The UoC should be responsible for:

Paying attention to:

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

Documentation confirming required legal licences and permits are in place.

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

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

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

A management system should include:

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

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

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

Management’s ownership of the management system:

The ISO 9001:2015 management system standards: https://www.iso.org/management-system-standards.html

Plan Do Check Act Cycle: https://asq.org/quality-resources/pdca-cycle

Corruption can:

Examples of corruption are:

Examples of extortion are:

Examples of embezzlement are:

Examples of bribery are:

Policies preventing corruption, including extortion, embezzlement and bribery.

Terms of dismissal should employees engage in these practices.

Management and employees are aware of:

Transparency International: <https://www.transparency.org/en>

The UoC is responsible for ensuring it mitigates risks of substitution and mixing of certified and non-certified products.

The UoC may use the Risk Assessment Method outlined in Appendix 3 of the ASC Farm Standard, Section 3.2, to identify, evaluate and mitigate risks of mixing and substituting ASC certified products with non-certified products at all sites (Indicator 1.4.1).

Certified and non-certified products shall be identifiable and segregated at all sites and at all times within the UoC (Indicator 1.4.2(c)).

This includes during production while fish are alive.

Certified products shall be traceable at all sites and at all times within the UoC (Indicator 1.4.2(d)).

The UoC may decide to sell products from the UoC as non-certified (Indicator 1.4.2(f)).

In this case, the products shall be identified as non-certified when sold or dispatched.

The requirements of these indicators establish a consistent, streamlined approach for traceability, identification and segregation at all ASC certified sites.

They relieve the need for separate Chain of Custody certification to cover farming activities.

Records:

Risks have been adequately assessed and mitigated.

Effective traceability and segregation systems are in place.

Outcome of any input-output exercises and traceability tests.

Traceability in the supply chain is essential for ensuring transparency, improving product quality and safety, and promptly identifying and addressing issues.

The indicators allow for information related to the status of ASC certified products to be passed along the supply chain.

The scope of the supply chain that needs to be mapped includes all sites supplying certifiable products, from broodstock onwards.

Completed ASC Supply Chain Mapping Template listing the supply chain from broodstock sites onwards.

Completed ASC Stock Status Record.

ASC Supply Chain Mapping Template is completed listing the supply chain from broodstock sites onwards.

Crosscheck mapping with purchase records.

ASC Stock Status Record completed.

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Conditional allowances to the siting in Protected Areas (PA) have been taken from the ASC species standards while work is ongoing to develop updated conditional allowances.

Whether the site is in a PA and if so, provide evidence that the PA meets the conditional allowances specified in Appendix 4. This includes the demonstration of the Protected Areas Management Plan.

Whether the site is in a PA. If so, evidence has been provided to demonstrate that the site meets the conditional allowances in Appendix 4 (4.2).

Protected Planet: World Database on Protected Areas (WDPA): Explore the World’s Protected Areas.

Indicator 2.1.1 and Appendix 3.1 outline the site-specific Environmental Risk Assessment (ERA) following the Standardised Risk Methodology.

Mitigation measures may need to be implemented to manage Human-Wildlife Conflict within the site and in the area surrounding the site.

The risk level and identified mitigation measures (if applicable) should be identified in the ERA.

The ERA assesses the risk of Human-Wildlife Conflict. Evidence should be presented to demonstrate whether the risk is low.

Mitigation measures implemented to manage Human-Wildlife Conflict to maintain the low risk level.

The ERA has assessed the risk of Human-Wildlife Conflict and determined the risk level is low.

Mitigation measures are implemented (if required and recommended by the ERA) to maintain the low risk level.

The stocking and culture of transgenic animals is not permitted on ASC certified sites.

Transgenic animals are not common in aquaculture, but transgenic stocks of Atlantic salmon, rainbow trout, channel catfish and Nile tilapia are known to exist.

Evidence that non-transgenic animals are stocked should be presented to the auditor. This could consist of a declaration from the hatcheries that non-transgenic animals are used.

All stock is from non-transgenic origin.

The method for benthic monitoring for cage culture and suspended marine mollusc systems is composed of:

The method uses a three-level sampling approach:

Ecological Quality Status (EQS) categories are used to determine the benthic status (see more details on the categories in the

Production overview information:

Records:

Sampling activity, including:

Sampling was conducted according to the method and timing stated in Appendix 7 (7.2, 7.3, 7.4), by cross-checking production overview information and records.

Competence, experience and training of the person conducting sampling.

Adequate level of personnel competence should be verified by observations and interviews.

The sampling analysis results that demonstrate an acceptable EQS.

TN and TP in the feed are required for the calculations. TN and TP content in the feed should be obtained from the feed supplier.

The suitability of the TN and TP limits per tonne of production should be reviewed if the UoC is in a Type A waterbody and needs to implement corrective actions, in accordance with Indicator 2.6.13.

The annual limits may need to be reduced to prevent shifts in trophic status or correct increases in limiting nutrients.

Equipment used to measure TN and TP per tonne of production should be calibrated according to the technical specifications. The equipment used will be based on the formula used in Appendix 8 (8.2):

The formula (outlined in Appendix 8 (8.1)) used to determine the TN and TP load per tonne of production.

Results of the TN and TP load per tonne of production based on the relevant calculation.

Equipment to measure TN and TP load per tonne of production has been calibrated according to the manufacturer’s instructions, based on the formula used in Appendix 8 (8.2).

TN and TP load per tonne of production has been determined.

Species-specific limits have been adhered to (where applicable) over the previous 24-month period.

The UoC has calibrated the equipment used to determine the TN and TP load per tonne of production, based on the formula used in Appendix 8 (8.2).

Brackish water has a salinity of 0.5-29.9 ppt, while seawater has a salinity of > 29.9 ppt.

Low permeable liners include liners made from:

Records demonstrating the installation and maintenance of low permeable liners in ponds.

Low permeable liners have been installed and maintained in ponds.

The UoC should develop and implement a biosolids management plan, which includes procedures relating to the containment of biosolids.

The appropriate containment of biosolids should consider the risk of runoff during anticipated and/or recurring extreme weather events, such as tropical storms or flooding.

Documents demonstrating the appropriate containment of biosolids. An example may be a biosolids management plan.

The management plan may include a flow diagram that outlines key steps for the containment of biosolids.

Documents, for example a biosolids management plan, have been presented which demonstrate the appropriate containment of biosolids.

Conformance should be confirmed through a visual inspection of the site.

The Aqueduct ‘Water Risk Atlas’ measures all water-related risks. Higher values indicate higher water risk.

‘Water Stress’ is an indicator under ‘Physical Risks Quantity’ and measures the ratio of total water demand to available renewable surface and groundwater supplies.

The site needs to check whether its location is classified as being in an area of ‘high’ or ‘extremely high’ water stress.

