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Indicator 3.5.1

Requirement

The UoC shall carry out a site-specific health and safety risk assessment, approved by a member of senior management, following the method outlined in Appendix 3 (3.4).

How Do I Interpret This Requirement?

  • “A risk assessment is simply a careful examination of what, in the workplace, could cause harm to people”.

  • The ILO identifies five steps in a risk assessment:

    • Step 1: Identify the hazards

    • Step 2: Identify who might be harmed and how

    • Step 3: Evaluate the risk — identify and decide on the safety and health risk control measures

    • Step 4: Record who is responsible for implementing which risk control measures and the timeframe

    • Step 5: Record the findings, monitor and review the risk assessment and update when necessary.

  • The risks assessment should:

    • cover all site activities;

    • result in contingency or prevention measures for all risks identified.

  • The risk assessment should be reviewed and revised:

    • prior to starting a new activity;

    • following feedback on major issues from employees;

    • when a new site is added to the UoC;

    • when there has been a significant change to the process;

    • following accidents or near misses;

    • annually.

Evidence of Implementation

  • documented health and safety risk assessments

  • list of contingency and preventative measures to mitigate the risks.

Auditors Should Confirm

  • the member of staff that is responsible for conducting and maintaining the risk assessment has a good understanding of the different risks on site, and the actions taken to mitigate them.

Useful Resources

Indicator 3.4.6

Requirement

The UoC shall, when requiring medical tests (see Indicators 3.4.4 and 3.4.5), ensure that: a. employees understand the reasons for the tests; and b. employees’ medical information is confidential; and c. employees have access to their test results; and d. employees have the right to use a medical professional of their own choosing, if preferred; and e. employees are not charged for the tests.

How Do I Interpret This Requirement?

  • Any reasons for medical tests are clearly communicated to the employee or prospective employee, at time of recruitment where necessary.

  • The employee or prospective employee has the right to their test results and the UoC ensures that the results are kept confidential.

  • The cost of medical tests is paid by the UoC and is not a cost that is charged to the employee or prospective employee.

  • In some situations, the UoC may have an on-site doctor, or a doctor that there is an established relationship with, who regularly conducts the necessary medical tests. However, an employee or prospective employee is allowed to choose to consult an independent doctor, who could be their own doctor, or someone completely unrelated to the UoC.

  • Costs incurred by employees or prospective employees towards medical tests, if using an independent doctor, are to be reimbursed within an agreed time period.

Evidence of Implementation

  • terms of service between recruitment agencies and the UoC

  • documents from recruitment processes

  • information about which medical tests are required

  • evidence of provision of copies of medical tests to employees.

Auditors Should Confirm

  • employees understand the reasons for the medical tests;

  • employees have access to their test results and they are confidential;

  • employees understand that they are able to use an independent doctor if they prefer;

  • there are no costs incurred by employees for any medical tests.

Indicator 3.4.5

Requirement

The UoC shall only require medical tests during employment if justified by a healthy and safety or food safety risk assessment.

How Do I Interpret This Requirement?

  • There are occasional situations where the UoC, or the agency involved in recruitment may need to perform medical tests. For example:

    • it is required by law

    • if the function of the job requires it

    • for health and safety reasons.

    • Determining whether a medical test is necessary happens through a health and safety risk assessment (Indicator 3.5.4).

  • Examples of when medical tests may or may not be allowed are:

    • An example of when the function of a job might require a medical test is the recruitment of divers, a diver may have to undergo a chest x-ray to demonstrate that they are fit enough to dive regularly.

    • An example of when a medical test might be necessary is if an employee is asked to test for Covid-19 before coming into the workplace, to avoid the spread of the disease.

    • An example of when a medical test is not allowed is an STI test, which could lead to discrimination about someone’s sexual practices and / or ability to work.

    • An example of when a test may be required by national law is the existence of laws in 25 countries that have a law that makes HIV testing mandatory to obtain a work or residence permit: <https://lawsandpolicies.unaids.org/topicresult?i=25&lan=en>. Outside of these 25 countries, an HIV test is not necessary and would not be conducted as it is not relevant for the function of any jobs in aquaculture.

Evidence of Implementation

  • terms of service between recruitment agencies and the UoC

  • documents from recruitment processes

  • health and safety and food safety risk assessments that require medical testing

  • information about which medical tests are required.

Auditors Should Confirm

  • where medical tests are required, the decision for these tests has been based on the outcome of a risk assessment;

  • employees understand the reasons for the medical tests.

