implementation

  • contracts

  • working hours records

  • payslips.

Auditors Should Confirm

  • employees understand that overtime hours are paid at a premium rate;

  • employees understand the difference between regular hours and overtime hours;

  • if the bar of ‘exceptional circumstances’ is being used to determine overtime requirements.

Indicator 3.9.5

Requirement

The UoC shall ensure that employees do not work more than 12 hours of overtime per week. **

How Do I Interpret This Requirement?

  • Overtime is any additional hours spent working beyond normal working hours

  • This requirement does not allow these overtime hours to exceed more than 12 per week.

Evidence of Implementation

  • contracts

  • working hours records.

Auditors Should Confirm

  • employees understand how much overtime they are allowed to work.