The ‘Water Stress’ classification of the area in which the site is located. This must match the coordinates of where the site is located.

A Water Efficiency Management Plan (WEMP) has been developed, implemented and maintained if the site is in an area identified as having ‘high’ or ‘extremely high’ water stress.

Documents demonstrating the WEMP has been reviewed annually, to determine whether it is meeting the objective of reducing water consumption.

Data or documents to demonstrate the WEMP is effective at reducing water consumption.

Revisions to the WEMP if it has not been deemed effective at reducing water consumption.

The risk of water stress according the ‘Water Risk Atlas’.

Evidence that a WEMP has been developed, implemented and maintained, if the site is in an area identified as having ‘high’ or ‘extremely high’ water stress.

Objectives and targets are in place in the WEMP which aim to reduce water consumption.

Evidence of an annual review of the WEMP.

Evidence has been presented to demonstrate the WEMP is effective at reducing water consumption.

Revisions to the WEMP have been made if the WEMP has not been effective at reducing water consumption.

Aqueduct Water Risk Atlas: Aqueduct Water Risk Atlas.

Tracking use of energy inputs is a necessary step in calculating the GHG emissions associated with aquaculture production and products.

Energy inputs include all those sources of energy used for the purpose of production, including electricity and energy carriers such as diesel or natural gas.

To the extent possible, Certificate Holders are encouraged to calculate energy use specific to the certified site. However, in some cases, this may be difficult to do. For example, fuel purchased may be used to supply vessels servicing many sites, potentially both certified and non-certified sites or even multiple sites or companies.

In these cases, a portion of the overall input may be allocated to the certified site based on a logical allocation basis.

For example, dividing energy inputs between sites based on the relative number of vessel trips or using the site’s relative share of production among the group of sites serviced.

Energy inputs to hatcheries are not included in calculations of on-site energy use. However, in cases where the juvenile stage of the supply chain is integrated with grow-out, sites may choose to include this stage in their calculations to simplify calculations.

Documentation of energy intensity factors (e.g., MJ of energy per L of diesel) used if they are different to the default values used in the ASC Farm Standard Energy Use Data Submission Template.

Evidence to support the quantity of each energy input specified in calculations is available on request, along with any allocation of energy inputs between multiple sites if applicable.

This may be, for example, fuel purchase invoices or electricity use records.

The energy use value is calculated and reported in MJ of energy per tonne of live weight production.

Energy use of production is calculated for either (a) the most recent completed production cycle; or (b) three consecutive years of production.

Documentation is provided to support input variables and calculations.

The ASC Farm Standard Energy Use Data Submission Template is used to demonstrate results.

Certificate Holders are encouraged to use the ASC Farm Standard Energy Use Data Submission Template for calculating the energy intensity of production after energy inputs are quantified.

Additional energy intensity factors for a range of energy inputs are available from the UK Department of Energy Security and Net Zero.

‘Reducing’ refers to using fewer materials, like fewer plastic bottles or buying materials, like products or equipment, with less packaging.

This will cut down on waste from the start.

‘Reusing’ refers to using materials again instead of disposing of them.

‘Recycling’ refers to collecting and processing materials to be turned into new materials.

As a means of giving materials a new use instead of disposing of them as waste in landfills.

Sites should identify the materials used and assess whether it is reasonably practical to prioritise reduction, reuse and recycling over disposal.

The assessment should consider, for example, the availability of recycling facilities in the area.

If applicable, the outcome of the assessment should be turned into policies or procedures.

Identification of materials used and an assessment of the feasibility of reducing, reusing and recycling.

Policies and procedures outlining the steps to handle materials deemed feasible for reduction, reuse and recycling.

Employees should be aware of these policies or procedures.

The site identified the material used and assessed the feasibility of reducing, reusing and recycling.

Materials identified as feasible to reduce, reuse or recycle are effectively and appropriately reduced, reused or recycled.

Employees’ awareness of the policies and procedures that outline the steps to handle materials deemed feasible for reduction, reuse and recycling.

ASC-conforming compound feed is sourced from feed mills certified to the ASC Feed Standard.

This requirement does not apply to non-certifiable species (e.g., cleaner fish).

Documented process to confirm feed is ASC-conforming that includes verification of (see Indicator 1.4.3):

The documentation that identifies:

Records:

Documented process to confirm feed product is ASC-conforming that includes verification of (see Indicator 1.4.3):

The documentation identifies:

A human rights policy:

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:

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:

human rights policy

evidence that senior management have signed it off

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.

Some examples of human rights policies can be found here.

United Nations (2011), Guiding Principles on Business and Human Rights. Available at: <https://www.ohchr.org/sites/default/files/documents/publications/guidingprinciplesbusinesshr_en.pdf>

ILO (2022), ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up. Available at: wcms_716594.pdf (ilo.org)

International Bill of Human Rights, A Brief History and the two International Covenants. Available at: International Bill of Human Rights | OHCHR

United Nations Global Compact (2015), A Guide for Business: How to Develop a Human Rights Policy. Available at: How to Develop a Human Rights Policy 20151013.indd (ohchr.org)

OECD (2023), OECD Guidelines for Multinational Enterprises on Responsible Business Conduct. Available at: <https://www.oecd-ilibrary.org/docserver/81f92357-en.pdf?expires=1729687419&id=id&accname=guest&checksum=62CA2A98BB5F19532709D450D88B4404>

Forced labour can take many forms and can include:

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

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.

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.:

ILO (2015), Combating Forced Labour: A Handbook for Employers and Business. Available at: <https://www.ilo.org/media/441596/download>

US State Department country reports for human trafficking: <https://www.state.gov/trafficking-in-persons-report/>

‘No engagement’ means that child labour does not occur:

Child labour is any unacceptable form of work carried out by children and is prohibited by ASC, including the following:

Table 2 below shows the ages of children and the type of work that they are permitted to engage in:

ILO notes: ‘Not all work done by children should be classified as child labour that is to be targeted for elimination. The participation of children or adolescents above the minimum age for admission to employment in work that does not affect their health and personal development or interfere with their schooling, is generally regarded as being something positive. This includes activities such as assisting in a family business or earning pocket money outside school hours and during school holidays. These kinds of activities contribute to children’s development and to the welfare of their families; they provide them with skills and experience, and help to prepare them to be productive members of society during their adult life.’

If children are assisting at the UoC as part of it being a family business, this would be covered by the scope of this Criterion.

age verification records

employee contracts

job descriptions of all employees.

presence of general risk factors for child labour in a country;

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

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

worker or union representatives’ awareness of any issues in the workplace;

whether or not any children are present at the UoC;

that employees and managers have an understanding of what is hazardous work and what is light work;

confirm life or work histories of employees, when a suspicion exists that the age of an employee does not match the records.