Indicator 3.4.4

Requirement

The UoC shall ensure that medical tests are only conducted during the recruitment process if required for the function of the job or by applicable law, including where any recruitment agencies are used. **

How Do I Interpret This Requirement?

  • There are occasional situations where the UoC, or the agency involved in recruitment may need to perform medical tests. For example:

    • it is required by law.

    • if the function of the job requires it.

    • for health and safety reasons.

    • determining whether a medical test is necessary happens through a health and safety risk assessment (Indicator 3.5.4).

  • Examples of when medical tests may be allowed are:

    • when the function of a job might require a medical test, such as in the recruitment of divers. A diver may have to undergo a chest x-ray to demonstrate that they are fit enough to dive regularly.

    • when an employee is asked to test for COVID-19 before coming into the workplace, to avoid the spread of the disease.

    • when a test may be required by national law, such as the existence of laws in 25 countries that make HIV testing mandatory to obtain a work or residence permit: <https://lawsandpolicies.unaids.org/topicresult?i=25&lan=en>.

  • Examples of when medical tests may not be allowed are:

    • a test for sexually transmitted infections (STI), which could lead to discrimination about someone’s sexual practices and/or ability to work.

    • when an HIV test is given outside of the 25 countries that make HIV testing mandatory to obtain a work or residence permit, as they are not relevant for the function of any jobs in aquaculture.

Evidence of Implementation

  • terms of service between recruitment agencies and the UoC

  • documents from recruitment processes

  • health and safety and food safety risk assessments that require medical testing

  • information about which medical tests are required.

Auditors Should Confirm

  • where medical tests are required, the decision for these tests has been based on the outcome of a risk assessment;

  • employees understand the reasons for the medical tests.

Indicator 3.4.3

Requirement

The UoC shall ensure that employees, whether employed directly or through a recruitment agency, are not tested for pregnancy or virginity and are not forced or coerced into involuntary contraception.

How Do I Interpret This Requirement?

  • Tests for virginity sometimes take place in some parts of the world as a custom and practice, with the social expectation that women and girls should remain ‘virgins’ until they are married.

  • The term ‘virginity’, as used in this way, is not a medical or scientific term, but a social and cultural construct that reflects discrimination against women and girls.

  • It is discrimination if a woman is tested for pregnancy during recruitment.

  • This indicator helps:

    • prevent this kind of discrimination by ensuring that testing for pregnancy or virginity is not permitted

    • protect women against unnecessary and potentially invasive tests.

    • The ASC Farm Standard does not permit testing for pregnancy during recruitment or ongoing employment but having a company policy that states that pregnancies need to be declared from a certain point onwards, for health and safety reasons, is appropriate and can be necessary for safeguarding a mother and baby’s health.

Evidence of Implementation

  • terms of service between recruitment agencies and the UoC

  • documents from recruitment processes

  • information about which, if any, medical tests are conducted

  • hiring and medical examination policies.

Auditors Should Confirm

  • the experiences of female employees during the hiring process;

  • medical tests are only carried out based on a risk assessment (see also 3.4.5).

Useful Resources

Indicator 3.4.2

Requirement

The UoC shall not engage in or tolerate any form of violence or harassment.

How Do I Interpret This Requirement?

  • ‘The term ‘violence and harassment’ in the world of work refers to a range of unacceptable behaviours and practices or threats thereof, whether a single occurrence or repeated, that aim at, result in, or are likely to result in physical, psychological, sexual or economic harm, and includes gender-based violence and harassment.’

  • Violence and harassment can come in many forms, including:

    • sexual

    • mental

    • verbal

    • physical.

  • Examples of harassment in the workplace can include the following:

    • spreading malicious rumours

    • unfair treatment

    • picking on or regularly undermining someone

    • denying someone training or promotion opportunities.

  • Harassment can happen in many forms:

    • in person (face to face, by phone)

    • in writing (email, letter, text)

    • online (on social media).

  • It can be:

    • undertaken by a single person or group of people

    • hidden (for example, gossiping about someone in their absence)

    • overt (for example, an unwanted nickname that undermines someone).

  • One widespread form of harassment is sexual harassment, which can also take place in the workplace and is any unwanted behaviour of a sexual nature. Examples can include:

    • anything that violates someone’s dignity

    • inappropriately and uncomfortably crowding someone else

    • telling sexually offensive jokes

    • making sexual remarks or gestures about someone’s body, clothing or appearance

    • making sexual comments or jokes about someone’s sexual orientation or gender reassignment

    • asking questions about someone’s sex life

    • displaying or sharing pornographic or sexual images, or other sexual content

    • touching someone against their will

    • sexual assault or rape.

