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Indicator 3.2.3

Requirement

The UoC shall ensure that where recruitment agencies are used, they comply with applicable legal requirements and are licenced or certified by the relevant authority, where such licensing or certification exist.

How Do I Interpret This Requirement?

  • The UoC is responsible for initial screening of recruitment agencies, including:

    • checking that they comply with relevant regulations, which includes:

      • national labour laws

      • employment rights

      • applicable laws in the country of operation, for example, some countries have specific regulations for recruitment and employment agencies

    • verifying their licence or certificate to operate, where these systems exist:

      • in some countries and sectors, licensing rules apply. For example, in the UK, an agency supplying labour in agriculture, horticulture, shellfish gathering or food processing and packaging may need to be licensed by the Gangmasters & Labour Abuse Authority (GLAA)

    • checking that they comply with the indicators directly addressing recruitment agencies in the ASC Farm Standard:

      • indicator 3.2.4: employees’ original identity documents are not retained

      • indicator 3.2.5: employees are allowed to terminate their employment

      • indicator 3.2.6: employees do not have any part of their salary, property or benefits unlawfully withheld

      • indicator 3.2.7: employees are not charged any fees associated with recruitment

      • indicator 3.2.8: prison labour is not used

      • indicator 3.4.1: no discrimination in recruitment

      • indicator 3.4.3: not testing for pregnancy or virginity

      • indicator 3.4.4: medical tests are only conducted during recruitment if required for the function of the job or by national law;

      • verifying their compliance with any contractual agreements in place between the UoC and the recruitment agency.

  • The UoC is also responsible for continued monitoring of recruitment agencies, including annually reviewing their:

    • licence to operate

    • compliance with applicable regulations

    • compliance with the relevant ASC Farm Standard indicators

    • compliance with any contractual agreements in place.

    • The UoC can outsource this screening and monitoring to subcontracted professionals, such as acknowledged NGO licensing programmes.

    • When recruitment agencies are used for hiring migrant employees, a Memorandum of Understanding (MoU) and terms and conditions can be agreed between the UoC and recruitment agency detailing the conditions under which foreign migrant employees will be hired.

Evidence of Implementation

  • records of screening of recruitment agencies, both upon engagement of the agency and also on an ongoing basis

  • copies of valid, up-to-date licences of recruitment agencies

  • contracts with recruitment agencies

  • employee contracts for those who have been recruited by recruitment agencies.

Auditors Should Confirm

  • whether or not recruitment agencies have been used by the UoC;

  • that a recruitment agency screening process is in place;

  • terms and conditions of employment for those who have been recruited through recruitment agencies;

  • if any foreign migrant employees have been recruited through agencies;

  • if terms and conditions and an MoU are in place for the recruitment of migrant employees;

  • employees’ perceptions of the recruitment process;

  • that recruitment agencies used have not been associated with any bad practices by local labour unions or other organisations.

Indicator 3.2.2

Requirement

If forced labour is identified, the UoC shall implement remediation processes that prioritise the best interest of the person, following the method outlined in Appendix 10.

How Do I Interpret This Requirement?

  • The remediation framework is set out in Appendix 10, including timelines, corrective action and reporting obligations.

  • Remediation of forced labour:

    • will vary depending on the situation and the needs of the employee in question

    • always takes into account the best interest of the employee, respecting their wishes and protecting their privacy

    • is ideally carried out in consultation with local experts, such as NGOs.

  • When remediating a case of forced labour, there can be different steps in the process, which can include:

    • immediate actions to safeguard the employee, for example removing them to a safe location

    • medium term actions to develop a plan to provide appropriate remedy to the victim, including but not limited to:

      • restoration of original job terms

      • wage repayment or other compensation

      • medical or other care as necessary

      • repatriation or other steps deemed necessary

      • long term actions to enact and monitor the plan, which can take up to several years.

  • The UoC should then engage in a process of developing corrective actions to prevent forced labour reoccurring. This can include:

    • performing an analysis of what went wrong in their system to prevent it

    • implementing measures to prevent future recurrence

    • considering working with local experts on this corrective action.

  • Given the complexity of human rights issues, partnership with external partners is often necessary to provide effective remediation. They can:

    • provide support for the development of a remediation plan

    • help in implementing the remediation plan

    • help to implement corrective actions to prevent recurrence.

  • These potential partners can include:

    • local NGOs

    • individual experts

    • community liaisons/leaders

    • government offices

    • supply chain partners, or others.

  • Potential support that these partners can provide could include:

    • training

    • improved access to social services and education

    • advocacy

    • direct financial support or other support for the affected person and their families to find other sources of income.