What is Child Labour? What is child labour | International Labour Organization (ilo.org)

Supplier Guidance on Preventing, Identifying and Addressing Child Labour, ILO <https://www.ilo.org/ipec/Informationresources/WCMS_792211/lang–en/index.htm>

Roundtable on Sustainable Palm Oil Guidance on Child Rights for Palm Oil Producer <https://rspo.org/wp-content/uploads/RSPO-GUI-T08-007_V1_ENG_Guidance_on_Child_Rights_for_PO_Producers.pdf#:~:text=The%20RSPO%20standards%20require%20palm,for%20employees%20and%20their%20families>.

Rainforest Alliance Child Labor Guide <https://www.rainforest-alliance.org/resource-item/child-labor-guide-an-introduction/>

FAO Guidance on addressing child labour in fisheries and aquaculture: <https://www.fao.org/3/i3318e/i3318e.pdf>

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

Discrimination:

Equal opportunities means:

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:

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.

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.

The Equal Opportunities Commission: www.eoc.org.uk

European Foundation for the Improvement of Living and Working Conditions: <https://www.eurofound.europa.eu/observatories/eurwork/industrial-relations-dictionary/equal-opportunities>

“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:

The risks assessment should:

The risk assessment should be reviewed and revised:

documented health and safety risk assessments

list of contingency and preventative measures to mitigate the risks.

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.

<https://www.ilo.org/media/453896/download#:~:text=A%20risk%20assessment%20is%20simply,and%20members%20of%20the%20public>

A trade union or worker organisation represents workers’ labour interests and concerns.

Employees are allowed to choose:

Freedom of association enable employees to:

Allowing employees to engage in this process includes ensuring that they understand:

documents, records or other evidence that show how sites have informed their employees that they are free to join or form workers’ organisations of their own choosing, such as:

whether local laws and regulations permit freedom of association;

employees’ awareness and knowledge of their right to join trade unions and other workers organisations;

information from documents and records match with information from employee interviews;

employee knowledge and awareness on:

FOA & worker representation: company guidance. Ethical Trading Initiative.

Q&As on Business and freedom of association. International Labour Organisation (ILO).

This indicator applies to all employees.

Copies of contracts should be available on file in the language of the employee, and provisions should be made for cases where people have low literacy levels. For example:

In the case of any changes to the contract during employment, the UoC should:

Examples of changes to terms and conditions can include where employees have:

Migrant workers should have contracts that:

contracts and contract amendments

evidence of the contract being explained to the employee in their language and in a way they understand

contracts, Memorandum of Understanding or terms and conditions agreed between the UoC and the labour or recruitment agency.

whether contracts meet national legal requirements for labour contracts;

that contract terms and conditions match with working hour records and payroll and wage records and/or the Salary Matrix (see Criterion 3.8);

employees’ understanding of the terms and conditions of their contract;

whether employees are in possession of a copy of their contract and documented changes;

for migrant employees: whether they were required to pay recruitment fees, and any costs incurred for travel to the host country by assessing the process of recruitment. See also Criterion 3.2.

The following countries do not have a minimum wage established by law:

In these countries wages should be negotiated:

In-kind benefits can include:

employee contracts

payslips

working hours records

payment transaction records

any collective bargaining agreements that are in place.

national legal requirements on minimum wage;

relevant collective bargaining agreements on wages in the sector (recommended prior to audit visit);

that no in-kind benefits have been paid in place of the legal minimum wage.

Regularly updated list of minimum wages by country: <https://wageindicator.org/salary/minimum-wage/minimum-wages-per-country>

National legal requirements on working hours, premium rates, rest times, shift patterns and annual leave can vary according to the country where the UoC is located.

National legal requirements should always form the minimum requirement for the UoC.

Collective bargaining:

Annual leave:

ILO Convention No. 132 (Holidays with Pay Convention, 1970) specifies that annual leave is:

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:

Annual leave days are not the same as public holidays, which are:

any written collective bargaining agreements that are in place

information about national legal requirements regarding premium rates, working hours, shift patterns, rest breaks and annual leave.

employees understand that they have the right to engage in collective bargaining about their terms and conditions;

employees have been provided the opportunity to engage in collective bargaining

any collective bargaining agreements in place meet national legal requirements or the ASC Farm Standard, whichever is stricter, at a minimum.

<https://ilo.org/wcmsp5/groups/public/—ed_protect/—protrav/—travail/documents/publication/wcms_491374.pdf>

The written policy should:

Suspension can sometimes be used as a disciplinary action. This period of suspension should always be paid unless:

written workplace conduct response policy

training records

records of any disciplinary process.

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.

ACAS statutory Code of Practice on discipline and grievance procedures: <https://www.acas.org.uk/acas-code-of-practice-for-disciplinary-and-grievance-procedures/html>

Auditors can consult with and seek information from competent authorities and interested parties. For example, local worker welfare organisations, NGOs, labour lawyers and civil society.

Rates are ‘reasonable’ when:

Where an employee or employee and their family plans to live in employer-provided accommodation:

records of rental agreements and payments

employee contracts

payslips.

the costs of any accommodation;

average local rental rates;

any additional charges for the provision of water and electricity, which should not be more than what employees would have to pay if they stayed outside the employer-provided accommodation.

The UoC proactively implements a dialogue system that:

Mechanisms for employees to provide feedback and engagement with management could include:

Issues raised during this process may include suggestions for improvement or highlight negative impacts on employees from the UoC’s activities. Examples can include:

documentation on the mechanisms available

meeting minutes

records of actions taken to address issues.

how the mechanisms for reporting any issues are communicated to the employees;

what the procedures are to facilitate dialogue;

employees’ awareness of any processes to raise or discuss concerns with managers;

how and how often issues can be communicated to the management;

the system for reviewing and addressing any issues.

The aim of this criterion is that the UoC:

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

These areas can include:

It is the responsibility of the UoC to:

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

Step 2: The UoC conducts social impact assessments:

assesses which communities may be affected by their operations:

Step 3: The UoC develops a mitigation plan:

Step 4: The UoC educates and trains employees about:

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

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

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

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.

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.

IFC stakeholder engagement handbook: <https://www.ifc.org/en/insights-reports/2000/publications-handbook-stakeholderengagement–wci–1319577185063>

Guide to social impact assessment: <https://www.eianz.org/document/item/5876>

World Resources Institute “Breaking Ground: Engaging communities in extractive and infrastructure projects”: <https://www.wri.org/research/breaking-ground>

Guidance for Free Prior and Informed Consent (but also useful for community engagement more generally):

For each employee:

The trainer should be competent in the topic of animal health and welfare and the competence should be demonstrable, e.g.:

A list of employees and subcontracted personnel involved in animal husbandry and handling operations.