  • Power dynamics can play a part in harassment, for example:

    • something that could be a joke between two friends outside the workplace can be a case of harassment in the workplace if there is an unequal balance of power;

    • someone in management making a flirtatious comment to a junior colleague is not appropriate, whereas the same comment between two friends might be acceptable.

    • Responsible management includes being aware of a manager’s position in relation to the people who they manage.

  • Abusive behaviour can include:

    • threatening behaviour (such as shaking fists, destroying property or throwing objects)

    • verbal or written threats (any expression of an intent to inflict harm)

    • verbal abuse (swearing, insults or condescending language)

    • physical attacks (hitting, shoving, pushing or kicking).

    • The workplace includes not just the physical place of work, but anywhere where work-related events or interactions occur.

    • Workplace violence and harassment can occur not only in the workplace but also off-site at social events related to work, business meetings away from the UoC, or outside the workplace and away from work.

  • Some steps towards the prevention of harassment and discrimination can include:

    • employees and management are trained and know and understand what harassment and discrimination are

    • the UoC clearly states its position on discrimination through an internal code of conduct, policy or in a statement

    • the UoC assesses where there is potential for discrimination. For example, the UoC acknowledges the high number of migrant employees and understands that this is potentially a group who are at risk of being discriminated against

    • the UoC develops an action plan to prevent discrimination, which includes monitoring where there is a risk of discrimination.

    • Providing good communication of what these behaviours look like and why they are not permitted creates awareness among employees in the workplace.

    • Regular dialogue with employees and with employee representatives can be an effective way of monitoring what is going on.

    • An accessible, safe and anonymous reporting system (grievance mechanism) can give employees the ability to report violence or harassment.

Evidence of Implementation

  • anti-harassment policy that includes the prohibition of abusive and exploitative behaviour

  • training records

  • disciplinary records

  • health and safety incident reports

  • grievances that have been reported.

Auditors Should Confirm

  • employees understand what they should do if any violence or harassment takes place;

  • employees are familiar with the UoC’s position on violence and harassment;

  • employees’ perceptions of how they or their colleagues are treated;

  • any instances of violence and harassment that have taken place and how they have been dealt with;

  • there are no unusually high staff turnover rates;

  • human resources personnel are aware of any issues in the workplace;

  • worker or union representatives are aware of any issues in the workplace.

Indicator 3.4.1

Requirement

The UoC shall not engage in or tolerate any form of discrimination, and shall ensure that all employees and applicants receive equal treatment and opportunities in all employment and recruitment practices.

How Do I Interpret This Requirement?

  • Discrimination is the unequal treatment of different of people, based on their personal characteristics, such as:

    • age

    • caste

    • colour

    • disabilities

    • ethnicity

    • gender

    • legal status

    • marital status

    • nationality

    • parental status

    • participation in trade unions

    • political opinion

    • pregnancy

    • race

    • religion

    • sexual orientation.

  • Discrimination:

    • is a global and pervasive problem

    • causes negative impacts on many levels

    • can lead to individuals suffering unequal treatment, stress and harm, at home, in society and in the workplace

    • can perpetuate poverty

    • can stifle development and productivity.

    • Sometimes discrimination can be obvious and clear, but at other times it can be difficult to detect and consequently, hard to address.

  • Equal opportunities means:

    • equal pay for equal work

    • equal living standard for equal work

    • equal employment possibilities for equal ability/engagement

    • equal promotion possibilities for equal ability/engagement.

  • Equal opportunities at work means that all employees in an organisation, regardless of their sex, race, language, religion, economic or family situation, and other characteristics, have the same opportunities for:

    • education

    • training

    • career development

    • chances to apply for and be selected for posts

    • chances to be promoted.

    • Table 3 below shows some examples of situations considered and not considered discrimination.

Table 3. Examples of discrimination situations:

Situations which are considered discrimination Situations which are not considered discrimination

A and B are both managers doing the same job at the farm. A is a man and B is a woman. A is paid a higher salary than B, because he is a man. A is a manager and B is a machine operator with less responsibility. A is paid a higher salary than B because the job has more responsibility.

A and B both apply for the same job. A has higher qualifications than B, but B is selected for the job because he comes from the same church as the farm manager. A and B both apply for the same job. A has higher qualifications than B, so A is selected for the job.