Organisation Type | Potential Services to Remediate Child Labour or Forced Labour

Human rights organisations or expert consultants | – Support with identification of the affected person(s)

|

| – Support for remediation plan development

|

| – Human rights and worker rights training

|

| – Addressing root causes of abuse

Unions or worker organisations | – Support for remediation plan development

|

| – Remediation plan monitoring

|

| – Human rights and worker rights training

|

| – Addressing root causes of abuse

Community-based and religious organisations and leaders | – Support services to former child or forced labourers

|

| – Advocacy and awareness raising regarding external drivers of the risk of child or forced labour—for example local advocacy with the government to provide access to schools, or campaigns against child labour as a cultural practice

School leadership and staff | – Facilitate access to education for former child labourers

|

| – Support advocacy efforts to address external drivers of child labour with community, parents and children

Healthcare providers | – Medical support to former child or forced labourers

|

| – Input into remediation plan when there are health concerns

Government agencies | – Social support services to former child or forced labourers— for example access to government benefits or social programmes

Buyers and retailers | – Joint efforts to address root causes

|

| – Financial support for remediation and prevention efforts

Industry organisations and multistakeholder groups | – Advocacy for system and national-level change in conditions that lead to child or forced labour or other human rights abuses

|

| – Joint efforts to address root causes

Evidence of Implementation

  • documented remediation procedures

  • records and documents of any remediation process that has taken place

  • records and documents of any corrective actions that have been put into place

  • documented monitoring system in place.

Auditors Should Confirm

  • existence of remediation procedures;

  • knowledge and capacity of staff to implement remediation procedures, or availability of external capacity;

  • the ability of the site to monitor any corrective actions within their management system;

  • knowledge and capacity of staff to develop corrective actions, where necessary;

  • amended contracts with recruitment agencies, where relevant.

Useful Resources

Indicator 3.2.1

Requirement

The UoC shall not engage in or support forced labour.

How Do I Interpret This Requirement?

  • Forced labour can take many forms and can include:

    • work that is exacted from any person under the threat of any penalty:

      • penalties do not need to actually take place for forced labour conditions to occur. The threat itself of the penalty or any other type of retaliation, as well as the penalty itself, constitutes forced labour

      • ILO (2015), Combating Forced Labour: A Handbook for Employers and Business. Available at: <https://www.ilo.org/media/441596/download> penalties and other types of retaliation include but are not limited to the following (adapted from ILO Handbook on Forced Labour):

        • isolation, restriction of movement, confinement or imprisonment

        • physical and sexual violence against employees, family or close associates

        • abusive working and living conditions

        • excessive overtime

        • financial penalties, withholding of wages

        • shift to even worse working conditions, removal of rights or privileges

        • exclusion from future employment

        • deprivation of food, shelter or other necessities

        • denunciation to authorities such as police or department of immigration, deportation

        • any other type of physical, mental or social harm

        • work for which the person has not offered himself or herself voluntarily, including where employees are not allowed to terminate employment at any time

        • the use of deception or other forms of coercion, including where employees are not informed of working conditions prior to or during employment

    • the use of exploitative loans to prevent employees from leaving their jobs. This is also referred to as debt bondage, which can occur when employees:

      • incur debts related to employer loans with high interest rates

      • are forced to pay off recruitment fees or associated costs

      • are forced to pay high portions of their salaries towards employer provided accommodation or supplies purchased at an inflated cost at employer-run stores.

  • The wording ‘or support’ in the indicator means that the UoC:

    • does not use any suppliers, subcontractors or other workers who are in any way involved in a system of forced labour

    • does not engage in forced labour through any other third parties or business relationships.

Evidence of Implementation

  • employee contracts

  • licences or certificates of any recruitment agencies used (see Indicator 3.2.3)

  • evidence that any recruitment agencies used are complying with relevant regulations (see Indicator 3.2.3)

  • records from internal audits.

Auditors Should Confirm

  • general risk factors for forced labour in a country (see useful resources section);

  • NGOs’ or other local organisations’ knowledge of any reports of forced labour in the sector in this region;

  • human resources personnel’s awareness of any issues in the workplace;

  • worker or union representative’s awareness of any issues in the workplace;

  • whether or not any migrant workers are working at the UoC whether local or international, as a heightened risk factor for forced labour;

  • whether or not recruitment agencies are being used, as a heightened risk factor for forced labour;

  • that employees are not threatened with any penalties or retaliation;

  • that employees are not in any form of debt bondage;

  • that employee contracts are clear and up-to-date and employees understand their terms and conditions of employment;

  • consistency with records related to other parts of the ASC Farm Standard that represent risk factors for forced labour, e.g.:

    • recruitment and workplace policies

    • wage and payroll records

    • overtime records

    • employee committee records

    • grievance mechanism records.