Records:

Employees received the required level of training for their roles by cross-checking employees and subcontracted personnel lists with:

Adequate level of personnel knowledge of the training content should be verified by:

World Organisation for Animal Health (2024) — Competency and Curriculum Guidelines for Community Animal Health Workers. Paris, 39 pp. (<link xlink:href=”https://doi.org/10.20506/woah.3535″>https://doi.org/10.20506/woah.3535)</link>.

For each employee:

The level of training should be appropriate to their role:

Evidence of training participation must be maintained:

The trainer should be competent in the topic of animal health and welfare and the competence should be demonstrable, e.g.:

A list of employees and subcontracted personnel involved in animal husbandry and handling operations.

Records:

Employees received the required level of training for their roles by cross-checking employees and subcontracted personnel lists with:

Barrento, S., Pedrazzani, A., Ostrensky, A., & Quintiliano, M. (2023). Shrimp Welfare Indicators [Online course]. In S. Barrento, M. Quintiliano, & J. Muirhead (Eds.), FAI Academy. https://fai.academy/

World Organisation for Animal Health (2024) — Competency and Curriculum Guidelines for Community Animal Health Workers. WOAH Report, Paris, 39 pp.

For each employee:

The level of training should be appropriate to their role:

Evidence of training participation must be maintained:

The trainer should be competent in the topic of animal health and welfare and the competence should be demonstrable, e.g.:

A list of employees and subcontracted personnel involved in animal husbandry and handling operations.

Records:

Employees received the required level of training for their roles by cross-checking employees and subcontracted personnel lists with:

Adequate level of personnel knowledge of the training content should be verified by:

World Organisation for Animal Health (2024) — Competency and Curriculum Guidelines for Community Animal Health Workers. Paris, 39 pp. (<link xlink:href=”https://doi.org/10.20506/woah.3535″>https://doi.org/10.20506/woah.3535)</link>.

Therapeutant prescriptions should be accordance with regulatory requirements.

If prescriptions are made by health professionals who are not veterinarians, obtain evidence of competency (e.g. accreditation) in diagnosing, for the purposes of the WOAH Aquatic Animal Health Code.

Records:

Prescriptions and therapeutants use.

The observation should be cross-checked with records.

If a non-veterinarian wrote prescriptions, confirm that the individual is qualified as an aquatic animal health professional.

Desbois., A et al (2025) Aquaculture requires special consideration in National Action Plans for Antimicrobial Resistance. Science of the Total Environment. 958

Responsible Use of Medicines In Agriculture Alliance (2004) Responsible use of antimicrobials in fish production. Report 21pp.

Ibrahim, M., Ahmad, F., Yaqub, B., Ramzan, A., et al. (2020) Chapter 4 – Current trends of antimicrobials used in food animals and aquaculture. Book: Editor(s): Hashmi, M.Z. Antibiotics and Antimicrobial Resistance Genes in the Environment

Appendix 13 (13.2.1), states that if an ABM is a regulatory requirement in a jurisdiction and its definition of ‘area’ aligns with the considerations outlined in this section, sites may use that definition for the requirements in Criterion 4.5.

The Marine Scotland Management Areas and the Agrupación de Concesiones de Salmónidos, set by SERNAPESCA in Chile, are examples of regulatory requirements where the definition of ‘area’ aligns with the considerations of Appendix 13 (13.2.1).

The shared ABM objectives for disease management, required by Appendix 13 (13.2.1), should be drafted and agreed upon by all participants within the ABM.

Records relating to the establishment of the ABM, including:

Records relating to the establishment, review and revision of ABM sea lice load and on-site sea lice levels, including:

ABM includes the required attributes of Appendix 13 (13.2.1).

The establishment, review and revision (if applicable) of an ABM sea lice load and on-site sea lice levels.

‘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:

A register for legal compliance, for example, listing:

Certificates or other records to confirm compliance with legal requirements.

Documented outcomes and records of any inspections by authorities.

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.

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.

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

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

Records:

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.

Records are documented information that provides permanent evidence about past events. They should:

Be stored appropriately:

Records:

records and their genuineness

effectiveness of corrective action and actions to prevent

Indicator 2.12.1 requires the UoC to only use ASC-conforming compound feed.

Use of non-conforming feed will be treated as a non-conformity against Indicator 2.12.1.

For product which is sold under the segregation model, identifying the feed production model and distinct feed name is required by the ASC Feed Standard, Indicator 3.3.2.

Process to confirm the originating feed mill holds valid certification against the ASC Feed Standard.

Records:

Process to confirm the originating feed mill holds valid certification against the ASC Feed Standard.

Effective traceability and segregation systems are in place.

Outcome of any input-output exercises and traceability tests.

Appendix 14 (14.1) establishes that documentation is required to be maintained from the sites in the supply chain to demonstrate that these sites conform with the requirements of this appendix.

Different applicability examples are provided below:

Documentation that demonstrates suppliers of the site conform with the requirements of Appendix 14 (14.1).

Documentation that demonstrates the suppliers of the site conform with the requirements of Appendix 14 (14.1)

An independent person is required to conduct the ERA for larger, more complex sites. However, small-scale or extensive aquaculture sites are not expected to contract an independent person to conduct the ERA.

To demonstrate competence, personnel conducting the ERA for small-scale or extensive aquaculture sites should be able to:

Documents outlining the person conducting the ERA has experience and competences that are relevant to the size and complexity of the site.

For larger, more complex sites, documents outlining the qualifications and experience of the independent person conducting the ERA.

Evidence and documents have been presented to demonstrate the person conducting the ERA has the necessary experience, competencies and qualifications.

Auditor discretion is permitted to determine whether the experience, competences and qualifications are suitable for the size of the site.

The Environmental Risk Assessment (ERA) will determine whether there are critical habitats within the vicinity of the site and the risk drivers that increase the likelihood of negative impacts on any critical habitats.

An ERA report has been completed, which assesses the risk of negative impacts on any relevant critical habitats.

The ERA report demonstrates whether the risk of negative impacts on critical habitats is ‘low’.

In cases where the risk level is not ‘low’, the ERA report identifies the risk drivers.

In cases where the risk level is ‘medium’ or ‘high’, the site demonstrates the actions taken to reduce the risk level to ‘low’.

Whether there are critical habitats in the vicinity of the site. If so, evidence has been provided in the ERA that the risk of negative impacts on the critical habitats is minimal.

Mortalities include animals intentionally killed through lethal action, as well as accidental deaths through entanglement or other means.

Occasional incidents of injury or mortality will be rare and only occur in exceptional circumstances which are necessary for the reasons outlined in Indicators 2.3.2 and 2.3.3. All other feasible measures should be pursued prior to causing injuries or mortality.