A and B are both technical assistants. A has been in the company for a longer period of time than B and both have equal performance, however, only B has received access to multiple training courses and been offered a promotion to technical manager, because A is a migrant worker. A and B are both technical assistants. A has been in the company for a longer period of time than B, but B has been showing a higher performance. B is promoted to technical manager.

Evidence of Implementation

  • terms of service between recruitment agencies and the UoC

  • documents from recruitment processes

  • payslips and pay records

  • employee contracts and terms and conditions

  • anti-discrimination policies

  • hiring and promotion policies

  • diversity and inclusion policies

  • training records for employees and managers related to non-discrimination

  • termination and disciplinary records.

Auditors Should Confirm

  • whether employees feel that they and their colleagues receive equal treatment, and that promotions are based on merit;

  • whether the composition of the workforce at different levels suggests there are no barriers for certain groups to be promoted.

Useful Resources

Indicator 3.3.18

Requirement

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling. The UoC shall ensure that young employees do not work between 10pm and 6am.

How Do I Interpret This Requirement?

  • Working at night can be hazardous, particularly for young employees:

    • they can be tired and therefore more susceptible to accidents

    • working conditions at night are often more dangerous and not suitable for children under the age of 18.

Evidence of Implementation

  • age verification records

  • working hours records

  • payslips and pay records

  • young employees’ contracts.

Auditors Should Confirm

  • whether anyone under the age of 18 is employed at the UoC;

  • working hours and rest hours of employees under the age of 18;

  • that information in contracts, age verification records and payslips match;

  • young employees’ description of their working hours.

Indicator 3.3.17

Requirement

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling. The UoC shall ensure that young employees have a daily rest period of at least 12 consecutive hours within a 24-hour period.

How Do I Interpret This Requirement?

  • Excessive working hours can have a detrimental physical and mental impact on all people, but particularly on children under the age of 18 who have not yet reached adulthood.

  • Protecting children from excessive working hours is an important part of the prevention of child labour.

  • A rest period means a time when employees are not working.

  • A rest period of 12 consecutive hours in a 24-hour period means that children have a sufficient amount of time to rest and sleep in between times when they are conducting light work.

Evidence of Implementation

  • age verification records

  • working hours records

  • payslips and pay records

  • young employees’ contracts.

Auditors Should Confirm

  • whether anyone under the age of 18 is employed at the UoC;

  • working hours and rest hours of employees under the age of 18;

  • that information in contracts, age verification records and payslips match;

  • young employees’ description of their working hours.

Indicator 3.3.16

Requirement

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling. The UoC shall ensure that young employees have a total break time of at least 1 hour within 8 consecutive hours of work, with at least 0.5 hours break within any 4.5 consecutive hours of work.

How Do I Interpret This Requirement?

  • Excessive working hours can have a detrimental physical and mental impact on all people, but particularly on children under the age of 18 who have not yet reached adulthood.

  • Protecting children from excessive working hours is an important part of the prevention of child labour.

  • Young employees should have regular breaks.

  • A young employee should have at least 1 hour break within 8 hours of work, and at least 0.5 hours break within 4.5 hours of work.

  • Some examples that demonstrate compliance with the ASC Farm Standard:

    • A works on a Monday from 9:00 – 17:00 and has a break for lunch from 12:00 -13:00.

    • A’s example is compliant because her workday is no more than 8 hours long and within those 8 hours, she has 1 hour break.

      • B works on a Thursday afternoon from 10:00 – 14:30 and has a break from 12:00 – 12:30.

    • B’s example is compliant because he is working 4.5 hours with a 0.5-hour break in that time.

  • Some examples that demonstrate non-compliance with the ASC Farm Standard:

    • C works on a Friday from 9:00 – 18:00 and has a break for lunch from 12:00 -13:00.

    • C’s example is non-compliant because, even though she has a 1-hour break, her workday is 9 hours long.

      • Child D works on a Tuesday afternoon from 13:00 – 18:00 and then goes home.

    • Child D’s example is non-compliant because he has worked more than 4.5 hours without a break.

Evidence of Implementation

  • age verification records

  • working hours records

  • payslips and pay records

  • young employees’ contracts.

Auditors Should Confirm

  • whether anyone under the age of 18 is employed at the UoC;

  • working hours and rest hours of employees under the age of 18;

  • that information in contracts, age verification records and payslips match;

  • young employees’ description of their working hours.