Useful Resources

Indicator 3.1.5

Requirement

The UoC shall publicly disclose the human rights policy and actively communicate it to all suppliers, buyers and other relevant stakeholders.

How Do I Interpret This Requirement?

  • The policy can be published:

    • on the UoC’s website

    • in annual reports anywhere where it is easily accessible to anyone interested in learning about the UoC’s commitment to human rights

    • in written (printed) materials to distribute to employees, suppliers, and communities

    • through local media or social media

    • through letters to suppliers

    • in collaboration with local organisations (such as NGOs).

  • The policy should be:

    • actively communicated to all suppliers, including subcontractors and business partners

    • included in contracts and agreements with suppliers.

    • For some specific target groups, such as local communities, it may be necessary to communicate more actively about (parts of) the policy, for example, during stakeholder meetings.

  • ‘Other relevant stakeholders’ can include anyone who is interested in or impacted by the operations of the UoC, for example:

    • anyone in the supply chain

    • local community members

    • local NGOs and community organisations.

Evidence of Implementation

  • publication of the policy

Auditors Should Confirm

  • that the policy is publicly available and easily accessible;

  • that stakeholders are aware of the existence and contents of the policy.

Indicator 3.1.4

Requirement

The UoC shall ensure that employees are trained on the human rights policy.

How Do I Interpret This Requirement?

  • The policy is:

    • distributed to all employees

    • available for all employees to access

    • in a format and language that they can understand, with provisions for illiteracy, if necessary.

  • Informing employees about their human rights can help:

    • prevent issues such as harassment, discrimination, or other human rights abuses within the workplace

    • demonstrate transparency and commitment to the human rights policy to employees and stakeholders

    • develop a more inclusive, equitable and ethical work environment.

  • Training for employees on the policy should include:

    • an understanding of the significance of the human rights policy

    • the rights and responsibilities that the policy includes

    • how to report human rights violations or concerns through the UoC’s grievance mechanism

    • information in a format that is understandable and accessible to all employees, including those who may have language or literacy barriers.

    • Training should take place annually or when there are new employees

    • Records of training attendance and content should be maintained.

Evidence of Implementation

  • records of the training, including attendees and topics covered

  • policy available for employees in an accessible format.

Auditors Should Confirm

  • employees understand the purpose and contents of the policy;

  • training is taking place annually and all employees are trained.

Indicator 3.1.3

Requirement

The UoC shall facilitate the establishment of employee representation to support the implementation and maintenance of the human rights policy.

How Do I Interpret This Requirement?

  • Employee representation:

    • can vary with the size and context of the UoC. It can be a committee or nominated representatives

    • ensures that the voices and perspectives of employees are heard and considered in matters related to human rights.

  • A committee structure preferably:

    • represents the composition of employees, enhancing inclusivity

    • holds elections for the employee committee, allowing all employees to nominate and vote for members.

    • Meets on a regular basis and occasionally on a more ad-hoc basis, where need arises.

  • A committee’s role includes:

    • assisting in the development of strategies, initiatives, and activities that promote human rights within the organisation

    • helping to monitor the UoC’s human rights performance

    • identifying areas where the policy might not be effectively implemented or where issues arise

    • engaging in dialogue with management to address concerns, propose improvements, and ensure that the policy remains relevant and effective

    • raising awareness among their colleagues about the UoC’s human rights policy, principles, and procedures.

  • The UoC should ensure that any employee representative or committee:

    • has knowledge about the human rights policy

    • understands what their role involves. This can include ensuring that they have access to training.

Evidence of Implementation

  • list of members of the employee committee or employee representation

  • records of meetings and actions

  • records of election procedures.

Auditors Should Confirm

  • employees are aware of who represents them and how to contact them;

  • the employee representation understands their role and the human rights policy.

Indicator 3.1.2

Requirement

The UoC shall have at least one named member of management who is responsible for the implementation and maintenance of the human rights policy.

How Do I Interpret This Requirement?

  • Implementing and maintaining the human rights policy means that the named member of management is responsible for:

    • translating the policy statement into practical actions and initiatives within the UoC and in day-to-day operations

    • monitoring the UoC’s human rights performance, including:

      • identifying areas of improvement

      • reporting progress or issues to senior management or relevant stakeholders

      • overseeing continuous improvement

      • overseeing training and awareness programmes aimed at educating employees and stakeholders about human rights principles, policies, and procedures

      • updating the policy regularly or when there are changes at the UoC.

      • The named member of management should also commit to working with employee representation in the implementation of the policy, ensuring that employees’ views are taken into account.

Evidence of Implementation

  • records that allow for the verification of the named member of management

  • plan of actions involved in implementing the policy

  • plans for monitoring implementation of the policy

  • evidence of any remediation or corrective actions that have taken place

  • plans for regularly updating and revising the policy.