A list of Threatened Species, mammals, elasmobranchs and reptiles which are present in the vicinity of the site should be presented.

Records of any interactions, injuries and mortalities to/of these species should be maintained.

Where there are occasional incidents of interactions with or mortalities of Threatened Species, evidence has been maintained to demonstrate that the incidents will not affect the population status.

A written statement has also been obtained from a registered veterinarian or the responsible authorities to confirm at least one of the three points (a-c) in Indicator 2.3.2 has been met.

Records demonstrating that if there are occasional injuries or mortalities of mammals, elasmobranchs or reptiles, the incidents meet the exception in Indicator 2.3.3.

Records of interactions with Threatened Species, mammals, elasmobranchs and reptiles have been maintained. Specifically, records of any injuries or mortality.

Written statements are present from a registered veterinarian or the responsible authorities, in accordance with Indicators 2.3.2, if mortalities of Threatened Species have occurred.

The statement confirms that at least one of the three points (a-c) in Indicator 2.3.2 have been met.

Records have been presented to demonstrate that if there are occasional injuries or mortalities of mammals, elasmobranchs or reptiles, the incidents meet the exception in Indicator 2.3.3.

This Indicator requires the UoC to prevent the escape of cultured animals. It focuses on three key aspects:

Inspection of containment structures to check for structure integrity, including:

Escape prevention measures are installed according to construction specifications that incorporate environmental conditions and species-specific characteristics.

Documents demonstrating inspection and maintenance is occurring regularly and when needed (e.g. after a storm).

Escape prevention measures have been installed according to construction specifications and are appropriate to environmental conditions and species-specific characteristics.

Documents have been presented which demonstrate inspection and maintenance has occurred regularly and as required.

<https://www.gov.scot/publications/aquaculture-code-practice-containment-prevention-escape-fish-fish-farms-relation-marine-mammal-interactions/pages/1/>

The benthic monitoring method for freshwater systems discharging into rivers:

Uses sediment sampling upstream and downstream from the site outflow point to:

Should consider the seasonality of the presence of the macroinvertebrate species, e.g. insects in their larval stage of the life cycle.

It is recommended that sampling is conducted during summer and winter.

In geographical regions like Scandinavia, spring and autumn are recommended as the best times for sampling.

Practical considerations should be taken into account regarding the sampling locations midstream (e.g. strong currents, particularly in wide, deep rivers).

In cases where it is impossible to collect samples in locations midstream, sites should ensure sampling all available substrate types present along the bank and in areas with slower water flow.

Standard equipment such as a surber sampler, handnet and grab should be used.

ISO/IEC 17025 is an example of laboratory accreditation.

For more guidance, see the section

Records:

Sampling activity, including:

Sampling was conducted as per the minimum requirements in Appendix 7 (7.5) by cross-checking records.

Sampling analysis results demonstrate benthic status downstream from the effluent discharge similar to, or better than, upstream.

Sampling frequency agrees with the frequency required by Appendix 7 (7.5).

ISO 10870:2012, Water quality — Guidelines for the selection of sampling methods and devices for benthic macroinvertebrates in fresh waters.

Indicator 2.6.3 complements the other water quality indicators by addressing the direct release of uneaten feed in the form of fines into the environment.

Setting a maximum percentage of fines in the feed addresses the efficient and proper transport, storage and physical delivery of feed pellets to the site.

Poor performance in any of the above phases of feed handling will result in a higher percentage of fines (fine particles of feed) and potentially greater impacts on water quality, due to an increase in suspended organic particles and nutrients released into the environment.

Sampling of feed lots includes feed delivered as material in bulk, big bags and small bags to the site.

Testing by the feed manufacturer to the UoC is permissible where there is no significant risk of feed deterioration during subsequent handling, storage or application.

Rationale for not testing on site should also be reported.

The method used to determine the percentage of fines in feed, in accordance with Appendix 8 (8.3).

The determination and documentation of a schedule and location for the testing of feed.

If testing takes place prior to delivery to the site, the rationale should be documented for not testing on site.

Calibration of sieving machines (if used) in accordance with the manufacturer’s recommendations.

The rationale for the timing and location of feed sampling.

The UoC has appropriate testing technology on site and that, if applicable, it is calibrated as required.

The method used to determine the percentage of fines in feed, in accordance with Appendix 8 (8.3).

Review testing results and confirm that results demonstrate feed contains <1% of fines.

The location and/or route of the discharge of brackish or saltwater effluent to demonstrate discharge does not take place over land.

Examples of evidence may include maps/plans of the discharge locations/routes.

Evidence has been presented, such as maps/plans, to demonstrate brackish or saltwater effluent is not discharged over land.

This requirement will mitigate impacts on water quality and the risk of salinisation, therefore supporting the implementation of Criterion 2.6 and 2.7 respectively.

Records which demonstrate:

Records have been presented which demonstrate biosolids are not disposed of and/or released into receiving waterbodies, natural wetlands or other ecosystems.

There is no evidence of the discharge and/or release of biosolids into receiving waterbodies, natural wetlands or other ecosystems during the audit.

Water levels in groundwater wells should be tested and recorded at similar times during the year.

Monitoring of water levels in groundwater wells determines whether water is being replenished in the ground. When water abstraction increases beyond the rate of replenishment, the result is a reduction in the water table.

Results from the monitoring of water levels in groundwater wells.

Documents demonstrating the monitoring results have been included in, and informed revisions of, the WEMP (where required).

Regulatory records which provide evidence of the recording of water levels, if monitoring is not permitted by law.

Monitoring results have been presented which demonstrate the recording of water levels in groundwater wells.

Monitoring results have informed the drafting or revision of the WEMP.

Consistent and transparent measurement of GHG emissions following a life cycle assessment approach is necessary to underpin effective GHG reduction and management and to inform broader efforts to understand and reduce the GHG impact of global food systems.

This indicator ensures that all ASC certified sites undertake this important first step in contributing to efforts to combat climate change.

ASC does not require the use of any particular GHG calculation framework or tool or conformance with any particular GHG methodology or standard. However, some methodological requirements are stipulated in Appendix 9 to ensure a sufficient level of consistency, completeness and accuracy of GHG calculations.

Certificate Holders should consider the reporting format of the ASC Farm Standard GHG Data Submission Template in undertaking their calculations.

This includes the characterisation of GHG emissions in three distinct ways:

GHG profiles for feeds used, specific to the feed supplier and species or species group and updated on an annual basis, as required to be shared by the feed supplier according to Criterion 1.21 of the ASC Feed Standard and using the format of the ASC Feed Standard GHG Data Submission Template.

For marine salmonids only: GHG profiles for any supplying grow-out site(s) as required to be shared by the previous grow-out site(s).

Documentation of the source of any GHG emission factors used.

This may be documentation of calculation tools (e.g., the ASC GHG Calculator) or documentation of specific emission factors and their source if calculating emissions manually.

Documentation of the input variables used (e.g., quantity of electricity).

Inputs of energy should reflect those calculated in Indicator 2.10.1. All input variables should be supported by evidence such as invoices or feed use records if requested.

Documentation of conversion factor and, if applicable, allocation factors, used to convert GHG calculations from a live weight basis to an edible weight basis.

Documentation of power purchase agreements, if applicable, to demonstrate use of electricity from specific dedicated sources rather than the national or regional electricity grid.

Records of GHG profiles from feed suppliers and (for marine salmonids) prior grow-out sites are available.

GHG emissions are calculated in kg CO~2~e relative to live weight production and edible weight product and recorded using the ASC Farm Standard GHG Data Submission Template.

If using a tool other than the ASC GHG Calculator, documentation showing how the tool conforms to the methodological requirements outlined in Appendix 9;

This may be a signed declaration from the tool provider or highlighted elements in the tool’s user documentation.

Values input into the ASC GHG Calculator, another tool, or manual calculations are supported with evidence (e.g., fuel purchase invoices).

If undertaking calculations manually, demonstration of the calculations undertaken, including the use of GHG data from feed suppliers and (for marine salmonids) prior grow-out sites in conformance with the requirements of Appendix 9.

The scope of included activities reflects the requirements outlined in Appendix 9.

GHG emissions are not adjusted using carbon credits or offsets.

Certificate Holders are encouraged to use the ASC GHG Calculator, available at https://ghg.asc-aqua.org, to ensure compliance with regards to calculation scope, methods, data sources and reporting format. Use of this tool is voluntary; other tools, consultants, or internal procedures may be used if documentation is available to demonstrate compliance with the requirements in Appendix 9.

Recommended factors for converting GHG emissions from a live weight basis to an edible weight basis may be sourced from supplemental material of Gephart et al. (2021). Other conversion factors may be used if they reflect the actual edible yield (i.e., muscle fraction) of the animal.

A range of methodological frameworks and standards are available to guide life cycle assessments and GHG accounting. Use of any of these is optional, provided that calculations are still in compliance with the requirements of Appendix 9. Examples include:

Filters or screen barriers installed in the effluent pipe/channel prior to discharge are examples of methods for capturing non-biological solid waste.

Based on their context, sites should identify and assess non-biological solid waste that could end up in the effluent to determine the most appropriate method for its capture.

Identification (e.g. a list) of non-biological solid waste generated at the site.

An assessment of the characteristics of non-biological solid waste to determine the most appropriate method for capturing it in case it ends up in the effluent.

Records of maintenance of the method used to capture non-biological solid waste (if applicable, e.g. filter or screen barriers).

The site has identified and assessed non-biological solid waste generated.

Through site inspection, the method to capture non-biological solid waste prior to effluent discharges and its suitability.

Regulated source means that there are national/international laws, agreements or policies governing the harvesting or farming of seaweed and that these are complied with, or the seaweed is from a certification scheme which addresses the responsible management of seaweed, whether wild-harvested or farmed.

Seaweed certified to the following standards meet this ASC requirement on regulated sources:

Legislation which stipulates responsible harvesting or farming.

Supplier harvesting or farming permits.

Certification documentation.

Records:

Legislation which stipulates responsible harvesting or farming.

Presence and validity of permits.

Certification documentation.

Records.

Harvest.

Transport to the UoC.

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

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.

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:

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

Remediation of forced labour:

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

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

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

These potential partners can include:

Potential support that these partners can provide could include:

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.

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.

Bureau of International Labor Affairs, Forced Labor Remediation Guide. Available at: <https://www.dol.gov/agencies/ilab/comply-chain/steps-to-a-social-compliance-system/step-6-remediate-violations/key-topic-forced-labor-remediation-guide#:~:text=REMEDIATION%20ACTION%3A,-Ensure%20that%20wages&text=Ensure%20that%20payment%20schedules%20are,receive%20their%20full%20wages%20due>.

ILO (2015), Combating Forced Labour: A Handbook for Employers and Business. Available at: <https://www.ilo.org/media/441596/download>

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

Remediation of child labour:

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

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

Potential measures to prevent child labour include:

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

These potential partners can include:

Potential support that these partners can provide could include:

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.

existence of effective and appropriate remediation procedures;

knowledge and capacity of staff to implement remediation procedures;

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.

Eliminating Child Labor, Best Practice for Remediation, GoodWeave <https://goodweave.org/best-practice-briefs/#:~:text=The%20GoodWeave%20System%20is%20a,root%20causes%20of%20child%20labor>

‘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:

Examples of harassment in the workplace can include the following:

Harassment can happen in many forms:

It can be:

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:

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

Abusive behaviour can include:

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

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.

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.

To demonstrate competence, the person carrying out the health and safety risk assessment should:

training records

qualifications of the person conducting the health and safety risk assessment

health and safety risk assessment.

what applicable legal requirements there are for health and safety risk assessments;

the qualifications and experience of the person conducting the health and safety risk assessment;

how effective and thorough the risk assessment is that is in place.

Collective bargaining:

Allowing employees to engage in this process includes ensuring that they understand:

documents, records or other evidence that show how sites have informed their employees that they are free to bargain collectively, such as:

documents, records or other evidence allow for verifying that sites have informed their employees that they are free to bargain collectively;

any collective bargaining agreements in place are being followed;

employees’ awareness and knowledge of their right to bargain collectively;

While the ASC Farm Standard requires that all employees working at the UoC are employed through contracts with agreed upon terms and conditions, and fair wages, ASC recognises that:

This indicator allows for small sites to receive help in operating the business from close family members in a more informal manner and in exchange for some compensation or benefits. These can include:

agreement with the family member about work, working conditions, compensation and benefits

evidence of first or second-degree blood relative of the owner or spouse of the owner.

everyone working at the UoC understands their role and how they are compensated;

everyone working at the UoC is fairly compensated for their work;

everyone working at the UoC is either an employee with a contract or a first or second-degree blood relative of the owner or spouse of the owner.

A living wage is: ‘the remuneration (wages, bonuses and benefits) received for a standard workweek by a worker in a particular place sufficient to afford a decent standard of living for the worker and their family. Elements of a decent standard of living include food, water, housing, education, health care, transportation, clothing, and other essential needs including provision for unexpected events.’

A living wage is different to the national minimum wage: it is usually higher and is adjusted yearly for inflation and is voluntary rather than required by law.

Living wage benchmarks are location-specific monetary amounts calculated by the Anker Research Institute (ARI) and the Global Living Wage Coalition designed to ensure employees receive sufficient income for a living wage. Sites can find relevant benchmarks in the ASC Living Wage Benchmarks document found online, which is regularly updated.