Auditors Should Confirm

  • that the named member of management understands their responsibilities in implementing and maintaining the policy;

  • that employees are aware of the named member of management responsible for the human rights policy;

  • that the human rights policy is being implemented, which can include checking:

    • progress against any action plans and monitoring plans,

    • if employees are aware of and understand the contents of the policy,

    • evidence of any remediation or corrective actions where there are negative human rights impacts.

Indicator 3.1.1

Requirement

The UoC shall have a written human rights policy, approved by senior management, with the intent of publicly demonstrating its commitment to at least the following: – freedom of association and the effective recognition of the right to collective bargaining; and – the elimination of all forms of forced or compulsory labour; and – the effective abolition of child labour; and – the elimination of discrimination in respect of employment and occupation; and – a safe and healthy working environment; and – being a good neighbour and respecting the rights of surrounding communities.

How Do I Interpret This Requirement?

  • A human rights policy:

    • is the “company’s public expression of its commitment to meet its responsibility to respect internationally recognized human rights standards”

    • is appropriate to the strategic direction, context and purpose of the organisation

    • provides a framework for setting quality objectives

    • includes an explicit commitment to respect all other internationally recognised human rights standards that apply to people that may be impacted by the UoC’s operations

    • includes stipulations concerning the company’s expectations of personnel, business partners and other relevant parties

    • includes information on how the company will implement its commitment

    • is aligned with the requirements in the ASC Farm Standard, and local and international human rights laws and standards

    • is signed by senior management

    • is understood by all employees.

  • Each company will need to determine for itself which human rights may need to be prioritised in its policy because this will depend on the risks associated with the:

    • company’s location

    • type of farming practices

    • composition of the workforce.

  • The content of the human rights policy may vary according to the UoC’s size and national legal frameworks, and could also include the following topics:

    • recruitment and termination (see Indicators 3.2.3-3.2.8, 3.3.3-3.3.6, 3.4.1, 3.4.3, 3.4.4, 3.7.1-3.7.4)

    • employee representation (see Indicator 3.1.3)

    • loans and advances (see Indicator 3.2.9)

    • remediation (see Indicators 3.2.2, 3.3.2)

    • anti-discrimination (see Criterion 3.4)

    • training (see Indicators 3.1.4, 3.5.5)

    • freedom of association and collective bargaining (see Criterion 3.6)

    • transparent contracts (see Criterion 3.7)

    • fair wages (see Indicators 3.8.1, 3.8.4, 3.8.5, 3.8.6)

    • working hours (see Criterion 3.9)

    • performance and workplace conduct (see Criterion 3.10)

    • employee accommodation (see Criterion 3.11)

    • grievance mechanisms (see Criterion 3.12)

    • community relations and Indigenous rights (see Criterion 3.13).

Evidence of Implementation

  • human rights policy

  • evidence that senior management have signed it off

Auditors Should Confirm

  • that the human rights policy is in place, approved by a member of senior management;

  • where the policy is communicated and available publicly;

  • whether the policy is available to all relevant stakeholders;

  • that the human rights policy is consistent with other company policies and procedures.

Useful Resources

Indicator 2.12.6

Requirement

The UoC shall annually report to ASC the feed properties, feed use and calculated feed efficiency values per site, according to ASC data submission procedures. !A group of people standing next to each other Description automatically generated!

Indicator 2.12.5

Requirement

The UoC shall adhere to the species-specific limits on feed efficiency, according to Appendix 2 (2.2).

How Do I Interpret This Requirement?

  • To facilitate compliance with the feed efficiency requirements the UoC should consider:

    • Using feed formulations:

      • With a high percentage of marine by-products and trimmings.

      • That includes alternatives to fishmeal/fish oil.

        • Implementing on-site feed management measures, for example:

  • The use of:

    • Feed trays.

    • Cameras.

    • Pellet sensors.

    • Staff training on the use of feed management measures.

    • Verification process to confirm management measures are operational and continuously meet their intent, for example, documented records of visual feed response.

Evidence of Implementation

  • Records:

    • Feed purchased (including % of whole fish ingredients, EPA and DHA).

    • Feed fed.

    • Feed efficiency calculations.

    • Visual feed response.

    • Staff training.

    • Stocking biomass.

    • Production (weight harvested).

Auditors Should Confirm

  • Feed efficiency metrics are met.

  • Records:

    • Feed purchased (including % of whole fish ingredients, EPA and DHA).

    • Feed fed.

    • Feed efficiency calculations.

    • Visual feed response.

    • Staff training.

    • Stocking biomass.

    • Production (weight harvested).