The living wage gap is defined as the difference between the local living wage and the actual remuneration (wages, bonuses, and benefits) provided to employees.

ASC’s requirements on living wage are focused on measuring and reporting wages:

These requirements do not require the UoC to:

Through the results of this calculation, the UoC should be able to:

An example of a possible result from the calculation is:

completed Salary Matrix or similar wage measurement analysis calculation

employee contracts

payslips

payment transaction records.

the accuracy and completeness of wage measurement analysis;

what bonus payments, and in-kind benefits have been paid, through employee and management interviews and document review;

the value and benefit of in-kind benefits recorded in the wage measurement analysis, through employee interviews;

calculations used in calculating in kind-benefits used for wage calculation, including document review, through management interviews;

wage payments.

Living Wages Around the World, Manual for Measurement by Richard Anker and Martha Anker, Chapter 15 Comparing Prevailing Wages to a Living Wage: <https://www.elgaronline.com/monobook-oa/9781786431455/9781786431455.xml>

Wage measurement tool: IDH Salary Matrix

List of living wage benchmarks on ASC website

The UoC’s working hours recording system:

working hours records, which include:

employees are aware that their working hours are being recorded;

employees are able to access their working hours records;

employees are able to confirm the accuracy of the working hours records;

pay slips, employee contracts and working hours records are all aligned.

The UoC can inform employees about the workplace conduct response policy by:

written workplace conduct response policy

training records

employee handbook.

training records and employee handbook;

employees understand workplace response procedures

how employees were trained on workplace response procedures.

Appropriate sanitary facilities:

records of scheduled housekeeping such as cleaning of common areas like toilets, shower stalls, corridors and garbage disposal.

through a walkthrough of the sanitary facilities that all provisions of this Indicator are met;

what employees report on the quality of drinking water, maintenance of sanitary equipment like taps and toilet flushing systems.

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:

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

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

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

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

grievance policy or procedure

employee survey results

employee notices and notice boards

employee handbook

records from grievance procedures and their outcomes

meeting minutes.

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.

Rainforest Alliance’s Grievance Guidance: <https://www.rainforest-alliance.org/business/resource-item/guidance-e-grievance-mechanism/>

SHIFT Project is a non-profit consultancy focused on human rights Due Diligence based on the UN Guiding Principles for Business and Human rights. They have published two guidance documents on grievance mechanisms with clear definitions, both for community and employee-focused grievance. <https://shiftproject.org/wp-content/uploads/2020/02/191210_publication_grievance-mechanism.pdf>

<https://shiftproject.org/wp-content/uploads/2014/05/Shift_remediationUNGPs_2014.pdf>

The Global Compact Network Netherlands, Oxfam and Shift also developed a ‘Doing Business With Respect for Human Rights’ guide for companies to translate expectations in the UN Guiding Principles on Business and Human Rights into concrete action, with a chapter on Remediation and Grievance: <https://www.businessrespecthumanrights.org/en/page/349/remediation-and-grievance-mechanisms>

<https://www.ihrb.org/uploads/reports/EC-Guide_OG-12_Part-3_Section-VI.pdf>

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

In consultation with the community the UoC should:

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.

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.

The vaccination plan should consider:

Local regulations.

List of relevant diseases for the species in the country and available vaccines.

Vaccine permits.

Vaccine purchase invoices.

Records:

The vaccination plan in place is overseen and signed off by a veterinarian and includes a list of relevant diseases for the country and the vaccines available.

The information should be cross-checked with local regulations and records.

Domínguez-Odio, A; Rodríguez Martínez, E; Leonardo Cala Delgado, D. (2024) Commercial vaccines used in poultry, cattle, and aquaculture: a multidirectional comparison. Frontiers In Veterinary Science.

Yang, Du; Xioman, Hu; Liang, Miao; Jiong, Chen (2022) “Current status and development prospects of aquatic vaccines” Frontiers in Immunology.

World Organisation for Animal Health (2021) Tackling Disease Outbreaks. WOAH Article.

Mondal H, Thomas J. (2022) “A review on the recent advances and application of vaccines against fish pathogens in aquaculture”. Aquaculture International.

Testing should be relevant to:

Testing might consist of:

Laboratory tests:

The designated veterinarian or aquatic animal health professional should determine:

List of relevant diseases for the species in the country (see interpretation for Indicator 4.3.6).

Testing results written report or document that includes, as a minimum:

Records:

Every batch of animals has been tested by cross-checking the list of relevant diseases for the species in the country with the testing result’s written report or document and records.

Victoria Agriculture (2023) Abalone disease; Biosecurity. Webpage.

Victoria Fisheries Authority (2024) Abalone diseases. Webpage.

Alevra, A., Llorente Manzanares, M., Mente, E., Xandri Royo, P.M. (2024) Good husbandry practices for aquaculture. Publications Office of the European Union. Report 89pp.

If a site does not receive any requests to collaborate on research, the site may demonstrate compliance by showing evidence of commitment through other proactive means.

Records that demonstrate verification of how the site or Certificate Holder has communicated with external groups (NGOs, academics, regulators) to agree on and collaborate towards areas of research to measure the impacts of sea lice on native fish.

Records that demonstrate collaboration with NGOs, academics and regulators.

Evidence that the site or Certificate Holder has communicated with external groups to agree on areas of research and is tracking and responding to research requests.

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:

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

Job descriptions of all employees.

Organisational chart with clarity on who is responsible for what.

Records and documents of training.

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.

The required disclosure is to the UoC’s buyers of ASC certified products.

A public disclosure is possible but not required.

The UoC shall ensure buyers are informed when a product’s feed contains or is produced from GMO.

Disclosure may be provided to buyers individually or collectively.

Records:

Evidence of disclosure to buyers.

In accordance with Indicator 2.2.2, the ERA report will identify whether critical habitats are located within the boundaries of the site.

The size and biodiversity characteristics of critical habitats should either remain the same since the ERA was conducted or have increased/improved.

The ERA report has identified the presence of critical habitats within the boundaries of the site.

Documented measures and outcomes, which demonstrate critical habitats have been preserved, and that their size and biodiversity has not decreased.

Whether critical habitats have been identified in the ERA report.

If critical habitats are present, evidence has been provided to demonstrate measures to preserve the documented critical habitats.

Outputs of preservation measures should also be available where appropriate.

GIS portal: GIS portal – ASC International (asc-aqua.org)

Records showing that the UoC has investigated each mortality incident and how the investigation has led to the implementation of appropriate actions to prevent recurrence.

Documents demonstrating the actions have been implemented and prevented recurrence.

Investigations have taken place following each mortality event.

Actions have been implemented to prevent recurrence of wildlife mortalities.

This Indicator requires the UoC to conduct a site-specific risk assessment to proactively identify and mitigate risks associated with handling and containment of cultured animals. The Indicator emphasises the need for tailored evaluation rather than a generic approach as site-specific circumstances might require different responses. Management approval ensures that the assessment is formally reviewed, acknowledged and integrated into wider management structures.

Documentational evidence of a risk assessment, the identification of appropriate risk levels and any mitigation actions taken (including the implementation thereof). The evidence should also include proof of management approval and periodic review of the risk assessment to ensure that it remains relevant.

Presence of a documented risk assessment, which:

That the risk assessment identifies:

The UoC should initially determine the depth of the waterbody in comparison to the depth of the cage.

Measurements should take place at the lowest water level and from the bottom of the cage.

Depth should also be measured from the outer circumference of the culture containment space, i.e. excluding predator nets, mortality collection chambers etc.

In tidal systems, the depth should be measured at mean low water spring tide (MLWS).

If the depth of the water column (surface to seafloor) is less than 10m or less than double the cage depth, the UoC should measure the current velocity below the cage to determine whether the >0.1 m/s threshold is met.

Results of measurements which demonstrate that all cages in the UoC meet the depth/current velocity requirements in Indicator 2.6.4.

The UoC has provided evidence demonstrating that all cage systems meet the siting requirements outlined in Indicator 2.6.4.

If mean current velocity is used to meet the requirement, the UoC has provided evidence that measurements were taken during periods with >75% peak biomass.

An example of how to measure current velocity below cages can be found under Section 2.1 of the following document: Marine Scotland (2015): A Technical Standard for Scottish Finfish Aquaculture.

Salinity levels are: Freshwater (limnetic; <0.5 ppt), slightly saline (oligohaline; 0.5-4.9 ppt), moderate saline (mesohaline; 5-17.9 ppt), highly saline (polyhaline; 18-29.9 ppt) and seawater (euhaline; 30-34.9 ppt).

River estuaries are an example of a waterbody that have periodic varying salinity levels. These can also be referred to as poikilohaline waterbodies.

Salinity testing of effluent water in the receiving waterbody or natural wetlands should be conducted.

Salinity levels in the receiving waterbody or natural wetlands may be obtained from credible sources, e.g. results of government monitoring.

To comply with the exception in the indicator, salinity testing in the waterbody or natural wetland should take place. Alternatively, test results can be obtained from credible sources, e.g. scientific or government body.

Results of salinity testing for effluent water and in the receiving waterbody or natural wetlands.

If applicable, reports or measurements determining whether waterbodies and natural wetlands have naturally varying salinity levels.

Salinity test results have been presented which determine one of the following:

The following outlines examples of the purposes for uncontaminated biosolids re-use:

Documents demonstrating the appropriate treatment and re-use of biosolids.

An example may be a biosolids management plan.

The management plan may include a flow diagram that outlines key steps for the treatment of biosolids prior to re-use to ensure they are uncontaminated.

Documents, for example a biosolids management plan, have been presented which demonstrate only uncontaminated biosolids are re-used.

After calculating GHG emissions and identifying major contributors (‘hot spots’) to overall emissions, a Management Plan allows a site to identify actions to reduce, minimise and/or avoid GHG emissions.

Actions proposed in a GHG Management Plan should demonstrably relate to emissions identified during GHG calculations. Actions may also relate to GHG emissions beyond the scope of ASC’s GHG calculation requirements if evidence is shown that these emissions are substantial.

For example, efforts to reduce GHG emissions from product transport can have a significant effect in some cases, particularly if air freight is used.

Actions proposed in a GHG Management Plan should be accompanied with means to track implementation and effectiveness.

Not all GHG emission reduction efforts require major changes to operations or large new infrastructure investments.

Incremental improvements to feed conversion ratios, mortality rates, and energy efficiency can also be effective ways to reduce GHG emissions.

GHG targets, relative to both live weight production and edible weight product, are provided in Appendix 9.

By calculating and reporting emissions on an annual basis, sites will be able to track their GHG performance over time and assess the effectiveness of actions taken in their GHG Management Plan.

Reporting of GHG emissions to ASC, with a consistent approach across certified sites, will also support ASC’s efforts to provide guidance back on the types of actions that are achieving significant improvements in GHG performance.

While calculation and reporting of GHG emissions requires the use of two allocation methods to promote transparency and consistency across certified sites, Certificate Holders may select either allocation method as the basis for identifying actions in their GHG Management Plan and tracking emissions over time.

For many sites, emissions may come primarily from the production and use of feed.

The GHG Management Plan may be site-specific or may be applicable across many sites or developed at a corporate level, provided that the GHG tracking and actions taken are demonstrated to be relevant to the site and to reflect identified hot spots of emissions.

Copies of current and previous versions of the GHG Management Plan.

Presence of a GHG Management Plan.

The GHG Management Plan is maintained by a designated member of staff and is regularly reviewed and updated.

Actions proposed in the GHG Management Plan reflect identified sources of GHG emissions.

The GHG Management Plan includes tracking of GHG emissions over time relative to the targets set out in Appendix 9.

Sites should identify and classify waste based on where it will be disposed of. This includes the following types of waste:

Based on the classification, sites should determine the facilities to use for waste disposal, for example:

Identification and classification of waste.

Records confirming that waste is disposed of in appropriate facilities according to its classification and the legality of those facilities.

The site:

Records:

Records:

Although the science behind prion diseases, infectivity and pathogenicity in fish in association with Transmissible Spongiform Encephalopathies (TSEs) is not very well developed, ASC has taken a precautionary approach and followed the guidelines of FAO (2011) Aquaculture Development. 5. Use of Wild Fish as Feed in Aquaculture Principle 9.1 “For biosecurity reasons, intraspecies recycling is an unacceptable practice that should be prohibited”.

Protein hydrolysates verified to <10,000 daltons are allowed as controlling the molecular weight provides a good verification of the appropriateness of an applied transformation process. This is in line with Regulation (EU) 142/2011 regarding the use of animal by-products.

Employee representation:

A committee structure preferably:

A committee’s role includes:

The UoC should ensure that any employee representative or committee:

list of members of the employee committee or employee representation

records of meetings and actions

records of election procedures.

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

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

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

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

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.

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.

An employment process that includes an age verification mechanism helps to confirm that employees are of the age category indicated, thereby enabling the UoC to prevent all forms of child labour.

Age is verified by legal documentation in a robust age identification process where the UoC requires proof of identity:

age verification records.

how management implements age verification

the ages of employees.

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:

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.

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).

<https://www.who.int/news/item/17-10-2018-united-nations-agencies-call-for-ban-on-virginity-testing>

This requirement is applicable to both the workplace and any accommodation facilities provided by the UoC.

An employee could decide that a workplace is unsafe if there are significant risks to health or safety due to, for example: