The Aquaculture Stewardship Council (ASC) is the owner of this document.

Trade register number 34389683

For feedback or questions regarding the content of this document, please contact ASC via standards@asc-aqua.org.

Document ID: ASC-INT-001

Version control

Document version history:

Version:	Issue Date:	Remarks/changes
V1.0	1 May 2025	New document – to be used with ASC Farm Standard V1.0
V1.0.1	1 Sept 2025	Revised document (non-substantive changes) – to be used with ASC Farm Standard V1.0.1. – Amendments to referenced Indicators to reflect changes in the Farm Standard V1.0.1. – Indicator 3.9.3 – new bullet point on risks of multiple jobs. – Indicator 4.1.1.10.2 – K Factor statement added. – Indicator 4.1.2.10, Footnote 56 – Clarification of certified product. – Indicator 4.4.10 – Correction in fourth main bullet point. – Indicator 4.4.16 – new bullet point on historical antibiotic use.

It is the responsibility of the user of the document to use the latest version as published on the ASC website.

This Interpretation Manual does not contain normative content and is meant as guidance only. 

Review and revision

ASC will review this Interpretation Manual periodically as and when required. 

If review determines that revision is necessary, ASC will revise the document accordingly, publishing the new version on the ASC website. 

Available language(s)

The ASC Farm Standard Interpretation Manual is available in the following language(s):

Version:	Available languages:
V1.0	English (official language) Japanese Korean Spanish Turkish Vietnamese

In case of any inconsistencies and/or discrepancies between available translation(s) and the English version, the online English version (PDF format) will prevail.

Copyright notice

This document is licensed under a Creative Commons Attribution-NoDerivs 3.0 Unported License.

Permissions beyond the scope of this license may be requested via standards@asc-aqua.org.

1.1.1 – The UoC shall hold all applicable legal licences and permits.

How do I interpret this requirement?

• The UoC should be responsible for:
  • Having a good understanding of local licensing and permit systems that apply
  • Obtaining all necessary documentation for siting, constructing and operating their facilities. Examples of these can include:

    • business/operational licences,

    • land deeds,

    • leases or concession agreements,

    • construction permits,

    • water use permits,

    • effluent permits,

    • landfill operation permits,

    • fire safety certificate,

    • building fitness certificate,

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

    • licences or permits to house workers in provided accommodation,

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

• Paying attention to:

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

  • conditions set as part of the licence/permits.

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

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

Auditors should confirm:

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

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

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

Useful Resources

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

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

How do I interpret this requirement?

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

• The UoC should be responsible for:

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

  • facilitating any inspections by authorities.

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

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

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

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

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

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

• Documented outcomes and records of any inspections by authorities.

Auditors should confirm:

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

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

Useful Resources

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

Management Systems for ASC-Certified Farms

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

How do I interpret this requirement?

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

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

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

• A management system should include:

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

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

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

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

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

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

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

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

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

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

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

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

• Evidence that demonstrates management’s ownership of the management system (see Indicator 1.2.2).

Auditors should confirm:

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

• Management’s ownership of the management system:

  • attendance at management reviews (see Indicator 1.2.4).

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

    • demonstrable during interviews with the management.

Useful Resources

• 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

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

How do I interpret this requirement?

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

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

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

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

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

• Records:

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

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

Auditors should confirm:

• The management designated responsible person(s) for the implementation of the ASC Requirements.
  • through records and interviews with employees and the management.
• Role description of the responsible person(s) for the implementation of the ASC requirements.

Useful Resources

N/A

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

How do I interpret this requirement?

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

  • Knowledge,

  • Experience,

  • Training (theory and on the job),

  • Capacity, and

  • Decision-making permissions.

• ‘Relevant employees’ and ’necessary competencies’ refer to an employee’s function and area of responsibility:
  • For example, a Health and Safety Manager is able to carry out and regularly update the Health and Safety risk assessment and define mitigating measures, but might not have the experience to treat injuries. Or the person responsible for first aid can take immediate action in the case of an injury and has access to and an overview of all first aid supplies, but might not have the experience to carry out a Health and Safety risk assessment.

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

• Job descriptions of all employees.

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

• Records and documents of training.

Auditors should confirm:

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

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

Useful Resources

N/A

1.2.4 – The UoC shall annually review the management system and revise it where necessary to ensure its continued suitability, adequacy and effectiveness in implementing the ASC Requirements.

How do I interpret this requirement?

• The UoC’s management system review should provide the opportunity to assess its suitability, adequacy and effectiveness in continuously ensuring conformance with the ASC requirements.

• The review should consider:

  • Progress and effectiveness of changes implemented following the previous management review.

  • Financial and personnel resources necessary to maintain the management system.

  • Changes in the internal and external context of the site which may give rise to previously unanticipated issues.

  • Performance review since the previous management review.

  • Internal and external audit outcomes.

  • Grievances raised.

  • Progress towards longer-term ASC targets, e.g. an increase in wage payments.

  • Progress towards site commitments.

  • A mechanism for employees’ feedback on the effectiveness of the management system

• The outcome of the review should include addressing any need for changes and opportunities for improvement in the management system, which is documented and communicated to relevant employees for implementation.

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

• Records:

  • of the review and its outcomes.

  • meeting minutes.

Auditors should confirm:

• Review is conducted at least annually.

• Records.

Useful Resources

N/A

1.3.1 – The UoC shall discourage all forms of corruption and shall encourage ethical behaviour and integrity in their business operations.

How do I interpret this requirement?

• Corruption can:

  • Happen anywhere;

  • Involve anyone;

  • Take many forms11https://www.transparency.org/en/what-is-corruption. For example:

    • extortion

    • embezzlement

    • bribery

• Examples of corruption are:

  • A manager buys supplies from a friend and in return, the friend gives 20% of the profits to the manager. This may go as far as the manager excluding other appropriate suppliers from the system of approved suppliers.

  • A piece of infrastructure has an unsafe mechanism and the owner pays the manager cash to not disclose this at the next audit.

• Examples of extortion are:

  • Employee A threatens to provide information to the manager which could get Employee B into trouble or fired, unless Employee A is paid a requested amount of money.

  • A site owner threatens to hurt the owner of the neighbouring plot of land unless the land-owner agrees to give up some of his land so that the site can build an additional building.

• Examples of embezzlement are:

  • A site manager getting cash from the first point of sale in exchange for under-declaring harvest volumes (i.e. the purchaser receiving more product that they are paying for).

  • A sourcing manager purchases cheaper non-eligible feed but registers them as eligible and provides documentation falsely declaring it as more costly eligible feed, as financial sourcing performance increases the sourcing manager’s bonus.

• Examples of bribery are:

  • A supplier buys a new car for a site manager, in exchange for the site manager giving the sourcing contract to that supplier.

  • A site pays cash to customs officials to speed up the passage of their feed through the import and export system.

  • A sustainability manager offers auditors excessive accommodation and lunches to reduce the audit effort or to turn a blind eye to non-conformities.

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

• Policies preventing corruption, including extortion, embezzlement and bribery.

• Terms of dismissal should employees engage in these practices.

Auditors should confirm:

• Management and employees are aware of:

  • what these practices involve and how to recognise them.

  • the policies in place for preventing corruption, including extortion, embezzlement and bribery.

Useful Resources

• Transparency International: https://www.transparency.org/en

1.3.2 – The UoC shall ensure that information provided as evidence of conformance to the ASC Requirements is not falsified or misrepresented.

How do I interpret this requirement?

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

  • Be completed and maintained in a way that ensures information is accurate and preserved;

  • Be genuine;

    • they should be completed at the time of the checks or shortly after.

  • Capture and illustrate information when processes do not perform as expected.

    • for example, if the cooling system ceases to work, it is important that temperatures above the acceptable range according to internal requirements are recorded so that management can learn from these events.

      • recording temperatures only within the acceptable range will lead to management not understanding that a backup temperature regulator might be needed.

  • Be legible;

  • Be complete;

    • which may include a form of authorisation through the initials of the supervisor verifying records are complete;

• Be stored appropriately:

  • paper records should be stored in a way that prevents damage.

  • where records are stored electronically, this storage should be backed up.

• If incidences of falsification of records or misrepresentation of information are identified, corrective action and actions to prevent recurrence should be taken.

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

• Records:

  • that demonstrate genuineness.

  • corrective action and actions to prevent recurrence when incidences of falsification of records or misrepresentation of information are identified.

Auditors should confirm:

• records and their genuineness

• effectiveness of corrective action and actions to prevent

Useful Resources

N/A

1.4.1 – The UoC shall identify, evaluate and mitigate risks of mixing and substituting ASC certified products with non-certified products at all sites.

1.4.2 – The UoC shall develop, implement and maintain a traceability system, covering all sites, to ensure that the following conditions are met:

1. only larvae/juveniles that conform with the requirements in Criterion 1.5 are used to produce certified product; and

2. all stocked animals are traceable back to the supplier; and

3. all batches of ASC certified and non-certified product are identifiable and segregated at all sites and at all times; and

4. all batches of ASC certified product are traceable at all times to:

   • the site(s) used ; and

   • the production unit(s) used; and

5. corrective actions are taken if non-conforming product is identified, sold or dispatched; and

6. accompanying documentation shall identify product sold or dispatched as ASC certified or non-certified.

How do I interpret this requirement?

• 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.

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

• Records:

  • risk assessment and any resulting actions.

  • use or verification of the effectiveness of the traceability system, for example:

    • outcome of input-output exercises and traceability tests.

Auditors should confirm:

• Risks have been adequately assessed and mitigated.

• Effective traceability and segregation systems are in place.

• Outcome of any input-output exercises and traceability tests.

Useful Resources

N/A

1.4.3 – The UoC shall demonstrate that feed products, subject to conformance with Indicator 2.12.1, are accompanied by the following information:

Indicator applicability: every UoC using compound feed

1. the originating feed mill holds valid certification against the ASC Feed Standard with the appropriate scope of certification in relation to the ASC Production Model (i.e. Mass Balance Production Model or Segregation Production Model product); and

2. feed is traceable as ASC-conforming throughout all steps between the feed mill and site; and

3. documentation accompanying the feed identifies the feed as ASC-conforming; and

4. documentation accompanying the feed identifies the production model applied (i.e. Mass Balance Production Model or Segregation Production Model); and

5. for ASC-conforming Segregation Production Model feed, the product is identifiable by a distinct feed name in formal documentation accompanying the product and is listed on the schedule to the feed mill certificate.

How do I interpret this requirement?

• 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.

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

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

• Records:

  • traceability system and its verification, for example:
    • use of a digital traceability system
    • outcome of any input-output exercises and traceability tests.
• accompanying documents incorporating information required by 1.4.3(c), (d) and (e).

Auditors should confirm:

• 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.

Useful Resources

N/A

1.4.4 The UoC shall disclose to all buyers of their ASC certified product when a product’s feed contains >0.9%22European Council. (2003). Regulation (EC) No 1830/2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms and amending Directive 2001/18/EC. European Parliament, Council of the European Union. Genetically Modified Organisms (GMO) or macro ingredients produced from GMO.

Indicator applicability: every UoC using compound feed

How do I interpret this requirement?

• 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.

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

• Records:

  • disclosure to buyers.

Auditors should confirm:

• Evidence of disclosure to buyers.

Useful Resources

N/A

1.4.5 – The UoC shall not sell or dispatch the following as ASC certified:

1. crustaceans treated with antibiotics at the UoC, or

2. any product treated with antimicrobials listed as Critically Important Antimicrobials for Human Medicine by the World Health Organisation (WHO), at any stage in the lifecycle of the product.

How do I interpret this requirement?

• This requirement addresses situations where a product may conform to the Standard, however it cannot be sold or dispatched as ASC certified.

• The UoC should:

  • Maintain detailed records of any antibiotic treatments applied prior to the UoC (see Indicator 1.5.2).

  • Implement a process to ensure that the product under 1.4.5(a) or (b) is not sold or dispatched as ASC certified.

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

• Records:
  • antibiotic treatments, including those applied prior to the UoC.

Auditors should confirm:

• UoC’s process to ensure that the product under 1.4.5(a) or (b) is not sold or dispatched as ASC certified.

Useful Resources

N/A

1.4.6 The UoC shall disclose to buyers of their ASC certified product, upon request, a list of all veterinary therapeutants applied to the product.

No additional guidance is provided for this Indicator.

1.4.7 The UoC shall report to ASC the production volumes and sales/dispatch volumes of ASC certified and non-certified products originating from each site, and submit specified traceability data (when requested), according to ASC data submission procedures.

No additional guidance is provided for this Indicator.

1.5.1 – The UoC shall map their supply chain using the ASC Supply Chain Mapping Template, provided on the ASC website.

1.5.2 – The UoC shall only stock ASC certifiable product if accompanied by a completed ASC Stock Status Record33The ASC Stock Status Record holds batch-specific information on products moving through the supply chain. This includes information on origin of broodstock, treatments, feed, and ASC certification status., provided on the ASC website.

How do I interpret this requirement?

• Traceability in the supply chain is essential for ensuringtransparency, 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.

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

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

• Completed ASC Stock Status Record.

Auditors should confirm:

• 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.

Useful Resources

N/A

1.5.3 – The UoC shall44An exemption applies to sites in the supply chain that hold valid ASC certification. These sites do not need to comply with Indicator 1.5.3. only stock ASC certifiable product if it can be demonstrated that all sites55An exemption applies to broodstock sites. in the supply chain conform with the requirements in Appendix 14. An exception applies for salmon sites that are supplied with product from other cage site(s), in which case all cage site(s) in the supply chain shall be ASC certified.

Indicator applicability: freshwater trout, flatfish, seabass, seabream, meagre and salmon

How do I interpret this requirement?

• 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.

  • The documentation should provide information to the extent necessary to ensure that the supplier sites conform with the requirements of Appendix 14 (14.1).

• Different applicability examples are provided below:

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

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

Auditors should confirm:

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

Useful Resources

N/A

2.1.1 The UoC shall conduct an Environmental Risk Assessment (ERA) per site, following the method outlined in Appendix 3 (3.3).

How do I interpret this requirement?

• The Environmental Risk Assessment (ERA) determines the risk level of environmental risks resulting from operational activities in the vicinity of the site. A default set of environmental risks are listed in Appendix 3.1.

• The outcome of the ERA will be used to determine compliance and impacts on Ecologically Important Habitats (Criterion 2.2) and Wildlife Interactions (Criterion 2.3).

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

• An ERA has been conducted, following the method outlined in Appendix 3.1, and records are available to demonstrate that actions are taken to reduce risks with risk level ‘medium’ or ‘high’.

Auditors should confirm:

• The UoC has presented the ERA, which was conducted in accordance with the method in Appendix 3.1.

Useful Resources

• European Food Safety Authority: Environmental Risk Assessment: Environmental risk assessment | EFSA.

2.1.2 The UoC shall ensure that the ERA (see Indicator 2.1.1) is conducted by a person with the necessary competencies, experience and training that is appropriate to the size and complexity of the site.

For larger, more complex sites, an independent person shall conduct the ERA. This person shall:

1. have an academic background in Biology, Ecology, Environmental Science, or an equivalent field of study; and

2. have a minimum of 5 years of experience in conducting ERA, including survey design, data collection, data analysis and interpretation.

In cases where legal requirements are defined, the UoC shall ensure that the person conducting the ERA complies with these requirements.

How do I interpret this requirement?

• 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:

  • Analyse environmental risks.

  • Conduct data analysis.

  • Record, review and authorise the release of results.

  • Contribute to or produce reports that can clearly and concisely follow the method outlined in Appendix 3.1.

  • Have undergone training, or have experience, relating to ERAs.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.2.1 The UoC shall66An exemption applies for the following species groups: tilapia, pangasius, bivalve and abalone ensure that the site is not located in Protected Areas (PA). An exception applies where conditional siting is allowed according to Appendix 4.

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• 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).

Useful Resources

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

2.2.2 The UoC shall ensure that the site has a low risk of negative impact on critical habitats, as determined through the ERA (see Indicator 2.1.1).

How do I interpret this requirement?

• 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.

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

• 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’.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.2.3 The UoC shall preserve any critical habitat identified within the site.

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

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

2.2.4 The UoC shall ensure that the site has a low risk of negative impact on sensitive habitats, as determined through the ERA (see Indicator 2.1.1).

How do I interpret this requirement?

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

  • The ERA will determine whether the risk of negative impacts on the identified sensitive habitats is minimal.

• Appendix 3.3 outlines the risk factors that shall be considered as a minimum when conducting the ERA.

  • Appendix 3.3 also outlines the types of sensitive habitats that shall be considered as a minimum.

  • Other types of sensitive habitats may be identified in the ERA.

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

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

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

Auditors should confirm:

• An ERA has been completed, which includes at a minimum the risk factors outlined in Appendix 3.3.

• The ERA determined whether sensitive habitats are located within the vicinity of the site.

  • If sensitive habitats were identified, the ERA determined whether the risk of negative impacts on the sensitive habitats is minimal.

Useful Resources

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

2.2.5 The UoC shall maintain any natural wildlife corridors within the site, as determined through the ERA (see Indicator 2.1.1).

Indicator applicability: land-based systems

How do I interpret this requirement?

• Maintaining wildlife corridors mitigates impacts on biodiversity and allows for wildlife movement across larger landscapes within their habitats or natural ranges.

  • Examples include ensuring corridors are maintained to allow the movement of wildlife to and from feeding or breeding sites either side of the site.

• The ERA shall determine whether any wildlife corridors are present within the site and whether the site has taken adequate measures to maintain them.

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

• The ERA demonstrates whether wildlife corridors are present within the site and whether the corridors are adequately maintained.

• Spatial data and maps over a relevant timescale can determine if wildlife corridors are maintained.

Auditors should confirm:

• Whether the ERA report has identified the presence of wildlife corridors within the site.

• If present, the ERA determines the site is maintaining the wildlife corridors.

• The UoC has presented maps or spatial data to demonstrate wildlife corridors have been maintained.

Useful Resources

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

2.2.6 The UoC shall maintain a riparian zone between the site and any freshwater body, with a minimum width of either 15m or as determined through the ERA (see Indicator 2.1.1), whichever is stricter.

Indicator applicability: land-based systems

How do I interpret this requirement?

• Riparian zones provide a buffer between natural waterbodies and adjacent terrestrial ecosystems.

  • A 15m buffer zone is the minimum width to provide habitats for wildlife, minimise erosion and run-off, improve water quality and stabilise the ecosystem around the water source.

• The ERA will determine the minimum width of the riparian zone which needs to be maintained to ensure the functioning of the zone.

  • The ERA should also assess the functioning of the riparian zone, for example species diversity.
• The UoC shall ensure the width of the riparian zone is at least 15m, or greater if the ERA determines the buffer zone needs to be wider.

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

• The ERA report demonstrates the required width of the riparian zone.

• The site ensures the riparian zone is maintained and is at least 15m wide. The buffer zone shall be wider if determined by the ERA.

  • Spatial data and maps over a relevant timescale can demonstrate the width of the riparian zone is maintained.

Auditors should confirm:

• The ERA report has assessed the suitable width and functioning of the riparian zone.

• The width of the riparian zone is at least 15m, or wider as determined by the ERA.

• Evidence has been presented, e.g. spatial data and maps, demonstrating the riparian zone is maintained at 15m or greater (as determined by the ERA).

Useful Resources

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

• United States Environmental Protection Agency (2005): Riparian Buffer Width, Vegetative Cover, and Nitrogen Removal Effectiveness: A Review of Current Science and Regulations: Riparian buffer width, vegetative cover, and nitrogen removal effectiveness: A review of current science and regulations

• Climate ADAPT (2023): Establishment and restoration of riparian buffers: Establishment and restoration of riparian buffers.

• National Institute of Water and Atmospheric Research (2005): Review of Riparian Buffer Zone Effectiveness: Review of Riparian Buffer Zone Effectiveness.

2.2.7 The UoC shall maintain a coastal barrier between the site and any marine or brackish waterbody, with a minimum width of either 100m or as determined through the ERA (see Indicator 2.1.1), whichever is stricter.

Indicator applicability: land-based systems

How do I interpret this requirement?

• Coastal barriers can be either artificial or natural and mitigate concerns relating to storm or flood risks. The ERA will assess the
  required width of the coastal barrier to mitigate these risks.

  • An additional benefit of coastal barriers is that they control environmental events directly linked to escapes and disease transfer.
  • Communities can also access marine resources through the maintenance of a coastal barrier.
• The UoC shall ensure the width of the coastal barrier is at least 100m, or greater if the ERA determines the coastal barrier needs to be wider.

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

• The ERA has determined the suitable width of the coastal barrier.

• The maintained coastal barrier has a minimum width of 100m or greater, as determined by the ERA.

• Spatial data and maps can provide evidence of the width of the coastal barrier and its maintenance.

Auditors should confirm:

• The ERA has assessed the width of the coastal barrier.

• The coastal barrier is 100m or greater, as determined by the ERA.

• Spatial data or maps are presented to demonstrate the width of the coastal barrier and that it is maintained.

Useful Resources

N/A

2.2.8 The UoC shall have successfully restored a minimum of 50% of natural wetland converted before May 1999.

Indicator applicability: land-based systems

2.2.9 The UoC shall not convert natural wetland after May 1999. An exception applies where conversion is needed for establishing and maintaining pumping stations, water pipes or canals, in which case the UoC shall successfully restore 100% of the converted area.

Indicator applicability: land-based and suspended systems

2.2.10 The UoC shall report to ASC the area of the restored wetland, according to ASC data submission procedures.

Indicator applicability: land-based and suspended systems

How do I interpret this requirement?

• Rehabilitation projects should be located within or adjacent to farming activities, to restore ecosystem function close to where it has originally been lost.

  • If this is not feasible, the UoC may contribute to regional rehabilitation activities.
  • Restoration activities should ensure habitats and biodiversity are equivalent to habitat and biodiversity lost through conversion.

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

• Spatial mapping of the converted and restored areas:

  • Time series maps showing changes in the cover of natural wetlands.

  • Polygons or measurements of the converted and restored areas showing the surface areas of conversion and rehabilitation.

  • This evidence shall be submitted to ASC in accordance with Indicator 2.2.10.
• The location of rehabilitation projects. If local rehabilitation efforts were not possible, evidence should be presented demonstrating why they were not possible.

Auditors should confirm:

• The appropriate area of natural wetland has been successfully rehabilitated.

• Polygons or measurement of the areas showing conversion and rehabilitation have been presented by the UoC.

Useful Resources

• Best Practice Guidelines for Mangrove Restoration developed by the Global Mangrove Alliance and the Blue Carbon Initiative: Best-Practice-Guidelines-for-Mangrove-Restoration_v4.pdf.
  • The guidelines lay out the steps for rehabilitation project design, setting goals and assessing feasibility, project implementation, monitoring, evaluation and adaptive management.
• Spatial mapping tools:

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

  • Clark Labs Coastal Habitat Mapping: Mangrove and Pond Aquaculture Conversion Coastal Habitat Mapping: Mangrove and Pond Aquaculture Conversion – Clark Labs.

  • Global Mangrove Watch country-level information on mangrove habitat extent and change: Global Mangrove Watch.

• Additional rehabilitation tools:
  • The Climate-Smart Mangrove Tool (CSMT) is designed to aid conservation practitioners in selecting appropriate “climate-smart” actions to reduce the current and future impacts of climate change on mangrove ecosystems: https://www.worldwildlife.or
    g/publications/the-climate-smart-mangrove-tool-excel-based-workbook.
• Where to restore mangrove habitats:

  • The Mangrove Restoration Potential Mapping Tool provides information on the ecosystem services provided in restoration of regions within a country https://maps.coastalresilience.org/mangrove-restoration/.

  • SFP Technical Paper: How coastal shrimp farming can support effective mangrove regeneration: FINAL – Shrimp Farming and Mangroves Technical Paper Dec2022.pdf – Google Drive.

  • To help the farmed shrimp industry more effectively identify and protect mangrove habitat, SFP and Longline Environment developed the Aquascape mangrove-shrimp pond mapping tool to show where shrimp farming regions and mangrove habitat overlap in India, Indonesia, Thailand, and Vietnam. Register to use the tool at: Mangrove mapping tool – Sustainable Fisheries Partnership.

2.2.11 The UoC shall77An exemption to Indicator 2.2.11 applies for situations where the total surface area of aquaculture within a waterbody is less than 10% of the total surface area of the waterbody. ensure that total bivalve culture in a waterbody does not result in phytoplankton depletion either by:

Indicator applicability: bivalve culture

1. demonstrating that the waterbody has a ratio of Clearance Time (CT) over Retention Time (RT) > 1, following the method outlined in Appendix 5. Where CT over RT is <1, demonstrate that the waterbody has a ratio of CT over Primary Production Time (PPT) > 3, following the method outlined in Appendix 5; or

2. conducting a modelling study that demonstrates that the carrying capacity of the waterbody is not exceeded.

How do I interpret this requirement?

• The ratio of Clearance Time (CT) and Retention Time (RT) demonstrate whether the carrying capacity of a waterbody for bivalve production has been exceeded.

• Primary Production Time (PPT) is calculated when cultured bivalves may negatively impact the carrying capacity of a waterbody.

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

• The method used to calculate CT, RT and PPT, in accordance with Appendix 5.

  • Maps demonstrating whether the site is in an easily definable waterbody. This will support the selection of the correct method in Appendix 5 (5.2) regarding estimating the zone of influence.

• Results demonstrating the ratio of CT over RT, or CT over PPT.

• A modelling study has been conducted to demonstrate the carrying capacity of the waterbody, if the method outlined in Appendix 5 has not been followed.

Auditors should confirm:

• Methods and results have been presented demonstrating the ratio of CT over RT, or CT and PPT depending on whether CT over RT > 1, in accordance with Indicator 2.11.

• A modelling study has been conducted to demonstrate the carrying capacity of the waterbody, if the method outlined in Appendix 5 has not been followed.

  • The modelling study shall demonstrate carrying capacity has not been exceeded.

Useful Resources

N/A

2.3.1 The UoC shall ensure the site has a low risk of Human-Wildlife Conflict within the site and in the area surrounding the site, as determined through the ERA (see Indicator 2.1.1).

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.3.2 The UoC shall not cause the mortality of any Threatened Species.

An exception applies for occasional incidents that do not affect the population status, and where a written statement from a registered veterinarian or the responsible authorities is available to confirm that:

1. injured animals are unlikely to recover; or

2. immediate human safety is threatened; or

3. legal requirements mandate emergency euthanasia.

2.3.3 The UoC shall not injure or cause mortality of mammals, elasmobranchs or reptiles (excluding vermin).

An exception applies for occasional incidents where:

1. injured animals are unlikely to recover; or

2. immediate human safety is threatened; or

3. legal requirements mandate emergency euthanasia.

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.3.4 The UoC shall investigate all wildlife mortality incidents to determine the root cause and shall implement appropriate corrective actions to prevent recurrence.

How do I interpret this requirement?

N/A

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

• 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.

Auditors should confirm:

• Investigations have taken place following each mortality event.

• Actions have been implemented to prevent recurrence of wildlife mortalities.

Useful Resources

N/A

2.3.5 The UoC shall only use aquatic
acoustic deterrence where scientific evidence suggests that it does not result in significant stress or injury to, or mortality of, the affected species or its population(s).

How do I interpret this requirement?

• Acoustic deterrence includes any device or method used in which acoustic (‘sound’/’noise’) is used to deter wildlife. This includes, but is not limited to, the use of acoustic deterrent devices (ADDs) and acoustic harassment devices (AHDs).

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

• Records of the use of any aquatic acoustic deterrence, which includes the frequency and duration and duration of the deterrence.

• If aquatic acoustic deterrence is used, scientific reports/publications are obtained which demonstrate that the deterrence does not result in significant stress, injuries to, or mortality of, the species impacted/targeted by the deterrence.

Auditors should confirm:

• Records are provided to demonstrate whether any aquatic acoustic deterrence has been used.

• If aquatic acoustic deterrence has been used, scientific reports/publications have been presented by the UoC to demonstrate that the deterrence does not result in significant stress, injuries to, or mortality of, the species impacted/targeted by the deterrence.

Useful Resources

N/A

2.3.6 The UoC shall only stock fish that is hatchery-raised.

Indicator applicability: all fish species

An exception applies where the UoC can demonstrate the following for Seriola/Cobia, in which case wild caught fish are permitted to be stocked:

1. the species is not listed as a Threatened Species; and

2. the originating fishery is certified to an ASC-recognised fisheries certification scheme88Refer to the ASC website for details of ASC-recognised fisheries certification schemes.; and

3. traceability back to the originating fishery is provided.

How do I interpret this requirement?

N/A

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

• Batch records or other documentations are maintained to demonstrate stocked fish are hatchery-raised.

• For Seriola/Cobia, where wild caught fingerlings are stocked, documentation demonstrating the species is not listed as a Threatened Species and records demonstrating the traceability of the fish.

  • The IUCN Red List can be used to check whether the species is listed as Threatened.

  • Documentation demonstrating the fish was sourced from an ASC-recognised fisheries certification scheme can facilitate traceability back to the fishery if chain of custody documentation has been maintained.
  • Traceability documentation should include the species, catch method and area in which the fish was caught.

Auditors should confirm:

• Batch records or other documentation are presented to demonstrate stocked fish are hatchery-raised.

• For Seriola/Cobia stocked from a wild fishery, adequate documentation is presented to demonstrate traceability back to the fishery and the certification of the originating fishery (to an ASC-recognised fisheries certification scheme).

Useful Resources

• IUCN: The IUCN Red List of Threatened Species: IUCN Red List of Threatened Species.

2.3.7 The UoC shall not use Threatened Species for wild broodstock.

How do I interpret this requirement?

N/A

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

• Documentation (e.g. batch records) demonstrating the wild broodstock species is not listed as a Threatened Species.

  • The IUCN Red List can be used to check whether the wild broodstock species is listed as Threatened.

  • Traceability documentation can be used to demonstrate the origin of the wild broodstock species. Traceability should be back to the source fishery.

Auditors should confirm:

• Evidence has been presented that wild broodstock is not a Threatened Species.

  • This may include verifying traceability documentation, which demonstrate traceability back to the source fishery.

Useful Resources

• IUCN: The IUCN Red List of Threatened Species: IUCN Red List of Threatened Species.

2.3.8 The UoC shall only stock larvae that is hatchery-raised

Indicator applicability: all crustacean species

An exception applies where the UoC can demonstrate the following for extensive crustacean production, in which case wild larvae are permitted to be stocked:

1. the larvae are collected passively; and

2. the production system is a non-fed, low-intensive pond production system; and

3. inflow of larvae occurs through natural tidal flow into the ponds.

How do I interpret this requirement?

N/A

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

• Hatchery permits and import licences which demonstrate the source of the larvae.

• If applicable, documentation that confirms crustacean production is extensive.

  • Documentation demonstrating points a-c under the exception in Indicator 2.3.8 are met if wild larvae are sourced and stocked for extensive crustacean production.

  • If the UoC is not vertically integrated, larvae suppliers should provide documentation to the UoC to verify how wild larvae are collected.

Auditors should confirm:

• Hatchery permits and import licences are presented which demonstrate wild larvae is hatchery-raised.

• If crustacean production is extensive and wild larvae are stocked, documents are presented demonstrating the exception in
  Indicator 2.3.8 is met.

Useful Resources

N/A

2.3.9 The UoC shall only source from hatcheries that have procedures to address genetic concerns specific to the species and geographical region where the seed will be stocked.

Indicator applicability: hatchery-raised bivalve seed

How do I interpret this requirement?

• The translocation of wild bivalve seed can pose risks to the genetic diversity of wild populations.
  • Genetic risks to wild populations therefore need to be assessed and procedures need to be implemented to address any genetic risks. These will be based on the species and geographic region where the seed will be stocked.
• Efforts should be made to address genetic concerns specific to the species and the geographic region where the seed will be stocked.
  • This may include preserving diversity of broodstock and seed by:

    • Using local broodstock,

    • Rotation of broodstock within spawning seasons and between years, and

    • Avoiding the use of hatchery-propagated stock in the hatchery as broodstock.

  • The scale of farming and the reproductive potential of crops (e.g. whether diploid or triploid, or considering age at harvest and age at first maturation) are well below the size and reproductive potential of the natural population within a reasonable ‘dispersal kernel’ from the site.
  • Sterile seed may be produced for stocking.

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

• An assessment of genetic risks presented from the translocation of wild bivalve seed, based on the species and geographic region where the seed will be stocked.

• The hatchery has procedures and measures in place to address any genetic concerns. For example:

  • Documentation of the use of local, wild broodstock to address genetic concerns specific to the species and the geographic region where the seed will be out-planted.

  • Documentation of the scale of farming activities and the reproductive potential of crops (e.g. whether diploid or triploid, or considering age at harvest and age at first maturation) are well below the size and reproductive potential of the natural population within a reasonable ‘dispersal kernel’ from the site.

  • Documentation on the production of sterile seed for out-planting from breeding programmes that intentionally alter wild stocks for improved culture traits, such as growth, yield, survival and morphology.

  • Provide documentation of cooperation with restoration efforts in the geographic region using out-planting that involves the intentional divergence from wild stocks to produce disease resistant wild populations.

Auditors should confirm:

• Evidence has been presented that genetic risks to wild populations have been assessed and the hatchery has implemented procedures and measures to address these risks. For example:

  • Verify that efforts have been made to address genetic concerns specific to the species and the geographic region where the seed will be out-planted.

  • Document the site’s use of the local, wild population for the broodstock with appropriate rotation of spawned individuals. If there is uncertainty about whether a broodstock is of local origin, record source locality.

  • Verify that the reproductive potential (e.g. whether diploid or triploid, or considering age at harvest and age at first maturation) of the hatchery produced seed is well below the size and reproductive potential of the natural population within a reasonable ‘dispersal kernel’ from the site.

  • Verify the existence of a breeding programme that produces altered sterile seed for out-planting.

  • Verify that the site’s breeding programme is in coordination with existing restoration efforts in the geographic region.

Useful Resources

N/A

2.3.10 The UoC shall99An exemption applies to wild caught larvae only use wild caught seed if:

Indicator applicability: all bivalve species

1. the species is not listed as a Threatened Species; and

2. the seed is harvested from a regulated source.

How do I interpret this requirement?

N/A

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

• Documentation (e.g. batch records) demonstrating that the species used for wild caught seed is not listed as a Threatened Species.

  • The IUCN Red List can be used to check whether the species used for wild caught seed is listed as Threatened.

  • Traceability documentation can be used to demonstrate the origin of the species used for wild caught seed.

  • Traceability should be back to the source and demonstrate it is regulated and not from an open-access, unregulated source.

Auditors should confirm:

• Evidence has been presented that the species used for wild caught seed is not a Threatened Species.

  • This may include verifying traceability documentation, demonstrating traceability back to the source.

  • The evidence demonstrates the source is well regulated and not from an open-access unregulated source.

Useful Resources

• IUCN: The IUCN Red List of Threatened Species: IUCN Red List of Threatened Species.

2.3.11 The UoC shall only use seed originating from native wild broodstock (not selectively bred animals).

Indicator applicability: all abalone farming in regions where the farmed species is Threatened

How do I interpret this requirement?

• Wild abalone populations can be impacted through selectively bred animals recruiting into, and breeding with, wild abalone populations.

• Potential genetic impacts to at-risk populations can be mitigated by means of minimising escapes from abalone sites and by farming with stock originating from the same genetic stock as the local wild populations surrounding the site.

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

• Documentation demonstrating the origin of seed and that it originates from native wild broodstock.

Auditors should confirm:

• Documentation has been presented demonstrating the origin of seed and that it originates from native wild broodstock.

Useful Resources

N/A

2.3.12 The UoC shall publicly disclose all wildlife mortalities per site within 30 days of each incident.

How do I interpret this requirement?

N/A

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

• Wildlife mortalities are disclosed and are easily and publicly available.

• Hardcopies of mortalities are available to stakeholders, if requested.

• Records are kept demonstrating when mortalities have been disclosed.

Auditors should confirm:

• Sampling results are easily and publicly available. If applicable, confirm that the site has made hard copies of test results easily available to stakeholders.

• Mortalities have been disclosed per site within 30 days of each incident.

Useful Resources

N/A

2.3.13 The UoC shall report to ASC on wildlife mortalities, according to ASC data submission procedures.

How do I interpret this requirement?

N/A

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

• Records of data submissions to ASC.

Auditors should confirm:

• Data on wildlife mortalities has been submitted to ASC and is accessible.

Useful Resources

N/A

2.4.1 The UoC shall not stock transgenic animals.

How do I interpret this requirement?

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

• 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.

  • In case of doubt regarding origin, submitting animals for DNA-testing could be considered.

Auditors should confirm:

• All stock is from non-transgenic origin.

Useful Resources

N/A

2.4.2 The UoC shall implement escape prevention measures that include the installation, inspection and maintenance of containment structures suitable for the species, life stages and environmental conditions under which the site is operating.

How do I interpret this requirement?

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

  • Installation of containment structure; these structures must be appropriate for:

    • The species; consider size and behaviour

    • Different life stages; consider that smaller animals require different mesh sizes compared to bigger animals

    • Environmental conditions; consider currents, tides, floodings, floating debris, natural predators that can damage the containment structure.

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

    • Signs of damage or weaknesses; consider especially moving elements of the construction for ‘wear and tear’ signs

    • Environmental conditions that impact the structure (e.g. erosion)

    • Species-specific behaviours (e.g. net-biting, burrowing)

  • Maintenance of containment structure:

  • Regular maintenance needs to be conducted so that containment structures are kept in, or restored to, a good state, or to prepare for known severe weather events (e.g. forecasted storms, flooding, etc.).

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

• 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).

Auditors should confirm:

• 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.

Useful Resources

• https://www.g
  ov.scot/publications/aquaculture-code-practice-containment-prevention
  -escape-fish-fish-farms-relation-marine-mammal-interactions/pages/1/

2.4.3 The UoC shall carry out a site-specific handling and containment risk assessment, approved by a member of management, following the method outlined in Appendix
3.

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• Presence of a documented risk assessment, which:

  • Is specific to the conditions of the site.

  • Covers all handling and containment risks.

• That the risk assessment identifies:

  • Risk factors and the associated risk levels.

  • Mitigation actions and records the implementation, including the desired outcome (i.e. reduction of risk level).

• That the risk assessment is approved (e.g. signed off) by management and shows evidence of periodic review to keep it relevant.

Useful Resources

N/A

2.4.4 The UoC shall ensure that any person involved in handling activities is trained on handling procedures to minimise escapes.

How do I interpret this requirement?

• Training and handling procedures includes:

  • An understanding of which staff are involved in animal handling (including external services providers that conduct activities at the site).

  • Coverage of relevant training content, e.g. correct handling process, correct use of equipment and emergency protocols.

  • Appropriate means of training delivery relevant to the site-specific conditions (e.g. considering whether a workshop is sufficient or whether ‘live training’ on-site is more appropriate).

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

• Training documents and records of staff attendance.

• Presence of relevant procedures/protocols.

Auditors should confirm:

• Training documents and records of staff attendance.

• Presence of relevant procedures/protocols.

• Interviews with staff.

Useful Resources

N/A

2.4.5 The UoC shall log all handling and containment incidents and near misses.

How do I interpret this requirement?

• This indicator requires the UoC to log (i.e. register) all handling and containment incidents, including near misses, in order to inform the risk assessment (see Indicator 2.4.3) and the training (2.4.4) on situations that could result, or have resulted, in registered escapes.

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

• A documented register of all handling and containment incidents and near misses.

Auditors should confirm:

• Presence of the register.

• Interviews with employees to confirm that employees are aware of the register and that it is being used.

Useful Resources

N/A

2.4.6 The UoC shall make efforts to address genetic concerns specific to the species and geographic region where hatchery-raised seed will be out-planted.

Indicator applicability: bivalve culture

How do I interpret this requirement?

• This Indicator requires the UoC to take efforts to mitigate genetic risks associated with releasing hatchery-raised bivalve seed into the environment.

  • The emphasis is on species-specific and region-specific genetic concerns, meaning the UoC must consider the local ecosystem and population genetics before out planting.

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

• Any of the following:

  • Documentation of the use of local, wild broodstock to address genetic concerns specific to species and the geographic region where the seed will be out-planted;

  • Documentation of the scale of farming activities and the reproductive potential of crops (e.g. whether diploid or triploid, or considering age at harvest and age at first maturation) are well below the size and reproductive potential of the natural population within a reasonable ‘dispersal kernel’ from the site;

  • Documentation of the production of sterile seed for out-planting from breeding programmes that intentionally alter wild stocks for improved culture traits, such as growth, yield, survival and morphology;

  • Documentation of cooperation with restoration efforts in the geographic region using out-planting that involves the intentional divergence from wild stocks to produce disease-resistant wild populations.

Auditors should confirm:

• In relationship to the items listed under ‘Evidence of implementation’:

  • Verify that the site uses local, wild population for the broodstock with appropriate rotation of spawned individuals;

  • Verify that the reproductive potential (e.g. whether diploid or triploid, or considering age at harvest and age at first maturation) of the hatchery produced seed is well below the size and reproductive potential of the natural population within a reasonable ‘dispersal kernel’ from the site;

  • Verify the existence of a breeding programme that produces altered sterile seed for out-planting;

  • Verify that the site’s breeding programme is in coordination with existing restoration efforts in the geographic region.

Useful Resources

N/A

2.4.7 The UoC shall report to ASC the escape data, according to ASC data submission procedures.

How do I interpret this requirement?

• This Indicator requires the UoC to report the relevant data to ASC, as per data submission procedure.

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

• Evidence that data has been submitted and received by ASC.

Auditors should confirm:

• Verify that UoC holds evidence that data has been submitted to ASC.

Useful Resources

N/A

Indicators 2.4.8 – 2.4.13: Additional impact prevention measures

2.4.8 The UoC shall not exceed a maximum number of known escapes per production cycle or year, whichever is stricter, of the following:

Indicator applicability: species with an EICAT Category MO

1. marine salmonids: 300 individuals

2. other fish species: 6%

If the maximum number of known escapes is exceeded more than once in a six-year period, the UoC shall, by the next working day:

3. submit a formal notification to the CAB for cancellation of certification; and

4. notify ASC of the exceedance of known escapes, according to ASC data submission procedures.

How do I interpret this requirement?

• Note: Indicator 2.4.8 only applies for species/regions that are classified as ‘Category Moderate (MO)’ in the EICAT Species Factsheet.
• This Indicator requires a strict limit on the number of known escapes allowed per production cycle or per year, whichever threshold is stricter.
  • ‘Known escapes’ refers to escape incidents that are either observed directly or detected through monitoring. It does not include unverified or speculative losses.
• Escape limits:

  • Marine salmonids (e.g. Atlantic salmon, trout): A hard limit of 300 individuals per production cycle. The formula for calculation can be found in Appendix 6.1.

  • Other fish species: A percentage-based limit of 6% of the total stocked population per production cycle or year (whichever is stricter). The formula for calculation can be found in Appendix 6.1.

• If the UoC exceeds the set limit, a formal notification to the CAB shall be submitted by the next working day.

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

• The UoC has a register of known escapes in which exceedance of the set limit is monitored.

Auditors should confirm:

• Records of known escapes are maintained.

• Escape limits remain below the set threshold and that calculations are made correctly.

Useful Resources

N/A

2.4.9 The UoC shall not exceed one Mass Escape Event in a six-year period, defined as:

Indicator applicability: species with an EICAT Category MO

1. marine salmonids: >5000 individuals

2. other fish species: >6% Total Escape Count

If a mass escape event occurs more than once in a six-year period, the UoC shall, by the next working day:

3. submit a formal notification to the CAB for cancellation of certification; and

4. notify ASC of the mass escape event, according to ASC data submission procedures.

How do I interpret this requirement?

• Note: Indicator 2.4.9 only applies for species/regions that are classified as ‘Category Moderate (MO)’ in the EICAT Species Factsheet.

• This Indicator requires a strict limit on mass escape events over a six-year period to ensure that large-scale fish escapes are rare and properly managed. It also requires certification cancellation if the limit is exceeded.

• An event counts as a ‘mass escape’ if the thresholds are exceeded, regardless of cause (e.g. storm damage, net failure, human error). The thresholds are:

  • For marine salmonids: more than 5,000 individuals escaping at once. The formula for calculation can be found in Appendix 6.1.

  • For other fish species: More than 6% of the stocked population escaping at once. The formula for calculation can be found in Appendix 6.1.

• The UoC is allowed only one mass escape event in a rolling six-year period. If a second mass escape event occurs within six years, the UoC must notify the CAB the next working day and request cancellation of certification.

• The UoC should have a system, or method, to detect and document mass escape events, including the identification of root cause(s) and determination of corrective action(s) to prevent re-occurrence.

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

• The UoC has a register of known escapes in which exceedance of the set limit is monitored.

Auditors should confirm:

• Records of mass escape events are maintained.

• Escape limits remain below the set threshold and that calculations are made correctly.

Useful Resources

N/A

2.4.10 The UoC shall implement appropriate mitigation measures according to the contextualisation of the EICAT category, following the method outlined in Appendix 6 (6.2).

Indicator applicability: fish species with an EICAT Category MO

How do I interpret this requirement?

• Note: Indicator 2.4.9 only applies for species/regions that are classified as ‘Category Moderate (MO)’ in the EICAT Species Factsheet.

• This Indicator requires that the UoC implements suitable actions to minimise the potential harm to biodiversity by a species, depending on its context as determined in Appendix 6 (following the decision-tree in this Appendix).

• For situations in which either the species, the production region or the culture system results in a low likelihood of contributing to biodiversity harm, the UoC is not required to implement actions.

• For situations in which either the species, the production region or the culture system contributes to biodiversity harm, the UoC is required to implement actions that reduce this risk. This could mean, e.g.:

  • Installation of net pens as per technical standards in order to further reduce the likelihood of escapes occurring.

  • Installation of additional screens or barriers in pond/tank culture to further reduce the likelihood of escapes occurring.

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

• Documents demonstrating to what extent the decision tree in Appendix 6 is applicable, and evidence of a reduction in the harm category (where relevant).

• In cases where a reduction in the harm category is not possible, the UoC should demonstrate which additional measures have been taken, including the intended outcome of these measures.

Auditors should confirm:

• Confirmation of the decision-tree results in Appendix 6.
  • In cases where a reduction in the harm category is not possible, confirmation that additional measures have been taken, including the intended outcome of these measures.

Useful Resources

N/A

2.4.11 The UoC shall calculate the number of known escapes per production cycle or year, whichever is stricter, following the method outlined in Appendix 6 (6.1).

Indicator applicability: species with an EICAT Category MR/MV

The UoC shall not exceed a maximum number of known escapes per production cycle or year, whichever is stricter, of the following:

1. marine salmonids: 300 individuals

2. other fish species: 6%

If the maximum number of known escapes is exceeded, the UoC shall, by the next working day:

3. submit a formal notification to the CAB for cancellation of certification; and

4. notify ASC of the exceedance of known escapes, according to ASC data submission procedures.

How do I interpret this requirement?

• Note: Indicator 2.4.11 only applies for species/regions that are classified as ‘Category Major/Massive (MR/MV)’ in the EICAT Species Factsheet.

• This Indicator requires a strict limit on the number of known escapes allowed per production cycle or per year, whichever threshold is stricter. ‘Known escapes’ refers to escape incidents that are either observed directly or detected through monitoring. It does not include unverified or speculative losses.

• Escape limits:

  • Marine salmonids (e.g., Atlantic salmon, trout): A hard limit of 300 individuals per production cycle. The formula for calculation can be found in Appendix 6 (6.1).

  • Other fish species: A percentage-based limit of 6% of the total stocked population per production cycle or year (whichever is stricter). The formula for calculation can be found in Appendix 6 (6.1).

• If the UoC exceeds the set limit, a formal notification to the CAB shall be submitted by the next working day.

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

• The UoC has a register of known escapes in which exceedance of the set limit is monitored.

Auditors should confirm:

• Records of known escapes are maintained.

• Escape limits are to remain below the set threshold and that calculations are made correctly.

Useful Resources

N/A

2.4.12 The UoC shall not have any mass escape events. If a mass escape event occurs, the UoC shall, by the next working day:

Indicator applicability: fish species with an EICAT Category MR/MV

1. submit a formal notification to the CAB for cancellation of certification; and

2. notify ASC of the mass escape event, according to ASC data submission procedures.

How do I interpret this requirement?

• Note: Indicator 2.4.12 only applies for species/regions that are classified as ‘Category Major/Massive (MR/MV)’ in the EICAT Species Factsheet.

• This indicator requires a zero limit on mass escape. It also requires certification cancellation if the limit is exceeded.

• An event counts as a ‘mass escape’ if the thresholds are exceeded, regardless of cause (e.g. storm damage, net failure, human error). The thresholds are:

  • For marine salmonids: more than 5,000 individuals escaping at once. The formula for calculation can be found in Appendix 6 (6.1).

  • For other fish species: More than 6% of the stocked population escaping at once. The formula for calculation can be found in Appendix 6 (6.1).

• If a mass escape event occurs, the UoC must notify the CAB the next working day and request cancellation of certification.

• The UoC should have a system, or method, to detect and document mass escape events, including the identification of root cause(s) and determination of corrective action(s) to prevent re-occurrence.

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

• The UoC has a register of known escapes in which exceedance of the set limit is monitored.

Auditors should confirm:

• Records of mass escape events are maintained.

• Escape limits remain below the set threshold and that calculations are made correctly.

Useful Resources

N/A

2.4.13 The UoC shall implement appropriate mitigation measures according to the contextualisation of the EICAT category, following the method outlined in Appendix 6 (6.2).

Indicator applicability: fish species with an EICAT Category MR/MV

How do I interpret this requirement?

• Note: Indicator 2.4.9 only applies for species/regions that are classified as ‘Category Major/Massive (MR/MV)’ in the EICAT Species Factsheet.

• This Indicator requires that the UoC implements suitable actions to minimise the potential harm to biodiversity by a species, depending on its context as determined in Appendix 6 (following the decision-tree in this Appendix).

• For situations in which either the species, the production region or the culture system results in a low likelihood of contributing to biodiversity harm, the UoC is not required to implement actions.

• For situations in which either the species, the production region or the culture system contributes to biodiversity harm, the UoC is required to implement actions that reduce this risk. This could mean, e.g.:

  • Installation of net pens as per technical standards in order to further reduce the likelihood of escapes occurring.

  • Installation of additional screens or barriers in pond/tank culture to further reduce the likelihood of escapes occurring.

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

• Documents demonstrating to what extent the decision tree in Appendix 6 is applicable, and evidence of a reduction in the harm category (where relevant).

• In cases where a reduction in the harm category is not possible, the UoC should demonstrate which additional measures have been taken, including the intended outcome of these measures.

Auditors should confirm:

• The outcome of the decision-tree results in Appendix 6.

• In cases where a reduction in the harm category is not possible, confirmation that additional measures have been taken, including the intended outcome of these measures.

Useful Resources

N/A

Indicators 2.4.14 – 2.4.15: Additional escape prevention measures

2.4.14 The UoC shall count fish with a minimum of 98% accuracy.

Indicator applicability: fish species with an EICAT Category MO or MR/MV

How do I interpret this requirement?

• This Indicator requires the UoC to ensure that fish counting procedures achieve a minimum accuracy of 98%, meaning that the error margin must not exceed 2% and applies to both manual and automated counting methods.

• The total number of fish at key stages of production (e.g. stocking and harvesting) needs to be counted.

• The actual count should be within 2% of the true number (e.g. if 100,000 fish are stocked, the count must be between 98,000 and 102,000).

• Acceptable counting methods include e.g.:

  • Automated systems: optical counters, AI-based image recognition or volumetric counting.

  • Manual counting: hand counting, sample-based extrapolation or visual verification.

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

• The UoC shall demonstrate that fish are counted at key stages of production (e.g. stocking and harvesting) using a method that achieves 98% accuracy.
  • If automated systems are used, ensure they are regularly calibrated.
• Documentation of counting procedures, accuracy checks and error rates.

Auditors should confirm:

• Results of fish counts at key stages of production have been presented.

• That calibration of the counting method is conducted.

• Documents are maintained to record counting procedures, accuracy checks and error rates.

Useful Resources

N/A

2.4.15 The UoC shall use all-male stock.

Indicator applicability: tilapia with an EICAT Category MO or MR/MV

How do I interpret this requirement?

• This Indicator requires that the UoC only stocks tilapia that is ‘all-male’ if the EICAT Category is set at Moderate (MO), Major (MR) or Massive (MV).

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

• Documents demonstrating that the UoC is aware of the EICAT
  Category.

• If the EICAT Category is set at Moderate (MO), Major (MR) or Massive (MV) documents demonstrate that the stocked tilapia is ‘all-male’.

Auditors should confirm:

• The correct EICAT categorisation is applied.

• If the EICAT Category is set at Moderate (MO), Major (MR) or Massive (MV), documents have been presented to demonstrate all stocked tilapia are ‘all-male’.

Useful Resources

N/A

Additional requirements for UoCs stocking Salmon Smolts produced in open cages culture operating in freshwater (e.g. lochs,
lakes, reservoirs)

2.4.16 The UoC shall only stock smolts produced in cage culture if the supplier operates in a region where native salmonids of the same species are present.

How do I interpret this requirement?

• This Indicator requires that smolts produced in cage culture are only sourced from suppliers operating in regions where native populations of the same species exist to prevent the potential competition with, or displacement of, native species in regions without natural salmonid populations.

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

• Demonstrate that the supplier of smolts operates in a region where native salmonids of the same species are present.

Auditors should confirm:

• Verify that the supplier of smolts operates in a region where native salmonids of the same species are present.

Useful Resources

N/A

2.4.17 The UoC shall communicate each escape incident to the local fishery trust(s).

How do I interpret this requirement?

• This indicator requires the UoC to notify local fishery trusts whenever an escape incident occurs to ensure transparency, facilitate environmental monitoring and support mitigation efforts.

• For each escape incident, the UoC must report key details such as:

  • Date and time of the escape.

  • Estimated number of escaped fish.

  • Species involved.

• The UoC should identify the relevant local fishery trust(s) and establish clear communication channels. Fishery trusts are typically regional organisations responsible for managing wild fish populations and aquatic ecosystems. They may include government agencies, conservation groups or local fisheries management bodies.

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

• In case of escapes, the UoC shall maintain records of communications with fishery trusts (emails, reports or acknowledgments).

Auditors should confirm:

• Verify that, in case of escapes, the UoC has communicated each escape incident to the fishery trusts.

Useful Resources

N/A

2.4.18 The UoC shall collaborate with fishery trust(s) in conducting native salmonid monitoring programme(s) in the waterbody where it operates.

How do I interpret this requirement?

• This Indicator requires the UoC to collaborate with local fishery trusts in conducting native salmonid monitoring programmes within the waterbody where it operates.

  • The purpose is to track the status of native salmonid populations and assess potential impacts from aquaculture activities. ‘Collaborate’ would imply involvement e.g. beyond providing funding or passive support.

• Collaboration may include:

  • Sharing data on site operations and potential interactions with native salmonids.

  • Assisting in monitoring efforts (e.g. providing access to sites, participating in surveys).

  • Supporting scientific research or environmental assessments.

• The monitoring programme should address as minimum:

  • Tracking population health, abundance and migration patterns of wild salmonids.

  • Assessing genetic integrity (to detect any impact from escaped farmed fish).

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

• The UoC maintains records (e.g. agreements, partnerships, etc.) of collaboration with fishery trust(s).

Auditors should confirm:

• Records have been presented to demonstrate collaboration with fishery trust(s).

Useful Resources

N/A

2.4.19 The UoC shall conduct, in collaboration with the local fishery trust(s), a scientific baseline study to determine the genetic composition of the contemporary native and farmed salmonid population(s) in the waterbody where it operates. The baseline study shall:

1. use credible methodologies and analysis and undergo peer review; and

2. include known historical farmed and native salmonid genetic profiles; and

3. determine if changes in the genetic composition of the contemporary native salmonid population(s) have occurred; and

4. if changes in the genetic composition of the contemporary native salmonid population(s) are detected, seek to determine if these have occurred through introgression of farmed salmon or through other mechanisms; and

5. be updated every three years.

How do I interpret this requirement?

• This Indicator requires the UoC to conduct a collaborative scientific baseline study on the genetic composition of both native and farmed salmonid populations in the waterbody where it operates.

  • The goal is to assess potential genetic changes in wild populations, particularly from interbreeding (introgression) with farmed salmon, and ensure ongoing monitoring.

• The study should establish a genetic baseline for comparison over time and should follow rigorous scientific methods and undergo peer review for credibility.

• The study should use established genetic analysis techniques (e.g. DNA sequencing, microsatellite markers, SNP analysis).

• The study should, if available, include known historical genetic profiles of both native and farmed salmonid populations in the waterbody.

• The study should determine if genetic changes have occurred in native populations and identify if this is the result from introgression from farmed fish or other evolutionary pressures.

• The study must be updated every three years.

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

• The UoC maintains records of the conducted study or demonstrates
  that the study is under development.

Auditors should confirm:

• Verify that the study has been concluded and has been conducted according to the requirements or is under development.

Useful Resources

N/A

2.4.20 The UoC shall publicly disclose the scientific baseline study (see Indicator 2.4.19).

No additional guidance is provided for this Indicator.

2.4.21 The UoC shall time fallowing periods to occur outside the out-migration period of native salmonids.

How do I interpret this requirement?

• This indicator requires the UoC to schedule fallowing periods outside the out-migration period of native salmonids.

• The UoC should

  • Identify the local out-migration period of native salmonids in its operating region.

  • Schedule fallowing periods so that no fish are present in cages during this time.

  • Work with scientists, local fishery trusts, and regulatory bodies to align fallowing timing with migration patterns.

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

• The out-migration period of native salmonids has been determined.

• Documents demonstrating fallowing periods have been scheduled outside the out-migration period.

Auditors should confirm:

• Fallowing periods occur outside the out-migration period of native salmonids.

Useful Resources

N/A

Benthic impact – Cages and Suspended Systems

2.5.1 The UoC shall1010An exemption applies to sites situated in areas classified as having a ‘hard bottom’. Evidence is required to support the classification ‘hard bottom’. determine benthic status, following the method outlined in Appendix 7 (7.2.1, 7.3.1, 7.4.1, 7.7).

Indicator applicability: cage culture and suspended marine mollusc systems

2.5.2 The UoC shall demonstrate an ’Acceptable‘ benthic status1111An exemption applies to cage sites situated in lakes and reservoirs, where determination of benthic status is required (Indicator 2.5.1) but demonstration that the status is ‘Acceptable’ is not required for the first three years of the ASC Farm Standard being effective., following the method outlined in Appendix 7 (7.2.2, 7.3.2, 7.4.2).

Indicator applicability: cage culture and suspended marine mollusc systems

2.5.3 The UoC shall ensure that the person conducting sediment sampling and analysis (see Indicator 2.5.1) is independent and has the necessary competencies, experience and training. In cases where regulatory requirements are defined, the UoC shall ensure that the person conducting the sampling and analysis complies with these requirements.

Indicator applicability: cage culture and suspended marine mollusc systems

How do I interpret this requirement?

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

  • Sediment sampling zones and sampling locations across transects.

  • Benthic quality categories and thresholds for defining those categories and the benthic status.

Sampling approach

• The method uses a three-level sampling approach:

  • The number of transects and sampling locations, as well as the complexity of analysis, may increase based on Level 1 or Level 2 monitoring results:

    • Level 1 requires sampling along one transect in the direction of the predominant current. The samples are to be analysed for redox potential and total free sulphide.

      • Direction of the predominant current is the compass direction in which the water flows the majority of the time.

    • Level 2 requires sampling along three additional transects. The samples are to be analysed for redox potential and total free sulphide.

    • Level 3 requires sampling as per Level 2 (at a minimum, on the two transects in the direction of the predominant current). The samples are to be analysed for three (of the 14) biotic indicators selected from Table 2 of Appendix 7 (7.1).

      • Sites should select biotic indicators that are more appropriate based on their location or based on regulatory requirements.

        • In Scotland, sites should select AZTI’s Marine Biotic Index (AMBI) as one of the biotic indicators since it is a component of the Infaunal Quality Index (IQI) required by the regulation in that country.

  • Sites can choose to commence monitoring at any of the three levels.

    • Previous benthic impact results can provide an indication of the level at which monitoring should commence.

  • The same sediment samples collected for Level 1 or Level 2 sampling can be used for the analysis required by Level 3 sampling.

    • Sites are not required to collect new sediment samples.

  • Transects:

    • In cases where a transect overlaps with another site, the direction of the overlapping transect should be adjusted.

    • The same applies to any transect/sampling station overlapping with land.

    • Transect directions should also be adjusted to avoid sampling in areas where water depth changes rapidly along the transect.

    • In all cases, each transect should be as close to 90 degrees from each other as possible.

    • In cases where multiple cages are located in close proximity, transects should be located at the edge of the last cage site.

  • Given the low complexity associated with Level 1 and Level 2 sampling and analysis, it is advisable for sites to conduct monitoring not only at the required timings by the indicator but also prior to those timings

    • The results can indicate the need for Level 3 sampling at the timings required by the indicator, thereby assisting in monitoring planning.

Ecological Quality Status (EQS) categories

• Ecological Quality Status (EQS) categories are used to determine the benthic status (see more details on the categories in the Useful Resources section).

Compliance Framework

• A numerical scoring method that combines all indicator data collected from each sampling zone is used to determine the EQS Category and benthic status:

  • The method requires calculating the mean value for each indicator in each sampling zone to determine the Indicator EQS Score for that zone.

  • Next, an overall Zone EQS Score is calculated by combining the Indicator EQS Scores.

  • The overall Zone EQS Score is used to determine the final EQS Category for each sampling zone and the ‘acceptable’ benthic status.

    • In the case of cages, the EQS Category of the Reference Zone will determine the EQS Categories for ‘acceptable’ benthic status of the sampling zones.

Sampling Timing

• Sampling is required to be conducted during the period when the benthic impact is expected to be highest, i.e. at peak impact, and uses proxies for determining peak impact:

  • Peak biomass (cage culture and suspended marine mollusc systems).

  • Maximum annual bottom water temperature (cage culture and suspended marine mollusc systems).

  • Peak feeding (cage culture only).

    • By considering these proxies, cage culture sites shall (see Appendix 7 (7.2.1 and 7.3.1)):

      • Provide the CAB with information on when the highest impact on the benthos is predicted to occur.

      • Determine the timing sampling that applies.

        • For cage sites with multiple peaks in feeding/biomass occurring in any year and for suspended marine mollusc systems, the requirements allow for reducing the sampling frequency as long as there have been no significant changes to farming practices. Examples of significant changes to farming practices are:

          • Modification of the disposition of cages/long lines.

          • Addition of cages/long lines.

          • Increase of biomass.

          • Change in species produced.

  • An independent person is a person who is not an employee of the ASC Certificate Holder.

  • To demonstrate competence, the person conducting sediment sampling and analysis should be able to:

    • Perform requested sampling and/or analysis.

    • Operate equipment

    • Develop, verify and validate methods.

    • Use suitable reference standards.

    • Analyse sampling and calibration results, including statements of conformity and interpretations.

    • Record, review and authorise the release of results.

    • Contribute to, or produce, reports that can clearly and concisely explain how the results are able to meet or otherwise not meet the requirement.

    • Perform internal audits on the sampling, analysis and results

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

• Production overview information:

  • Biomass (projected and current).

  • Feed delivered (projected and current).

  • Harvest (biomass, time of harvesting).

• Bottom water temperature data.

• Visual imagery confirming hard bottom.

• Records:

  • Sampling activity, including:

    • Timing and person conducting sampling.

    • GPS sampling locations.

    • Competence, experience and training of the person conducting sampling and analysis.

    • Sampling analysis results.

Auditors should confirm:

• 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.

Useful Resources

The benthic monitoring method for cage culture and suspended marine mollusc systems uses five Ecological Quality Status (EQS) categories to define abiotic and biotic qualities based on the seabed macrofaunal communities. The EQS categories are outlined in Table 1 below.

Table 1. Descriptions of benthic macrofauna assemblages for each of the five Ecological Quality Status (EQS) categories of the benthic monitoring method for cage culture and suspended marine mollusc systems:

EQS Category	Description
High	No or very minor disturbance: Species abundance, richness and diversity is high and sensitive taxa dominate. Opportunistic taxa are absent or of negligible abundance. Geochemical quality elements indicate aerobic conditions with low free sulphide toxicity.
Good	Slight disturbance: The level of diversity and abundance of invertebrate taxa is slightly reduced. Most of the sensitive taxa are present but slightly reduced. Opportunistic taxa are present but negligible. Geochemical quality elements indicate aerobic sediment conditions with a slight increase in free sulphide levels.
Moderate	Moderate disturbance: The level of diversity and abundance of invertebrate taxa is moderately reduced. Sensitive taxa have negligible abundance or are absent. Tolerant and first-order opportunistic taxa co-dominate in abundance. Geochemical quality elements indicate a moderate increase in anaerobic conditions with free sulphide levels known to be lethal to sensitive and indifferent taxa.
Poor	Major disturbance: Evidence of major alterations to the values of the biological quality elements. Diversity is greatly reduced with sensitive and indifferent taxa showing negligible abundance or are absent. Tolerant taxa are sub-dominant to first-order opportunistic taxa. Geochemical quality elements indicate a major increase in anaerobic conditions and sulphide concentrations lethal to most taxa.
Bad	Severe disturbance: Evidence of severe alterations to the values of the biological quality elements and in which large portions of the relevant biological communities normally associated with undisturbed conditions are absent. First-order opportunistic taxa dominate but are greatly reduced in abundance. Geochemical quality elements indicate a severe increase in sulphide concentrations that are lethal to all taxa.

2.5.4 The UoC shall demonstrate that the benthic status does not deteriorate downstream from the site’s effluent point, following the method outlined in Appendix 7 (7.5).

Indicator applicability: freshwater systems discharging into rivers

2.5.5

Indicator applicability: freshwater systems discharging into rivers

The UoC shall ensure that:

• the person conducting sediment sampling (see Indicator 2.5.3) has the necessary competencies, experience and training; and 
• the laboratory conducting the analysis of the samples is accredited and has approved the sampling methodology.

In cases where regulatory requirements are defined, the UoC shall ensure that the person conducting the sampling and/or the laboratory conducting the analysis complies with these requirements.

How do I interpret this requirement?

• The benthic monitoring method for freshwater systems discharging into rivers:
  • Uses sediment sampling upstream and downstream from the site outflow point to:

    • Determine the presence, composition, abundance and diversity of invertebrate fauna; and

    • Categorise the benthic status upstream and downstream as a measure of assessing the aquatic ecosystem health.

Sampling Timing

• 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.

Location

• 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.

Gear

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

Sampling analysis

• ISO/IEC 17025 is an example of laboratory accreditation.

• For more guidance, see the section Useful Resources below.

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

• Records:
• Sampling activity, including:

• Scope of the sampling

• Timing and frequency of the sampling and the person conducting
  sampling.

• GPS sampling locations.

• Classification system.

• Analysis results.

  • Competence, experience and training of the person conducting
    sampling and analysis.

  • Accreditation of the laboratory conducting the analysis of the
    samples.

Auditors should confirm:

• 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).

Useful Resources

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

2.5.6 The UoC shall report to ASC the benthic status, according to ASC data submission procedures.

Indicator applicability: cage culture, suspended marine mollusc systems

No additional guidance is provided for this Indicator.

Waterbody Classification and Management

2.6.1 The UoC shall adhere to species-specific limits on Total Nitrogen (TN) and Total Phosphorus (TP) release, according to Appendix 2(2.1).

Indicator scope: fed systems

2.6.2 (Reporting) The UoC shall annually report to ASC TN and TP release (Indicator 2.6.1), according to ASC data submission procedure.

Indicator scope: fed systems

How do I interpret this requirement?

• 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):

  • Equipment is required for Formula 2 to measure TN and TP concentration in the influent and effluent water and the volume of the effluent water.

  • Equipment is required for Formula 3 to measure TN and TP concentration in the influent and effluent water.

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

• 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).

Auditors should confirm:

• 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.

  • TN and TP have been determined and reported where species-specific limits are not available.

• 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).

Useful Resources

N/A

2.6.3 The UoC shall ensure that feed used contains <1% fines, following the method outlined in Appendix 8 (8.3).

Indicator applicability: cage-fed systems with feed of a diameter ≥3mm

How do I interpret this requirement?

• 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.

  • The UoC should demonstrate that deterioration in feed does not take place during the processes outlined above.

  • The UoC should report the schedule and location of testing of feed if it is not conducted on-site.

  • Rationale for not testing on site should also be reported.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.6.4 The UoC shall ensure that cages are sited under at least one of the following conditions:

Indicator scope: cages

• In water that is at least twice the cage depth; or,
• ≥10m above the bottom of the waterbody; or,
• During periods at >75% peak biomass, the velocity of the current below the cages is >0.1 m/s, measured according to Appendix 8 (8.4)1212An exemption applies to sites situated in areas classified as having a “hard bottom”. Evidence is required to support the classification “hard bottom”..

How do I interpret this requirement?

• 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.

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

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

Auditors should confirm:

• 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.

Useful Resources

• 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.

2.6.5 The UoC shall ensure that the Receiving Waterbody (RW) has been classified per site as Type A, B or C, following the method outlined in Appendix 8 (8.5).

How do I interpret this requirement?

• The UoC should initially define the boundaries of the Receiving Waterbody (RW) based on hydrological characteristics, which determines its sensitivity to nutrient enrichment.

  • Hydrodynamically isolated embayments (HIEs) should be treated as separate waterbodies during the classification process.

• Marine waterbodies include:

  • Off-shore and inshore coastal systems.

  • More enclosed waterbodies susceptible to seawater intrusion through tidal exchange or storm surges.

• Exposed near-shore waterbodies (i.e. not in a bay or channelised system) and offshore waterbodies will be classified as Type C.

• Once the boundaries of the RW are defined, HRT should be calculated unless the RW is an exposed near-shore or offshore waterbody.
  • The area and average depth of the waterbody need to be determined.
  • The cross-sectional area of the waterbody outflow or channel is required to calculate flow rate.
    • A transect should be determined from one side of the outflow/channel to the other side.
    • The length (in metres) of the transect is multiplied by the average depth of the transect to determine the cross-sectional area.
    • The cross-sectional area in then multiplied by the flow velocity (V). The result of this calculation is the flow rate (Q).
  • If a marine waterbody has HRT ≥5 days, it is a Type A, if it is ≤ 5 days, it is Type C.
• Determining flow rate and levels of Total Suspended Solids (TSS) will distinguish between Type B and C freshwater bodies.
• Flow rate can be obtained from regulatory bodies. Low flow then needs to be calculated by plotting the cumulative distribution of the data and calculating the 25^th percentile of the cumulative distribution.
  • This can be calculated in Microsoft Excel using the cumulative distribution function. The 25^th percentile (or quartile) can then be calculated.
• Waterbody types designated under national legislation should be used only if the following are met:
  • The classification includes area-based water quality monitoring.
  • Targets are used to determine good ecological status. An example is the Water Framework Directive.

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

• A map of the Receiving Waterbody, which outlines:

  • The area and average depth of the waterbody; and,

  • The location where flow rate (Q) was determined; or,
  • That the site is in a RW which is an exposed near-shore or off-shore marine RW (Type C only).

• The waterbody classification, which includes outputs from HRT, flow rate and TSS calculations.

  • The methods used to measure flow rate and TSS, in accordance with Appendix 8 (8.5 and 8.12).

  • If applicable, evidence that demonstrates alternative methodologies to calculate TSS or flow rate are equivalent to the ones in Appendix 8 (8.5).

Auditors should confirm:

• A map has been presented by the UoC which outlines the RW, and which supports the classification of the RW.

• The results of the HRT calculation and flow rate/TSS measurements conducted by the UoC.

  • These results will support the RW classification determined by the UoC.

• Evidence presented by the UoC, demonstrating the methods used to measure flow rate and TSS, in accordance with Appendix 8 (8.5 and 8.12).

Useful Resources

Steps to determine whether the RW is a HIE are as follows:

1. If the site is in a waterbody that has been identified as a HIE by a regulatory body, this will form the boundaries of the RW.

2. Review the characteristics of the RW and determine if at least one of the following is identified:

   • The RW has poor connectivity to deep offshore waters, and/or;

   • The RW is sheltered from energetic conditions e.g., inflows, currents, exposure to onshore or monsoonal winds, and/or;

   • The hypolimnion is periodically or permanently poorly flushed.

Where the RW shares these characteristics, it is possible to demonstrate the RW is not a HIE. The steps to demonstrate that the RW is not a HIE are as follows:

1. Identify the narrowest point in the embayment opening (red line in Figure 1).

2. Establish two transects of length, which start at the narrowest point and extend in and out of the embayment (red dashed line in Figure 1).

3. Collect water samples at 0.5m depth from an equal number of equally spaces sites in each transect.

4. Analyse water samples for concentrations of chloride, conductivity, salinity, TN or TP. Analytical methods for TN and TP can be found in Appendix 8 (8.12).

5. Plot the concentrations of the parameter analysed in step 4 against their position on the transects.

6. Based on the results from step 5, determine whether there is a statistically significant increasing or decreasing trend in concentrations moving from the furthest offshore to the most enclosed site.

7. An embayment is hydrologically isolated when a statistically significant increasing or decreasing trend in concentrations has been determined.

Figure 1. Tracer sampling points along a transect for HIE determination.

• If measurements of HRT or flow rates are not available, publicly accessible global databases can be used to obtain annual outflow estimates. Data sources include:

  • HydroAtlas, accessed November 22, 2023: https://www.hydrosheds.org/hydroatlas

  • G-RUN: Global Runoff Reconstruction, accessed November 2023: https://doi.org/10.6084/m9.figshare.9228176

• Google Earth Pro can be used to estimate the area and average depth of a waterbody to help calculate the HRT, accessed May 2024: Earth Versions – Google Earth and Measure distance & elevation – Google Earth Help

• Examples of credible secondary sources for flow rates include government flow monitoring and modelling, as well as publicly available databases, including:

  • WWF Risk Filter Suite, accessed November 22, 2023: https://riskfilter.org/

  • Water Risk Atlas, accessed November 22, 2023: https://www.wri.org/aqueduct

• Guides on how to calculate cumulative distribution (NORMDIST function) and the 25^th percentile/quartile (QUARTILE function) for the flow rate data from secondary sources, using Microsoft Excel:

  • NORMDIST function, accessed November 27, 2024: NORMDIST function – Microsoft Support

  • QUARTILE function, accessed November 27, 2024: QUARTILE function – Microsoft Support

2.6.6 The UoC shall define the Waterbody Unit of Management (WUM), following the method outlined in Appendix 8 (8.6).

An exception applies where a WUM is already defined, in which case the UoC shall provide evidence of the defined WUM.

How do I interpret this requirement?

• The following characteristics should be used to define the Waterbody Unit of Management (WUM):

  • The WUM reflects a logical geographic scope, for example, a lake and its catchment area.

  • The boundaries of the waterbody reflect the ability to realistically manage eutrophication risk within it.

  • Boundary setting should consider hydro-morphology, bathymetry, water movement and stratification characteristics.

  • Areas with high risk of adverse impacts due to cumulative effects, for example HIEs in larger waterbodies, should be a separate WUM.

  • Areas established for water quality monitoring at a national or regional level.

  • The Water Quality Advisory Committee (WQAC) can resolve issues with defining the WUM where the WUM boundaries are not clear.

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

• A map of the WUM which includes the components outlined in Appendix 8 (8.6).

  • The map should be updated on an annual basis where required.

• The results of measurements to confirm if the WUM is a HIE (if applicable).

Auditors should confirm:

• A map of the WUM has been developed and presented by the UoC, according to the method outlined in Appendix 8 (8.6).

Useful Resources

N/A

2.6.7 The UoC shall ensure that the person conducting water quality monitoring has the necessary competencies, experience and training.

The UoC shall ensure that the person defining the WUM has the necessary competencies. In cases where regulatory requirements are defined, the UoC shall ensure that the person defining the WUM complies with these requirements.

How do I interpret this requirement?

• To demonstrate competence, personnel responsible for conducting water quality analysis and defining the WUM should be able to:

  • Perform the required sampling and/or analysis.

  • Operate sampling/analytical equipment.

  • Develop, change, verify and validate methods.

  • Use suitable reference standards.

  • Analyse sampling and calibration results, including statements of conformity and interpretations.

  • Record, review and authorise the release of results.

  • Contribute to or produce reports that can clearly and concisely explain whether the results meet the requirements.

  • Have completed relevant training modules.

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

• The personnel responsible for conducting water quality analysis and defining the WUM have competencies to do so, for example a suitable level of education and/or experience.

  • Where applicable, the personnel meet national requirements/qualifications for the spatial definition and/or management of waterbodies.

• Relevant training modules have been completed by the personnel responsible for conducting water quality analysis and defining the WUM.

Auditors should confirm:

• The personnel responsible for conducting water quality analysis and defining the WUM have the necessary competencies.

  • Where applicable, national requirements/qualifications are met by the personnel defining the WUM.

• Evidence has been presented that relevant training modules have been completed.

Useful Resources

N/A

2.6.8 The UoC shall establish a Water Quality Monitoring Network (WQMN), following the method outlined in Appendix 8 (8.7).

An exception applies where a WQMN is already established, in which case the UoC shall participate in the WQMN.

How do I interpret this requirement?

• Evidence of spatial management at a national/regional level for water quality can be used by the UoC to demonstrate that the intent of Indicator 2.6.8 has been met. To use this evidence, the following should be met:

  • The boundaries of waterbodies are defined.

  • Waterbodies are managed to ensure water quality remains at a ‘Good’ or ‘Very Good’ status.

  • Where required, corrective actions are implemented by the regulator and complied with to ensure water quality status improves.

  • Examples of spatial management at a national/regional level include the European Union Water Framework Directive.
• It is the responsibility of the UoC to conduct outreach to ASC Certified sites and non-certified sites belong to ASC Certificate Holders if a Water Quality Monitoring Network (WQMN) has not been established.
  • Examples of outreach can include:

    • Copies of correspondence (written and email).

    • Agendas and minutes of meetings.

    • Third-party stakeholder testimony.

• As per Appendix 8, section 8.7, a Terms of Reference (ToR) document shall be drafted and agreed upon by all members of the WQMN upon formation, which includes the following:

  • The membership list and commitments from members to meet the WQMN requirements, as outlined in Appendix 8 (8.7.1).

  • The assignment of a focal point, who will coordinate data sharing, the drafting of the ToR and agreement to the ToR by all members of the WQMN.

    • The focal point should ideally be a rotating position, though determination is left to discretion of the WQMN membership.
  • A commitment to review the ToR on a regular basis (for example every 12 months) or as and when required, such as when changes in membership of the WQMN occur, or when the waterbody demonstrates evidence of excessive nutrient loading, eutrophication or trophic status shifts.

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

• An agreed map of the WUM by members of the WQMN, which includes the components outlined in Appendix 8 (8.7).
  • The map should be updated on an annual basis where required.

• Evidence of outreach efforts and responses (where applicable) to ASC Certified site and non-certified sites belong to ASC Certificate Holders if a WQMN needs to be established.

• If a WQMN has been established, the UoC presents evidence that they have joined the WQMN or the UoC can demonstrate the spatial management of water quality at a national/regional level.

• A ToR has been agreed upon by all members of the WQMN, which includes commitments to the WQMN requirements, as outlined in Appendix 8 (8.7.1).

Auditors should confirm:

• A map of the WUM has been developed by the WQMN and presented by the UoC, which includes the components outlined in Appendix 8 (8.7).

• Evidence of outreach efforts and responses to ASC Certified site and non-certified sites belong to ASC Certificate Holders if a WQMN needs to be established.

  • Auditor discretion should be used to determine if sufficient levels of outreach has been conducted, when such outreach has not been reciprocated.

• Evidence that the UoC has formed/joined a WQMN, or that the UoC presents evidence that water quality is managed at a national/regional level.

• A ToR has been presented, which has been agreed upon by all members of the WQMN. The ToR includes commitments to the WQMN requirements, as outlined in Appendix 8 (8.7.1).

Useful Resources

N/A

2.6.9 The UoC shall conduct a water quality survey and determine the water quality baseline, including the trophic status, following the method outlined in Appendix 8 (8.8).

How do I interpret this requirement?

• The data collected as part of the 24-month site level monitoring survey is submitted by the UoC to the ASC Water Quality Calculator.

• The water quality baseline is based on 24-months of monitoring data from the site level monitoring survey. However, the following phased approach is permitted when sites do not have sufficient data prior to the initial audit:

• The water quality baseline is characterised by the ASC Water Quality Calculator, in accordance with Appendix 8 (8.8).

• The baseline should be conducted per site and per waterbody. The results should then be shared with members of the WQMN.

• The baseline determines whether primary production in the waterbody is limited by nitrogen (N), phosphorous (P), or if it is co-limited. Other factors (than N or P) may be limiting primary productivity in a waterbody.

  • The UoC should present evidence of these other limiting factors (e.g. temperature or altitude) where applicable.
• Harmful algal blooms (HABs) and Adverse Turnover Events (ATEs) are required to be reported as part of the baseline characterisation. The number of ATEs and HABs that have occurred can be recorded by conducting the following:

  • Reviewing news media and consulting local stakeholders. Alternatively, reviewing data collected by regulatory bodies where available.

  • Reporting the number of ATEs and HABs which have resulted in fish mortality events (farmed or wild) or the mortality of other aquatic species.

  • Reporting instances where fish mortality events or loss of other aquatic species can be attributed to natural phenomena. These instances will not count towards the frequency limits for ATEs and HABs.

  • Reporting the number of ATEs and HABs, as determined by national or regional regulatory/scientific organisations.

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

• The methodology and analytical methods used to conduct site level monitoring survey are in accordance with Appendix 8 (8.8).

• The sampling methodology for collecting 24-months of data for the site level monitoring survey, if this is not available at the initial audit.

• The results of the site level monitoring survey, as determined by the ASC Water Quality Calculator.

• The results of the 24-month baseline characterisation, as determined by the ASC Water Quality Calculator.

• Records of HABs and ATEs from the last 10 years.

Auditors should confirm:

• A water quality monitoring survey has been conducted by the UoC. Results are presented from the ASC Water Quality Calculator.

• A sampling methodology has been presented for collecting 24-months of data for the site level monitoring survey, if this is not available at the initial audit.

• The data collected for the site level monitoring survey followed the methodology and analytical measures outlined in Appendix 8 (8.8).

• A water quality baseline has been characterised. Results are presented from the ASC Water Quality Calculator.

• The results of the review by the UoC into adverse turnover events and harmful algal blooms in the waterbody.

Useful Resources

• Vollenweider, R.A., Rinaldi, A. and Montanari, G. (1992) Eutrophication, structure and dynamics of a marine coastal system: results of ten-year monitoring along the Emilia-Romagna Coast (Northwest Adriatic Sea). Marine Coastal Eutrophication, Proceedings of an International Conference, Bologna, Italy, 21–24 March 1990, Pages 63-106: https://doi.org/10.1016/B978-0-444-89990-3.50014-6
• More information about the equations used for TSI assessment, including the relevant peer-reviewed scientific literature, is provided in Carlson, R.E. and Simpson, J. (1996) A Coordinator’s Guide to Volunteer Lake Monitoring Methods. North American Lake Management Society, 96 p.

2.6.10 The UoC shall, after the determination of the water quality baseline, conduct monitoring of the water quality parameters listed below, following the method outlined in Appendix 8 (8.8)1313An exemption applies if the mean of Secchi Disk (SD) depth calculated over any rolling two-year period remains ≥10m.:

• Total Nitrogen (TN); and,
• Total Phosphorous (TP); and,
• Dissolved Oxygen (DO); and,
• Secchi Disk (SD) depth; and,
• Chlorophyll-a (Chl-a).

How do I interpret this requirement?

• Quarterly monitoring ensures the UoC can capture any seasonal or inter-annual variations in the data collected.

• Measurements should be timed to coincide with, or immediately follow, annual turnover events when the waterbody is not permanently stratified (holomictic).

• The UoC should calibrate equipment used to measure DO, TN, TP, SD and Chl-a according to the technical specifications of the equipment.

• The UoC should conduct measurements of the parameters in-situ.

  • Samples may be sent for laboratory analysis, however variability with sample maintenance during transit can lead to inconsistent results. This is particularly evident with DO and Chl-a samples.

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

• Documentation outlining the sampling plan to conduct quarterly monitoring and that is in accordance with Appendix 8 (8.8).

• Quarterly monitoring data has been collected and submitted to the ASC Water Quality Calculator. Data should be submitted at least annually.

• Evidence that quarterly monitoring data has been timed with annual turnover events (where applicable).

• That equipment to measure DO, TN, TP, SD and Chl-a has been calibrated according to technical specifications.

Auditors should confirm:

• The sampling methodology to conduct quarterly monitoring is in accordance with Appendix 8 (8.8).

• The UoC has conducted quarterly monitoring of the water quality parameters and submitted data to the ASC Water Quality Calculator at least annually.

• Evidence has been provided demonstrating the UoC has calibrated equipment to measure DO, TN, TP, SD and Chl-a in accordance with the technical specifications.

Useful Resources

• Paerl, H.W., Scott, J.T., McCarthy, M.J., Newell, S.E., Gardner, W.S., Havens, K.E., Hoffman, D.K., Wilhelm, S.W. and Wurtsbaugh, W.A., 2016. It takes two to tango: when and where dual nutrient (N & P) reductions are needed to protect lakes and downstream ecosystems. Environmental science & technology, 50(20), pp.10805-10813.

• Information on the appropriate use of Secchi Disks can be found here: ‘What is a Secchi disk’, accessed November 22, 2023: https://www.nalms.org/s
  ecchidipin/monitoring-methods/the-secchi-disk/what-is-a-secchi-disk/
• Example of a method for Chl-a measurements made using ethanol extraction followed by spectrophotometric measurement at wavelengths 665 and 750nm (using accredited methods: EPA method 445.0: Method 445.0 In Vitro Determination of Chlorophyll a and Pheophytin ain Marine and Freshwater Algae by Fluorescence, accessed November 22, 2023: https://cfpub.epa.gov/si/si_public_record_report.cfm?Lab=NERL&dirEntryId=309417

• Cost effective example for measuring using in-situ Chl-a using a field spectroflurometer include the FluoroSense handheld fluorometer manufactured by Turner Designs and the YSI handheld meter with EXO1 (#599080) or EXO2 (#599201) sondes.

• Hamdhani, H., Eppehimer, D.E., Walker, D. and Bogan, M.T. (2021) Performance of a Handheld Chlorophyll-a Fluorometer: Potential Use for Rapid Algae Monitoring. Water, 13, 1409: https://doi.org/10.3390/w13101409

• Kuha, J., Järvinen, M., Salmi, P. and Karjalainen, J. (2020). Calibration of in situ chlorophyll fluorometers for organic matter. Restoration of Eutrophic Lakes, 847, 4377-4387: https://doi.org/10.1007/s10750-019-04086-z

2.6.11 The UoC shall, based on the monitoring of the water quality parameters, ensure that there is no decline in trophic status compared to the water quality baseline determined, following the method outlined in Appendix 8 (8.8).

2.6.12 The UoC shall, based on the monitoring of the water quality parameters, ensure that there is no upward rate of change >25% over the previous 24 months, for any of the water quality parameters listed below, following the method outlined in Appendix 8 (8.8):

• TN; and,
• TP; and,
• Chl-a; and,
• Biological Oxygen Demand (BOD).

2.6.13 The UoC shall implement a nutrient reduction plan when at least one of the following is identified:

• TN, TP or Chl-a has increased by ≥5 index points according to Table 2 in Appendix 8 (8.8), compared to the water quality baseline; or,
• TN, TP or Chl-a increased by ≥15% over the past 24 months; or,
• The distance from the surface to the zone of oxygen depletion or to the zone of anoxia has decreased by ≥25% over the past 24 months; or,
• BOD has increased by ≥15% over the past 24 months; or,
• ≥1 adverse turnover event or ≥1 harmful algal bloom within the past 10 years.

How do I interpret this requirement?

• Quarterly monitoring of TN, TP and Chl-a will determine whether there has been a change in the status of the limiting nutrients or a decline in trophic status. BOD will also need to be calculated annually. The calculated data will be compared to the water quality baseline.

• Quarterly monitoring data will be submitted to the ASC Water Quality Calculator at least annually. The ASC Water Quality Calculator will determine rates of change in the limiting nutrient(s) and trophic status compared to the baseline.

• A decline in trophic status will be determined when the next Trophic Status Index (TSI) breakpoint has been exceeded, in accordance with Table 2 in Appendix 8 (8.8).

  • Exceedance of the next TSI breakpoint will occur when one parameter falls into the next TSI category.
• The ASC Water Quality Calculator also determines whether one of the scenarios in Indicator 2.6.13 has occurred based on the quarterly monitoring data.

  • If one of scenarios has occurred, an action plan needs to be implemented to reduce nutrients released by the site and/or to have improved the efficiency of the feed used.

  • The action plan should be specific, measurable, achievable, relevant and time bound.

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

• Monitoring data has been submitted annually to the ASC Water Quality Calculator and results have been obtained.

• Results will determine the trophic status and status of TN, TP, Chl-a and BOD, in accordance with Indicator 2.6.12. Results will also be compared to the water quality baseline after the first annual submission.

  • Any upward transitions in trophic status at the compared to the water quality baseline will be determined based on the results from the ASC Water Quality Calculator.

  • Results from the ASC Water Quality will determine rate of change for TN, TP, Chl-a and BOD compared to the water quality baseline, specifically whether this exceeds 25% over the previous 24 months.

• Results from the ASC Water Quality Calculator will be obtained to determine whether one of the scenarios in Indicator 2.6.13 has occurred.

  • This will be based on the TN, TP, Chl-a and BOD data submitted to the ASC Water Quality Calculator.

  • It will also be based on submissions of the number of HABs and ATEs to the ASC Water Quality Calculator.

  • If one of the scenarios has occurred, an action plan will have been documented which will reduce nutrient nutrients released by the site and/or to have improved the efficiency of the feed used.

Auditors should confirm:

• The UoC presents evidence demonstrating monitoring data has been submitted annually to the ASC Water Quality Calculator.

• The UoC presents the outputs from the ASC Water Quality Calculator, which demonstrates whether there has been a decline in trophic status or upward rate of change >25% for TN, TP, Chl-a and BOD.

• The UoC presents evidence which determines whether one or more of the scenarios in Indicator 2.6.13 have occurred.

• A specific, measurable, achievable, relevant and time bound action plan has been documented by the UoC, and has been presented, if one of the scenarios in Indicator 2.6.13 has occurred.

Useful Resources

• Trophic status is determined using the Carlson Index values (0-100), with ‘breakpoints’ set at minimum internals of 10 index points.

  • Carlson’s Index is used to classify Type A waterbodies and consists of four separate normalised indices: Chlorophyll-a, Total Phosphorous, Total Nitrogen and Secchi Disk transparency measurements.

  • Normalised TSI values range from 0 (ultra-oligotrophic) to 100 (hypereutrophic). A TSI of less than 40 is indicative of oligotrophic conditions, while TSI values greater than 50 are indicative of eutrophic conditions. TSI values between 40 and 50 are indicative of mesotrophic conditions.

• More information about the equations used for TSI assessment, including the relevant peer-reviewed scientific literature, is provided in Carlson, R.E. and Simpson, J. (1996) A Coordinator’s Guide to Volunteer Lake Monitoring Methods. North American Lake Management Society, 96 p.

2.6.14 The UoC shall report annually to ASC the WUM hydraulic characteristics, according to ASC data submission procedures.

2.6.15 The UoC shall report annually to ASC the water quality monitoring results and the BOD value, according to ASC data submission procedures.

How do I interpret this requirement?

• ASC data collection spreadsheets will be completed with data used to characterise the baseline of the RW, in accordance with Appendix 8 (8.8.4).

• The data reported will facilitate the implementation of the requirements for sites located in Type A waterbodies.

• Auditors will have access to the reported data to support with the auditing process.

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

• Complete data collection spreadsheets and results from the ASC Water Quality Calculator that confirm data has been submitted.

Auditors should confirm:

• Data has been submitted by the UoC and results have been obtained from the ASC Water Quality Calculator.

Useful Resources

N/A

2.6.16 The UoC shall use a treatment system prior to the discharge of effluent water that ensures:

• ≥65% of Total Suspended Solids (TSS) are captured; and,
• concentration of settleable solids in effluent water is <3.3ml/L.

How do I interpret this requirement?

• Methods to measure Total Suspended Solids (TSS) can be found in Appendix 8 (8.12).

• Concentration of settleable solids (ml/L) can be measured by calculating the volume of solids that settles to the bottom of a conical cone (Imhoff cone) in one hour.

• More sophisticated methods such as spectrophotometer readings can also be used to measure settable solids.

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

• Details and location of the system used to treat effluent prior to discharge.

• Evidence regular testing of TSS and settleable solids has taken place. Quarterly testing would demonstrate best practice.

• Results from the testing of point source releases which demonstrate ≥65% of TSS are captured and the concentration of settleable solids in effluent water is consistently <3.3ml/L.

Auditors should confirm:

• A treatment is in place and located prior to the point of discharge.

• Results of testing from the UoC which confirm the treatment system captures ≥65% of suspended solids and that the concentration of settleable solids in effluent water is <3.3ml/L.

Useful Resources

N/A

2.6.17 The UoC shall conduct monitoring of TN, TP and TSS upstream from the inflow point and downstream from the outflow point, following the method outlined in Appendix 8 (8.9), if one of the following conditions applies:

Indicator scope: waterbody Type B

• The site effluent flow contribution to the receiving water flow is >10%, as calculated following the method outlined in Appendix 8 (8.10); or,
• The site effluent enters a river or channel <1km upstream of a Type A waterbody.

2.6.18 The UoC shall, if Indicator 2.6.17 applies, ensure there is <25% increase in TN, TP and TSS concentrations between the measured upstream concentration and the calculated downstream concentration.

Indicator scope: waterbody Type B

How do I interpret this requirement?

• The methods for measuring TN, TP and TSS can be found under Appendix 8 (8.12).

• The UoC can measure flow contribution, TN, TP and TSS upstream from the inflow point of the first site and immediately downstream of the outflow point of the last site in a waterbody.

  • This may reduce sampling costs when there are multiple sites discharging point source effluent releases to a Type B waterbody near each other.

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

• Maps demonstrating the sampling locations are upstream from the inflow point and downstream from the outflow point.

• Annual calculation of site effluent flow contribution to the receiving water flow based on the methodology in Appendix 8 (8.10).

• Results of the site effluent flow contribution calculation, which demonstrate whether the contribution is greater than or less than 10%.

• If Indicator 2.6.17 applies, results of measurements of TN, TP and TSS upstream from the inflow point and downstream from the outflow point.

• Results of calculations to demonstrate there is <25% increase in site effluent flow between upstream and downstream sample sites.

Auditors should confirm:

• A map has been presented which demonstrates the sampling locations are upstream from the inflow point and downstream from the outflow point.

• The UoC has conducted an annual calculation of the site effluent flow contribution to the receiving water flow.

• Whether the site effluent flow contribution calculation presented by the UoC exceeds 10%.

• If Indicator 2.6.17 applies, the UoC has presented quarterly results of TN, TP and TSS measurements from sampling locations upstream from the inflow point and downstream from the outflow point, whilst still following the sampling method in Appendix 8 (8.8 and 8.9).

• Results of calculations presented to demonstrate there is <25% increase in site effluent flow between upstream and downstream sample sites.

Useful Resources

N/A

2.6.19 The UoC shall conduct monitoring of DO concentration and DO saturation, following the method outlined in Appendix 8 (8.11).

2.6.20 The UoC shall demonstrate that the weekly average of daily DO saturation is ≥65% in freshwater and ≥70% in seawater1414Waterbodies with salinity levels 30-49 ppt (parts per thousand) shall be considered as seawater for this Indicator..

2.6.21 The UoC shall demonstrate that ≤5% of the weekly averages of daily DO concentrations are <2mg/l.  An exception applies if the UoC cannot demonstrate this, in which case the UoC shall:

• Demonstrate ≥70% saturation by conducting continuous monitoring using an electronic probe and recorder with a 15-minute sampling frequency for at least one week; or,
• Ensure percentage saturation results are consistent with results from an ‘upstream, near-field’ non-impacted reference location, at least 500m upstream of the site.

How do I interpret this requirement?

• For both diffuse-source and point-source effluent releases, the UoC should monitor and record percent saturation of DO.

• All measurements should be taken using a calibrated oxygen meter or equivalent method.

• The percent saturations should then be calculated based on the monitoring data.

• The analytical methods for DO sampling can be found in Appendix 8 (8.12).

• Any missed samples or deviations in sampling time should be accompanied by a written justification.

• The UoC can measure DO concentration and saturation immediately downstream of the last site in a waterbody whilst still following the sampling method in Appendix 8 (8.11).

  • This may reduce sampling costs when there are multiple sites discharging point source effluent releases to a Type B waterbody near each other.

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

• The oxygen meter has been calibrated according to the technical specifications.

• Records of measurement locations, demonstrating monitoring took place immediately downstream from the outflow point, or in the receiving waterbody downstream from the site for diffuse source releases.

• Records of daily monitoring of DO concentration and saturation, which result in weekly averages of daily DO saturation.

• ≤5% of the weekly averages of daily DO concentrations are 2mg/l.

• Written justifications are maintained for any missed samples or deviations in sampling times.

Auditors should confirm:

• The UoC has calibrated the oxygen meter according to the technical specifications.

• Measurement locations were immediately downstream from the outflow point, or in the receiving waterbody downstream from the site for diffuse source releases.

• Weekly averages of daily DO saturation are presented by the UoC and that the averages are ≥65% for freshwater and ≥70% for seawater.

• The UoC has presented evidence that ≤5% of weekly samples fall under 2 mg/L DO.

• Written justifications are provided for any missed samples or deviations in sampling times.

Useful Resources

N/A

2.6.22 The UoC shall conduct DO monitoring downstream from the outflow point and shall demonstrate that daily diurnal DO (DDDO) fluctuation is ≤65% saturation, following the method outlined in Appendix 8 (8.11).

Indicator scope: point source systems in waterbody types A and B

How do I interpret this requirement?

• For UoCs located in tidal systems, timing of measurements should correspond with high and low tides, to reflect variations related to the tidal regime.

• The UoC can conduct DO monitoring immediately downstream of the last site in a waterbody whilst still following the sampling method in Appendix 8 (8.11).

  • This may reduce sampling costs when there are multiple sites discharging point source effluent releases to a Type B waterbody near each other.

• The methods outlined in Appendix (8.11.2 and 8.11.3) shall be used to record DO concentrations used to determine daily diurnal DO (DDDO).

• Any missed samples or deviations in sampling time should be accompanied by a written justification.

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

• Records that DO measurements correspond to high and low tides in tidal systems.

• The location of the sampling point, demonstrating that measurements have taken place downstream from the outflow point.

• Results of daily DO monitoring and DDDO fluctuation calculations.

Auditors should confirm:

• DO measurements have taken place at high and low tides in tidal systems.

• DO measurements have taken place downstream from the outflow point.

• The UoC has presented results of the DDDO calculations based on DO measurements collected in accordance with the methods outlined in Appendix 8.11.1 and 8.11.2.

• Confirm the fluctuation level based on the DDDO calculation is ≤65% saturation level.

• Written justifications were provided if there were any missed samples or deviations in the sampling time.

Useful Resources

N/A

2.7.1 The UoC shall1515An exemption applies where ponds are located in naturally brackish or saline environments. use low permeable liners.

Indicator applicability: brackish or saltwater pond culture

How do I interpret this requirement?

• 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:

  • Plastic,

  • Imported clays,

  • Ripping and re-compaction of in situ clays, mixing with bentonite,

  • Geo-membranes, and

  • Composite liners.

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

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

Auditors should confirm:

• Low permeable liners have been installed and maintained in ponds.

Useful Resources

N/A

2.7.2 The UoC shall not discharge brackish or saltwater effluent over land.

How do I interpret this requirement?

N/A

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

• 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.

Auditors should confirm:

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

Useful Resources

N/A

2.7.3 The UoC shall only discharge effluent water of a salinity level equal to or lower than the salinity level of the receiving waterbody or natural wetland. An exception applies to waterbodies and natural wetlands that have naturally periodic varying salinity levels, in which case the salinity level of the effluent water shall be within range of the natural variation.

How do I interpret this requirement?

• 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 should then be compared to the salinity level of the effluent water to determine whether it is within the range of natural variation for the receiving waterbody or natural wetlands.

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

• 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.

  • Reports or measurements determining whether the salinity level of the effluent water is within the range of the natural variation for the receiving waterbody or natural wetlands.

Auditors should confirm:

• Salinity test results have been presented which determine one of the following:
  • Salinity level of the effluent water is equal to or lower than the salinity level of the receiving waterbody or natural wetlands.

  • Salinity level of the effluent water is within the range of natural variation for the receiving waterbody or natural wetlands that have naturally varying salinity levels.

Useful Resources

N/A

2.7.4 The UoC shall ensure that freshwater-wells used for culture water do not exceed a conductivity of 1,500 micro-mhos per centimeter (µmho/cm) or chloride concentration of 300mg/L.

An exception applies where well-monitoring is not permitted by applicable law, in which case regulatory records shall be obtained to provide evidence of conductivity levels.

How do I interpret this requirement?

• Freshwater wells with a conductivity or chloride concentration above the thresholds in Indicator 2.7.4 will demonstrate that salinisation has taken place.

• Specific conductance or chloride concentration should be monitored at a frequency adapted to fluctuations due to natural factors, such as seasonal rains.

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

• Records of specific conductance of freshwater wells on, or in proximity to the site (within 1km radius).

  • Records should demonstrate monitoring has taken place at least every six months and considered natural factors, such as seasonal rains.

• Regulatory records obtained where applicable, to demonstrate well-monitoring is not permitted by law.

  • Records shall contain evidence of conductivity testing.

Auditors should confirm:

• Monitoring records are available for freshwater wells in proximity to the site, which demonstrate either conductivity or chloride concentration is below the relevant threshold specified in Indicator 2.7.4.
  • Monitoring has taken place at least every six months and considered natural factors, such as seasonal rains.

• Regulatory records are available for instances where well-monitoring is not permitted by law.

• The records demonstrate conductivity testing has taken place.

Useful Resources

• Hand-held refractometers can be used to measure salinity. These devices are appropriate for salinities of approximately 2 or 3 ppt, but they are not sensitive enough to determine if sites are causing the salinisation of freshwater bodies.

• The quickest and easiest method to evaluate salinity of water is to measure specific conductance with a conductivity meter. An alternative method is a chloride test kit, which is typically cheaper.

2.8.1 The UoC shall ensure that biosolids are appropriately contained.

How do I interpret this requirement?

• 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.

  • This risk is higher when biosolids are removed from culture systems, canals and/or treatment systems.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

N/A

2.8.2 The UoC shall ensure that biosolids are not disposed or released into receiving waterbodies, natural wetlands or other ecosystems.

How do I interpret this requirement?

• 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.

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

• Records which demonstrate:

• Information on the disposal and/or release of biosolids.

  • The location where biosolids are disposed and/or released, which confirm they are not disposed of and/or released into receiving waterbodies, natural wetlands or other ecosystems.

Auditors should confirm:

• 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.

  • This may be carried out through a visual inspection of the site and any surrounding waterbodies.

Useful Resources

N/A

2.8.3 The UoC shall only re-use uncontaminated biosolids.

How do I interpret this requirement?

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

  • Fertiliser in agriculture.

  • Maintenance and building of dykes.

  • Maintenance of roads or infrastructure.

  • Biogas.

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

• 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.

Auditors should confirm:

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

Useful Resources

N/A

2.8.4 The UoC shall dispose of biosolids responsibly if they cannot be re-used.

How do I interpret this requirement?

• The responsible disposal of biosolids mitigates impacts on natural ecosystems and waterbodies.

  • Impacts may include salinisation or eutrophication.

• The UoC should develop and implement a biosolids management plan which procedures relating to the responsible disposal of biosolids.

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

• Documents outlining the process and location of biosolids disposal.
  • The documents should demonstrate biosolids are disposed of responsibly. An example may be a biosolids management plan.
    • The management plan may include a flow diagram that outlines key steps for the disposal of biosolids.
• If biosolids are transferred to a third party, evidence should be available to confirm that the third party has disposed of biosolids responsibly.

Auditors should confirm:

• Documents, for example a biosolids management plan, have been presented which demonstrate the responsible disposal of biosolids.

• If biosolids are transferred to a third-party, evidence has been presented to confirm that the third-party has responsibly disposed of biosolids.

Useful Resources

N/A

2.9.1 The UoC shall develop, implement and maintain a Water Efficiency Management Plan (WEMP) in areas identified as having ‘high’ or ‘extremely high’ water stress according to the Aqueduct ‘Water Risk Atlas1616https://www.wri.org/applications/aqueduct/water-riskatlas/#/?advanced=false&basemap=hydro&indicator=w_awr_def_tot_cat&lat=-14.445396942837744&lng=- 142.85354599620152&mapMode=view&month=1&opacity=0.5&ponderation=DEF&predefined=false&projection=absolute&sc enario=optimistic&scope=baseline&timeScale=annual&year=baseline&zoom=2View More, with the intent to reduce water consumption.

2.9.2 The UoC shall ensure the WEMP is annually reviewed and revised as necessary.

Indicator applicability: areas identified as having ’high‘ or ’extremely high‘ water stress

How do I interpret this requirement?

• 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.

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

• 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.

  • The WEMP should have specific, measurable, achievable, realistic and time-bound objectives and targets to reduce water consumption.

• 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.

Auditors should confirm:

• 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.

Useful Resources

• Aqueduct Water Risk Atlas: Aqueduct Water Risk Atlas.

2.9.3 The UoC shall monitor and record water levels in groundwater wells, and shall include the results in the WEMP.

Indicator applicability: areas identified as having ’high‘ or ’extremely high‘ water stress

An exception applies where monitoring is not permitted by applicable law, in which case regulatory records shall be obtained to provide evidence of recording of water levels.

How do I interpret this requirement?

• 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.

  • A reduction in the water table would demonstrate that the WEMP is not effective at reducing water consumption.

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

• 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.

Auditors should confirm:

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

  • Results can either be from testing conducted by the site or a regulatory body if monitoring is not permitted by law.

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

Useful Resources

N/A

2.9.4 The UoC shall not use freshwater to reduce the salinity of culture water. An exception applies if discharged effluent water is desalinated.

2.9.5 The UoC shall not use salt to increase the salinity of fresh culture water. An exception applies if discharged effluent water is desalinated.

No additional guidance is provided for these indicators.

2.9.6 The UoC shall not abstract >50% volume of surface water. An exception applies if the UoC can demonstrate that the water abstraction is based on a minimum Vital Flow determined by a regulatory permit or scientific study.

2.9.7 The UoC shall return >90% of the abstracted surface water volume to its source.

How do I interpret this requirement?

• Abstraction of water refers to the process of taking water from a natural source, in this case surface water.

• Responsible abstraction, or a minimum vital flow, is important for mitigating impacts on freshwater ecosystems and water quality.

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

• Records demonstrating the volume of water abstracted from surface water and the volume returned to the source from which the water was originally abstracted.

• A minimum vital flow has been determined by a regulatory permit or scientific study, if the exception in Indicator 2.9.6 applies.

Auditors should confirm:

• Records have been presented which demonstrate the volume of water extracted from surface water and the volume returned to the source from which the water was originally extracted.

• Evidence of a minimum vital flow determined by a regulatory permit or scientific body, if the exception in Indicator 2.9.6 applies.

Useful Resources

N/A

2.10.1 The UoC shall calculate the energy use of production following the method outlined in Appendix 9 (9.3).

How do I interpret this requirement?

• 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.

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

• 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.

Auditors should confirm:

• 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.

Useful Resources

• 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 Zero1717DESNZ (2022). Greenhouse gas reporting: Conversion factors 2022. United Kingdom Department for Energy Security and Net Zero. Available at https://www.gov.uk/government/publications/greenhouse-gas-reporting-conversion-factors-2022.

2.10.2 The UoC shall calculate the feed and farm-related GHG emissions of production following the method outlined in Appendix 9 (9.4).

How do I interpret this requirement?

• 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:
    • By scope (based on Scope 1, Scope 2, and Scope 3 GHG emissions as defined in the GHG Protocol),
    • By category (e.g., land use change emissions, if known; if unknown, emissions may be characterised as ‘unspecified’), and
    • By input (e.g., broad categories of feed ingredients, energy inputs, etc.).
• To the extent possible, Certificate Holders are encouraged to calculate GHG emissions 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.
    • For feed inputs, because the certified site’s feed use records are needed for certification, data used for GHG calculations should be specific to the certified site.
• GHG profiles from hatcheries are not required.
  • The hatchery or juvenile stage of the aquaculture supply chain typically accounts for a very small percentage of overall GHG emissions, and due to the varied nature of sourcing juveniles, requiring their inclusion in calculations could result in confusion and unnecessary burden. 
    • Instead, sites may account for juvenile inputs as described in Appendix 9.
  • GHG calculations may optionally still include hatchery-specific data, and efforts to reduce GHG emissions at the hatchery stage may also be included to demonstrate efforts in the site’s GHG management plan for Indicator 2.10.4.
• GHG emissions should first be calculated relative to live weight production, as kg CO₂-equivalent (CO₂e) emissions per tonne of live weight production. As a final step, emissions are converted to an edible weight basis. 
  • This step is facilitated by the ASC Farm Standard GHG Data Submission Template.
  • By default, the muscle fraction of the animal is the conversion factor, such that a muscle fraction of 0.5 results in an edible weight GHG value double that of the live weight basis value.
  • If, however, a portion of the non-edible fraction of the animal is used for other purposes (e.g., by-product meal), a portion of emissions may be allocated to the non-edible product.
    • In these cases, the allocation is undertaken directly within the ASC Farm Standard GHG Data Submission Template following both allocation methods: dividing emissions between edible and non-edible product on the basis of their relative mass, and on the basis of their relative economic value as expressed by their revenue generation.
      • This allocation step is not applicable to bivalve and abalone shells; for these species, the muscle fraction alone is used for converting results to an edible weight basis.

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

• 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.

Auditors should confirm:

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

• GHG emissions are calculated in kg CO₂e 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.

Useful Resources

• 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. (20211818Gephart, J. A., Henriksson, P. J., Parker, R. W., Shepon, A., Gorospe, K. D., Bergman, K., … & Troell, M. (2021). Environmental performance of blue foods. Nature, 597(7876), 360-365. https://doi.org/10.1038/s41586-021-03889-2). 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:

  • General life cycle assessment methods in ISO 140401919ISO. (2006). ISO 14040 — Environmental management — Life cycle assessment — Principles and framework. Geneva, Switzerland: ISO. and ISO 140442020ISO. (2006). ISO 14044 — Environmental management — Life cycle assessment — Requirements and guidelines. Geneva, Switzerland: ISO.
  • The GHG Protocol from the World Resources Institute2121WRI. (2004). The greenhouse gas protocol: A corporate accounting and reporting standard. Washington, D.C., USA: World Resources Institute.
  • ISO 140672222ISO. (2013). ISO 14067 — Greenhouse gases — Carbon footprint of products — Requirements and guidelines for quantification and communication. Geneva, Switzerland: ISO. and marine fish product category rules in ISO 229482323ISO. (2020). ISO 22948 — Carbon footprint for seafood — Product category rules (CFP–PCR) for finfish. Geneva, Switzerland: ISO.
  • The Product Environmental Footprint (PEF) marine fish product category rules2424Marine Fish PEFCR. (2024). Product Environmental Footprint Category Rules (PEFCR) for unprocessed Marine Fish Products. In draft available at: https://www.marinefishpefcr.eu/
  • PAS 20502525BSI. (2011). PAS 2050:2011 – Specification for the assessment of the life cycle greenhouse gas emissions of goods and services. London, UK: British Standards Institution. and seafood product category rules in PAS 2050-22626BSI. (2012). PAS 2050-2:2012 – Assessment of life cycle greenhouse gas emissions. Supplementary requirements for the application of PAS 2050:2011 to seafood and other aquatic food products. London, UK: British Standards Institution.

2.10.3 The UoC shall develop, implement and maintain a GHG Management Plan, and shall ensure the plan is annually reviewed, and revised as necessary, following the targets set out in Appendix 9 (9.5).

How do I interpret this requirement?

• 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. 
  • These targets are not intended as thresholds for standard conformance. 
    • Rather, they provide a guide for Certificate Holders to assess their performance against established benchmarks, support efforts in their GHG Management Plan and facilitate tracking over time.
• 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. 
  • If emissions relative to production are increasing, the GHG Management Plan should be reviewed and, if needed, revised.
• 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.
  • Coordinating with feed suppliers may be an effective way to target improvement of GHG emissions in these cases. 
    • This may take the form of identifying lower GHG ingredients, transitioning to ingredients associated with lower rates of deforestation and land conversion, or improving feed conversion ratios through improved feed compositions.
• 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. 

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

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

Auditors should confirm:

• 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.

Useful Resources

N/A

2.10.4 The UoC shall report annually to ASC the energy use and GHG emissions per site according to ASC data submission procedures.

How do I interpret this requirement?

• Public disclosure of energy use and GHG data are not required by the ASC Farm Standard. Instead, reporting to ASC is required.
  • This ensures that energy use and GHG performance of ASC certified production can be tracked and communicated in an aggregated form and also supports assessment of the requirements and identification of common issues, errors or need for improved guidance.
    • Data submitted to ASC is used in accordance with ASC’s data use policies.

• There are two data submission templates: one for energy use and one for GHG emissions.

• Data submitted to ASC should reflect the same calculation results as demonstrated during the audit in compliance with Indicators 2.10.1 and 2.10.2.

• Data submission for both energy use and GHG emissions is on an annual basis. However, in some cases, sites may not have new data to submit in a given year.

  • If the site is calculating values relative to a production cycle and a new production cycle has not completed since the prior year’s data submission. In this case, data submission is still required but may reflect the same submission as the prior year.

  • If calculating values for three consecutive years of production and previous records are not available, data submissions in the first and second years may reflect one or two years of production, respectively.

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

• Demonstration of successful data submission on an annual basis.

Auditors should confirm:

• Successful annual data submissions using the ASC Farm Standard Energy Use Data Submission Template and the ASC Farm Standard GHG Data Submission Template.

• Data reported in data submissions reflect results shown in audit for Indicators 2.10.1 and 2.10.2.

Useful Resources

N/A

2.10.5 The UoC shall provide GHG emissions data to any subsequent ASC certified site to which it supplies fish for grow-out.

Indicator applicability: Marine salmonids

How do I interpret this requirement?

• In the case of marine salmonids, grow-out sites that supply fish to subsequent grow-out sites are required to be certified under the ASC Farm Standard.
  • This necessitates that they calculate and report GHG emissions as per Indicator 2.10.2.
    • This facilitates the sharing of data with subsequent grow-out sites to ensure that GHG calculations at the point of harvest include relevant inputs from the prior site.
• Specific data on the energy inputs and feeds used from the prior site are not required. Only the GHG profile, reflecting the format of the ASC Farm Standard GHG Data Submission Template, is needed.
  • This does not apply to other species which do not require full certification of prior sites.
• GHG profiles from hatcheries are not required, as explained above for Indicator 2.10.2.

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

N/A

Auditors should confirm:

• Subsequent grow-out sites are provided a GHG profile reflecting the format of the ASC Farm Standard GHG Data Submission Template either as part of regular process or upon request.

Useful Resources

N/A

2.11.1 The UoC shall assess and, where feasible, implement measures to reduce, reuse and recycle waste materials.

How do I interpret this requirement?

• ‘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.

  • This produces economic savings and reduces the amount of materials that end up as waste.

• ‘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.

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

• 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.

Auditors should confirm:

• 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.

  • This may be demonstrated through training conducted by the site or the presence of signs/posters regarding the appropriate reduction, reuse and recycling of materials.

Useful Resources

N/A

2.11.2 The UoC shall capture non-biological solid waste, including plastics, prior to effluent discharge.

Indicator applicability: point-source discharge

How do I interpret this requirement?

• 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.

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

• 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).

Auditors should confirm:

• 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.

Useful Resources

N/A

2.11.3 The UoC shall dispose of waste responsibly.

How do I interpret this requirement?

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

  • Recyclables: e.g. plastics, metals and paper.

  • Hazardous: e.g. chemicals, batteries and medical waste.

  • Non-recyclable: e.g. biological and non-biological waste
• Based on the classification, sites should determine the facilities to use for waste disposal, for example:

  • Recycling facility.

  • Landfill.

  • Waste management company.

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

• 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.

Auditors should confirm:

• The site:

  • Has identified and classified the waste it generates.

  • Uses facilities that are appropriate for the type of waste and that they legally operate.

Useful Resources

N/A

2.11.4 The UoC shall not use pesticides that are banned or restricted by any of the following conventions or organisations:

• The Rotterdam Convention on Prior Informed Consent (PIC)2727http://www.pic.int/TheConvention/Chemicals/AnnexIIIChemicals
• The Stockholm Convention on Persistent Organic Pollutants (POPs)2828http://chm.pops.int/TheConvention/ThePOPs/ListingofPOPs/tabid/2509/Default.aspx
• The World Health Organisation (WHO), for products classed as ’extremely hazardous‘ or ’highly hazardous‘ (classes Ia and Ib).2929https://www.who.int/publications/i/item/9789240005662

2.11.5 The UoC shall only use net antifouling agents containing biocides that are approved by local regulations in either Australia, the European Union, Japan or the United States of America.

How do I interpret this requirement?

• Pesticides: The Rotterdam Convention on Prior Informed Consent (PIC) defines pesticides as chemicals used to destroy, prevent, or control pests, including vectors of human or animal disease, and unwanted species of plants or animals causing harm during or otherwise interfering with the production, processing, storage, transport, or marketing of food, agricultural commodities, wood, and wood products or animal feedstuffs.

• Biocides: The Biocidal Products Regulation (BPR, Regulation (EU) 528/2012) defines biocides as any substance or mixture, in the form in which it is supplied to the user, consisting of, containing or generating one or more active substances, with the intention of destroying, deterring, rendering harmless, preventing the action of, or otherwise exerting a controlling effect on, any harmful organism by any means other than mere physical or mechanical action.

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

• List of pesticides and biocides used by the site.
  • Including purchase records.

• Copy of the list of banned or restricted pesticides by the conventions or organisations stated by the indicator.

• Copy of the list of biocides approved by local regulations in either Australia, the European Union, Japan or the United States of America.

Auditors should confirm:

• Pesticides used by the site are not on the list of banned or restricted pesticides by the conventions or organisations stated by the indicator.

• Biocides used by the site are not on the list of net antifouling agents containing biocides approved by local regulations in either Australia, the European Union, Japan or the United States of America.

Useful Resources

• REGULATION (EU) No 528/2012 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 22 May 2012 concerning the making available on the market and use of biocidal products.

2.11.6 The UoC shall hold water containing hormones for at least 48 hours or as per product specifications, whichever is greater, prior to discharge.

No additional guidance is provided for this Indicator.

2.11.7 The UoC shall ensure that all processing effluent is treated to minimise biosecurity and environmental risks.

How do I interpret this requirement?

• An appropriate effluent treatment should be able to eliminate or reduce to acceptable levels the discharge of (amongst others):

• Organic matter: measured, for example, as the reduction of Biological Oxygen Demand (BOD), Chemical Oxygen Demand (COD) or Total Suspended Solids (TSS) after treatment.

• Nutrients: measured, for example, as the reduction of nitrogen and phosphorous after treatment.

• Pathogenic microorganisms: measured, for example, as the reduction of microbial counts after treatment.

• Oils and greases.

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

• An effluent monitoring plan appropriate for the type and amount of processing effluent discharged.
  • Including the parameters, frequency of monitoring and acceptable limits.
• Analysis results of the parameters included in the effluent monitoring plan.

• Corrective actions when analysis results exceed acceptable levels.

Auditors should confirm:

• Effluent monitoring plan has been developed and implemented.
  • This includes monitoring analysis results.
• Corrective actions taken when analysis results exceed acceptable levels.

Useful Resources

• V. Venugopal, A. Sasidharan (2021). Seafood industry effluents: Environmental hazards, treatment and resource recovery. Journal of Environmental Chemical Engineering.

2.11.8 The UoC shall clean aquaculture gear or infrastructure in land-based facilities only if the facility treats effluents.

Indicator applicability: cage culture and suspended culture not using copper-treated gear or infrastructure

2.11.9 The UoC shall not treat or clean aquaculture gear or infrastructure in situ.

Indicator applicability: cage culture and suspended culture using copper-treated gear or infrastructure

2.11.10 The UoC shall clean aquaculture gear or infrastructure in land-based facilities that treat effluents, including the capturing of copper.

Indicator applicability: cage culture and suspended culture using copper-treated gear or infrastructure

How do I interpret this requirement?

N/A

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

• Documentation confirming land-based facilities treat effluents.
  • Including verification that the facility captures copper in its effluent treatment, if applicable.

Auditors should confirm:

• Documentation confirming land-based facilities treat effluents.

Useful Resources

N/A

2.11.11 The UoC shall demonstrate that copper levels in the sediment are £ 34 mg Cu/kg dry sediment weight, following the method outlined in Appendix 7 (7.6).

An exception applies where copper levels in sediment > 34 mg Cu/kg dry sediment weight, in which case the UoC shall demonstrate that the levels fall within the range of background concentrations measured following the method outlined in Appendix 7 (7.6).

Indicator applicability: cage culture in marine/brackish waters using copper nets or copper-treated nets

No additional guidance is provided for this Indicator.

2.11.12 The UoC shall handle, use, store and dispose of chemicals according to the Safety Data Sheets (SDS) provided by the supplier.

2.11.13 The UoC shall not discharge effluent containing chemicals without adequate treatment.

How do I interpret this requirement?

• The adequacy of a treatment depends on the types of chemicals found in the effluent, such as heavy metals, organic compounds, acids and bases.
  • To determine the most adequate treatment, it is essential to understand the following characteristics of the effluent:
    • Chemical composition (organic vs. inorganic, hazardous vs. non-hazardous).
    • pH levels (acidic, neutral or alkaline).
    • Solubility (dissolved, suspended or emulsified).
    • Toxicity (bioaccumulative, carcinogenic, etc.).
  • Based on the above characteristics, examples of treatments that might be used are:

    • Physical-Chemical Treatment: pH neutralisation, coagulation and flocculation, chemical precipitation, adsorption, membrane filtration, electrochemical treatment, solvent extraction.

    • Advanced Oxidation Processes (AOPs): ozonation, ultraviolet + hydrogen peroxide.

    • Biological Treatment: aerobic and anaerobic treatment, bioaugmentation.

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

• Presence of treatment method for effluents containing chemicals.
  • Including the rationale for determining the most adequate method.

Auditors should confirm:

• Through site inspection the presence of a treatment method for effluents containing chemicals.
  • Including the rationale for determining the most adequate method

Useful Resources

N/A

2.11.14 The UoC shall adequately contain hazardous materials to prevent spillage, contamination and pollution.

2.11.15 The UoC shall implement spill prevention and emergency response procedures for hazardous materials.

How do I interpret this requirement?

• Sites should consider their context and external circumstances when determining the most adequate containment method.
  • Examples of external circumstances are natural disasters and sabotage. 
• Containment should be:
  • Impervious.
  • Capable of containing at least 110% of the volume of the largest container stored within it.
• The spill prevention and emergency response procedures for hazardous materials should:
  • Outline the preventative maintenance of equipment destined to prevent and respond to spills from, for example, vehicles, winches, cranes, and mechanical equipment on land and water.
  • Be tested for adequacy at established frequencies.
    • Depending on the test results, the plan should be revised.
• Employees should be trained on the spill prevention and emergency response procedures.

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

• List of hazardous materials present or used on the site.

• Records of employee training on the spill prevention and emergency response procedures.

Auditors should confirm:

• List of hazardous materials present or used on the site.

• Employees have been trained on the spill prevention and emergency response procedures.

  • Cross-check during employees’ interviews.

• Through site inspection:

  • That hazardous materials are adequately contained.

Useful Resources

N/A

2.11.16 The UoC shall adequately store perishable materials to minimise spoilage, spillage, contamination or pest damage.

No additional guidance is provided for this Indicator.

2.11.17 The UoC shall adequately maintain machinery, aquaculture gear and infrastructure to minimise performance degradation and failure.

How do I interpret this requirement?

• The site should develop a maintenance plan that identifies the schedule for regular maintenance of machinery, aquaculture gear and infrastructure.

• The person(s) conducting maintenance should have an adequate level of competence based on the type of maintenance required.

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

• Maintenance plan that identifies the schedule for regular maintenance of machinery, aquaculture gear and infrastructure.

• Records to demonstrate maintenance was performed according to the schedule outlined in the maintenance plan.

  • Written justification should be in place in cases of deviation from the schedule outlined in the maintenance plan.

Auditors should confirm:

• The site has a maintenance plan covering regular maintenance of machinery, aquaculture gear and infrastructure.

• Records that the schedule has been adhered to.

Useful Resources

N/A

2.11.18 The UoC shall mark and record substantial aquaculture gear.

Indicator applicability: water-based UoC

2.11.19 The UoC shall retrieve lost aquaculture gear.

Indicator applicability: water-based UoC

How do I interpret this requirement?

• Intent of Indicator 2.11.18 is that substantial aquaculture gear is identifiable as belonging to the site.
  • So, it can be attributable to the site in case of gear loss and facilitate retrieval (see Indicator 2.11.9).
• Substantial gear includes:
  • Floats.
  • Cages.
  • Bags.
  • Predator nets.
  • Racks.
• The site should maintain equipment and/or mechanisms for retrieving lost aquaculture gear, for example, scoop nets and grapple hooks (Indicator 2.11.19).

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

• A record, or log, of substantial aquaculture gear should be maintained.

  • At a defined frequency, the substantial aquaculture gear record should be contrasted with the physical inventory present at the site to determine whether any gear has been lost.

• Policies or procedures for locating and retrieving substantial aquaculture gear.

Auditors should confirm:

• Record, or log, of substantial aquaculture gear.

• Through site inspection:

  • That substantial aquaculture gear is attributable to the site and recorded.

  • That the site maintains equipment and/or mechanisms for retrieving lost aquaculture gear.

• Policies or procedures are in place to locate and retrieve substantial aquaculture gear.

Useful Resources

• Global Ghost Gear Initiative (2021) Best Practice Framework for the Management of Aquaculture Gear. Prepared by Huntington, T. of Poseidon Aquatic Resources Management Ltd. for GGGI. 81 pp. plus appendices: GGGI_Best_Practice_Framework_for_the_Management_of_Aquaculture_Gear.pdf

2.11.20 The UoC shall clean up waste from the receiving shoreline or land surrounding the site.

How do I interpret this requirement?

N/A

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

• Records of regular litter collection activities and the responsible disposal of any items recovered.

Auditors should confirm:

• Regular litter collection activities have taken place.

• Alternatively, conduct a visual inspection to demonstrate low levels of waste are present on the receiving shoreline or land surrounding the site.

Useful Resources

• Global Ghost Gear Initiative (2021) Best Practice Framework for the Management of Aquaculture Gear. Prepared by Huntington, T. of Poseidon Aquatic Resources Management Ltd. for GGGI. 81 pp. plus appendices: GGGI_Best_Practice_Framework_for_the_Management_of_Aquaculture_Gear.pdf

2.11.21 The UoC shall ensure that visible aquaculture infrastructure is uniform in positioning and orientation.

Indicator applicability: water-based UoC

2.11.22 The UoC shall not use any floats made from polystyrene foam.

Indicator applicability: water-based UoC

2.11.23 The UoC shall ensure that surface floats are uniform in colour.

Indicator applicability: Bivalve producers

How do I interpret this requirement?

• Aquaculture infrastructure should not impede navigation.

• Legal requirements might impose the use of specific colour floats, for example, for navigational purposes.

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

N/A

Auditors should confirm:

• Through site inspection:
  • That visible aquaculture infrastructure is uniform in positioning and orientation.
  • That floats are not made from polystyrene foam.
  • That surface floats are uniform in colour.

Useful Resources

N/A

2.12.1 The UoC shall only use ASC-conforming compound feed.

Indicator scope: every UoC using compound feed.

How do I interpret this requirement?

• ASC-conforming compound feed is sourced from feed mills certified to the ASC Feed Standard.
  • It includes feeds produced under the mass balance model, as well as feeds produced under the segregation model.
• This requirement does not apply to non-certifiable species (e.g., cleaner fish).

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

• Documented process to confirm feed is ASC-conforming that includes verification of (see Indicator 1.4.3):
  • The feed mill certification against the ASC Feed Standard.
  • The documentation that identifies:
    • The feed as ASC-conforming.
    • The feed production model applied (i.e., mass balance or segregation).
    • In the case of segregated feed, a distinct feed name which is also listed on the schedule to the feed mill certificate.
    • Whether the feed is traceable as ASC-conforming throughout all steps between the feed mill and site.
• Records:
  • Feed purchased and type.
  • Feed delivery notes – confirming traceability between feed mill and site.
  • Feeding records.

Auditors should confirm:

• Documented process to confirm feed product is ASC-conforming that includes verification of (see Indicator 1.4.3):
  • The feed mill certification against the ASC Feed Standard.
  • The documentation identifies:
    • The feed as ASC-conforming.
    • The feed production model applied (i.e., mass balance or segregation).
    • In the case of segregated feed, a distinct feed name which is also listed on the schedule to the feed mill certificate.
    • Whether the feed is traceable as ASC-conforming throughout all steps between the feed mill and site.
• Records 
  • Feed purchased and type.
  • Feed delivery notes – confirming traceability between feed mill and site.
  • Feeding records.

Useful Resources

N/A

2.12.2 The UoC shall only use seaweed from regulated sources.

Indicator applicability: every UoC using seaweed as a direct feed source.

How do I interpret this requirement?

• 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:

    • ASC-MSC Seaweed Standard

    • FairWild Standard

    • Standards approved in the IFOAM Family of Standards Organic Standards

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

• Legislation which stipulates responsible harvesting or farming.

• Supplier harvesting or farming permits.

• Certification documentation.

• Records:

  • Harvest.

  • Transport to the UoC.

Auditors should confirm:

• Legislation which stipulates responsible harvesting or farming.

• Presence and validity of permits.

• Certification documentation.

• Records.

  • Harvest.

  • Transport to the UoC.

Useful Resources

N/A

2.12.3 The UoC shall not use feed containing protein derived from the same genus as the species being farmed. An exception applies where it can be demonstrated that same-species protein hydrolysates are verified to be <10,000 daltons, in which case use is allowed.

How do I interpret this requirement?

N/A

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

• Records:
  • Feed purchased (including information on species/genus used as marine ingredients for fishmeal).
  • Feed fed.

Auditors should confirm:

• Records:

  • Feed purchased (including information on species/genus used as marine ingredients for fishmeal).

  • Feed fed.

Useful Resources

• 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”3030FAO. Aquaculture development. 5. Use of wild fish as feed in aquaculture. FAO Technical Guidelines for Responsible Fisheries. No. 5, Suppl. 5. Rome, FAO. 2011. 79p..
• 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.

2.12.4 The UoC shall not feed wet feedstuffs, moist pellets, or uncooked/ unprocessed marine raw materials.

How do I interpret this requirement?

• Wet feedstuffs used as binders for probiotics and other feed additives in top-coating or top-dressing applications are allowed.
• Wet feedstuffs can be used as carbon sources for water quality control i.e., anaerobic fermentation or biofloc technology.

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

• Records:
  • Feed purchased.
  • Feed fed.

Auditors should confirm:

• Wet feedstuffs, moist pellets, or uncooked/ unprocessed fish are not used by the UoC by cross-checking records with observations and personnel interviews.
• Records:
  • Feed purchased.
  • Feed fed.

Useful Resources

N/A

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

How do I interpret this requirement?

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

• To facilitate compliance with the feed efficiency requirements the UoC should consider:
  • Using feed formulations:
    • With a high percentage of marine by-products and trimmings.
    • That includes alternatives to fishmeal/fish oil.
  • Implementing on-site feed management measures, for example:
    • The use of: 
      • Feed trays. 
      • Cameras. 
      • Pellet sensors.
  • Staff training on the use of feed management measures. 
  • Verification process to confirm management measures are operational and continuously meet their intent, for example, documented records of visual feed response. 

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

• Records:

  • Feed purchased (including % of whole fish ingredients, EPA and DHA).
  • Feed fed.
  • Feed efficiency calculations.
  • Visual feed response.
  • Staff training.
  • Stocking biomass.
  • Production (weight harvested).

Auditors should confirm:

• Feed efficiency metrics are met.

• Records:

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

  • Feed fed.

  • Feed efficiency calculations.

  • Visual feed response.

  • Staff training.

  • Stocking biomass.

  • Production (weight harvested).

Useful Resources

N/A

2.12.6 The UoC shall annually report to ASC the feed properties, feed use and calculated feed efficiency values per site, according to ASC data submission procedures.

No additional guidance is provided for this Indicator.

3.1.1 The UoC shall have a written human rights policy, approved by senior management, with the intent of publicly demonstrating its commitment to at least the following:

• freedom of association and the effective recognition of the right to collective bargaining; and
• the elimination of all forms of forced or compulsory labour; and
• the effective abolition of child labour; and
• the elimination of discrimination in respect of employment and occupation; and
• a safe and healthy working environment; and
• being a good neighbour and respecting the rights of surrounding communities.

How do I interpret this requirement?

• A human rights policy:
  • is the “company’s public expression of its commitment to meet its responsibility to respect internationally recognized human rights standards”3131United 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)
  • is appropriate to the strategic direction, context and purpose of the organisation
  • provides a framework for setting quality objectives
  • includes an explicit commitment to respect all other internationally recognised human rights standards3232International Bill of Human Rights, A Brief History and the two International Covenants. Available at: International Bill of Human Rights | OHCHR that apply to people that may be impacted by the UoC’s operations
  • includes stipulations concerning the company’s expectations of personnel, business partners and other relevant parties
  • includes information on how the company will implement its commitment
  • is aligned with the requirements in the ASC Farm Standard, and local and international human rights laws and standards 
  • is signed by senior management
  • is understood by all employees.
• Each company will need to determine for itself which human rights may need to be prioritised in its policy because this will depend on the risks associated with the:
  • company’s location
  • type of farming practices
  • composition of the workforce.
• The content of the human rights policy may vary according to the UoC’s size and national legal frameworks, and could also include the following topics:
  • recruitment and termination (see Indicators 3.2.3-3.2.8, 3.3.3-3.3.6, 3.4.1, 3.4.3, 3.4.4, 3.7.1-3.7.4)
  • employee representation (see Indicator 3.1.3)
  • loans and advances (see Indicator 3.2.9)
  • remediation (see Indicators 3.2.2, 3.3.2)
  • anti-discrimination (see Criterion 3.4)
  • training (see Indicators 3.1.4, 3.5.5)
  • freedom of association and collective bargaining (see Criterion 3.6)
  • transparent contracts (see Criterion 3.7)
  • fair wages (see Indicators 3.8.1, 3.8.4, 3.8.5, 3.8.6)
  • working hours (see Criterion 3.9)
  • performance and workplace conduct (see Criterion 3.10)
  • employee accommodation (see Criterion 3.11)
  • grievance mechanisms (see Criterion 3.12)
  • community relations and Indigenous rights (see Criterion 3.13).

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

• human rights policy
• evidence that senior management have signed it off

Auditors should confirm:

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

• where the policy is communicated and available publicly;

• whether the policy is available to all relevant stakeholders;

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

Useful Resources

• 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

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

How do I interpret this requirement?

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

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

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

  • identifying areas of improvement

  • reporting progress or issues to senior management or relevant stakeholders

  • overseeing continuous improvement

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

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

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

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

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

• plan of actions involved in implementing the policy

• plans for monitoring implementation of the policy

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

• plans for regularly updating and revising the policy.

Auditors should confirm:

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

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

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

  • progress against any action plans and monitoring plans,

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

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

Useful Resources

N/A

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

How do I interpret this requirement?

• Employee representation:

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

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

• A committee structure preferably:

  • represents the composition of employees, enhancing inclusivity

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

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

• A committee’s role includes:

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

  • helping to monitor the UoC’s human rights performance

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

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

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

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

  • has knowledge about the human rights policy

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

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

• list of members of the employee committee or employee representation

• records of meetings and actions

• records of election procedures.

Auditors should confirm:

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

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

Useful Resources

N/A

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

How do I interpret this requirement?

• The policy is:

  • distributed to all employees

  • available for all employees to access

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

• Informing employees about their human rights can help:

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

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

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

• Training for employees on the policy should include:

• an understanding of the significance of the human rights policythe rights and responsibilities that the policy includeshow to report human rights violations or concerns through the UoC’s grievance mechanism

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

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

• Records of training attendance and content should be maintained.

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

• records of the training, including attendees and topics covered

• policy available for employees in an accessible format.

Auditors should confirm:

• employees understand the purpose and contents of the policy;

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

Useful Resources

N/A

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

How do I interpret this requirement?

• The policy can be published:

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

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

• through local media or social media

• through letters to suppliers

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

• The policy should be:

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

  • included in contracts and agreements with suppliers.

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

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

  • anyone in the supply chain

  • local community members

  • local NGOs and community organisations.

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

• publication of the policy

Auditors should confirm:

• that the policy is publicly available and easily accessible;

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

Useful Resources

N/A

3.2.1 The UoC shall not engage in or support forced labour.

How do I interpret this requirement?

• Forced labour can take many forms and can include:
  • work that is exacted from any person under the threat of any penalty:
    • penalties do not need to actually take place for forced labour conditions to occur. The threat itself of the penalty or any other type of retaliation, as well as the penalty itself, constitutes forced labour
    • penalties and other types of retaliation include but are not limited to the following (adapted from ILO Handbook on Forced Labour3333ILO (2015), Combating Forced Labour: A Handbook for Employers and Business. Available at: https://www.ilo.org/media/441596/download):
      • isolation, restriction of movement, confinement or imprisonment
      • physical and sexual violence against employees, family or close associates 
      • abusive working and living conditions
      • excessive overtime 
      • financial penalties, withholding of wages 
      • shift to even worse working conditions, removal of rights or privileges 
      • exclusion from future employment 
      • deprivation of food, shelter or other necessities 
      • denunciation to authorities such as police or department of immigration, deportation 
      • any other type of physical, mental or social harm
  • work for which the person has not offered himself or herself voluntarily, including where employees are not allowed to terminate employment at any time
  • the use of deception or other forms of coercion, including where employees are not informed of working conditions prior to or during employment
  • the use of exploitative loans to prevent employees from leaving their jobs. This is also referred to as debt bondage, which can occur when employees:
    • incur debts related to employer loans with high interest rates
    • are forced to pay off recruitment fees or associated costs 
    • are forced to pay high portions of their salaries towards employer provided accommodation or supplies purchased at an inflated cost at employer-run stores.
• The wording ‘or support’ in the indicator means that the UoC:
  • does not use any suppliers, subcontractors or other workers who are in any way involved in a system of forced labour
  • does not engage in forced labour through any other third parties or business relationships.

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

• employee contracts

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

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

• records from internal audits.

Auditors should confirm:

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

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

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

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

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

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

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

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

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

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

  • recruitment and workplace policies

  • wage and payroll records

  • overtime records

  • employee committee records

  • grievance mechanism records.

Useful Resources

• 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/

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

How do I interpret this requirement?

• The remediation framework is set out in Appendix 10, including timelines, corrective action and reporting obligations.
• Remediation of forced labour:
  • will vary depending on the situation and the needs of the employee in question
  • always takes into account the best interest of the employee, respecting their wishes and protecting their privacy
  • is ideally carried out in consultation with local experts, such as NGOs.
• When remediating a case of forced labour, there can be different steps in the process, which can include:
  • immediate actions to safeguard the employee, for example removing them to a safe location
  • medium term actions to develop a plan to provide appropriate remedy to the victim, including but not limited to:
    • restoration of original job terms
    • wage repayment or other compensation
    • medical or other care as necessary
    • repatriation or other steps deemed necessary
  • long term actions to enact and monitor the plan, which can take up to several years.

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

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

  • implementing measures to prevent future recurrence

  • considering working with local experts on this corrective action.

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

  • provide support for the development of a remediation plan
  • help in implementing the remediation plan
  • help to implement corrective actions to prevent recurrence.
• These potential partners can include:
  • local NGOs
  • individual experts
  • community liaisons/leaders
  • government offices
  • supply chain partners, or others.
• Potential support that these partners can provide could include:
  • training
  • improved access to social services and education
  • advocacy
  • direct financial support or other support for the affected person and their families to find other sources of income.

Organisation Type	Potential Services to Remediate Child Labour or Forced Labour
Human rights organisations or expert consultants	– Support with identification of the affected person(s)  – Support for remediation plan development  – Human rights and worker rights training – Addressing root causes of abuse
Unions or worker organisations	– Support for remediation plan development – Remediation plan monitoring  – Human rights and worker rights training – Addressing root causes of abuse
Community-based and religious organisations and leaders	– Support services to former child or forced labourers – Advocacy and awareness raising regarding external drivers of the risk of child or forced labour—for example local advocacy with the government to provide access to schools, or campaigns against child labour as a cultural practice
School leadership and staff	– Facilitate access to education for former child labourers – Support advocacy efforts to address external drivers of child labour with community, parents and children
Healthcare providers	– Medical support to former child or forced labourers  – Input into remediation plan when there are health concerns
Government agencies	– Social support services to former child or forced labourers— for example access to government benefits or social programmes
Buyers and retailers	– Joint efforts to address root causes  – Financial support for remediation and prevention efforts
Industry organisations and multistakeholder groups	– Advocacy for system and national-level change in conditions that lead to child or forced labour or other human rights abuses – Joint efforts to address root causes

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

• documented remediation procedures
• records and documents of any remediation process that has taken place
• records and documents of any corrective actions that have been put into place
• documented monitoring system in place.

Auditors should confirm:

• existence of remediation procedures;
• knowledge and capacity of staff to implement remediation procedures, or availability of external capacity;
• the ability of the site to monitor any corrective actions within their management system;
• knowledge and capacity of staff to develop corrective actions, where necessary;
• amended contracts with recruitment agencies, where relevant.

Useful Resources

• 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

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

How do I interpret this requirement?

• The UoC is responsible for initial screening of recruitment agencies, including:
  • checking that they comply with relevant regulations, which includes:
    • national labour laws
    • employment rights
    • applicable laws in the country of operation, for example, some countries have specific regulations for recruitment and employment agencies
  • verifying their licence or certificate to operate, where these systems exist:
    • in some countries and sectors, licensing rules apply. For example, in the UK, an agency supplying labour in agriculture, horticulture, shellfish gathering or food processing and packaging may need to be licensed by the Gangmasters & Labour Abuse Authority (GLAA)3434NIBusinessInfo.co.uk, Employment Agencies and Employment Businesses. Available at: https://www.nibusinessinfo.co.uk/content/licences-employment-agencies
  • checking that they comply with the indicators directly addressing recruitment agencies in the ASC Farm Standard:
    • indicator 3.2.4: employees’ original identity documents are not retained
    • indicator 3.2.5: employees are allowed to terminate their employment
    • indicator 3.2.6: employees do not have any part of their salary, property or benefits unlawfully withheld
    • indicator 3.2.7: employees are not charged any fees associated with recruitment
    • indicator 3.2.8: prison labour is not used
    • indicator 3.4.1: no discrimination in recruitment
    • indicator 3.4.3: not testing for pregnancy or virginity
    • indicator 3.4.4: medical tests are only conducted during recruitment if required for the function of the job or by national law;
  • verifying their compliance with any contractual agreements in place between the UoC and the recruitment agency.
• The UoC is also responsible for continued monitoring of recruitment agencies, including annually reviewing their:
  • licence to operate
  • compliance with applicable regulations
  • compliance with the relevant ASC Farm Standard indicators
  • compliance with any contractual agreements in place.
• The UoC can outsource this screening and monitoring to subcontracted professionals, such as acknowledged NGO licensing programmes.
• When recruitment agencies are used for hiring migrant employees, a Memorandum of Understanding (MoU) and terms and conditions can be agreed between the UoC and recruitment agency detailing the conditions under which foreign migrant employees will be hired.

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

• records of screening of recruitment agencies, both upon engagement of the agency and also on an ongoing basis
• copies of valid, up-to-date licences of recruitment agencies
• contracts with recruitment agencies
• employee contracts for those who have been recruited by recruitment agencies.

Auditors should confirm:

• whether or not recruitment agencies have been used by the UoC;
• that a recruitment agency screening process is in place;
• terms and conditions of employment for those who have been recruited through recruitment agencies;
• if any foreign migrant employees have been recruited through agencies;
• if terms and conditions and an MoU are in place for the recruitment of migrant employees;
• employees’ perceptions of the recruitment process;
• that recruitment agencies used have not been associated with any bad practices by local labour unions or other organisations.

Useful Resources

N/A

3.2.4 The UoC shall ensure that original identity documents are not retained, including by any recruitment agencies used. If a secure storage option for identity documents is provided, the UoC shall ensure that:

1. it is the choice of the employee to use the storage, and;
2. stored items are logged, and;
3. employees have free access to the storage.

How do I interpret this requirement?

• The retention of identity documents is a violation of employees’ basic rights.
• When employees cannot easily prove their identity or citizenship status or have the documents required to travel, they become more vulnerable to exploitation.
• Employees should always either possess or have access at any time to their original personal documentation, including documentation needed to terminate employment, and to leave the country and travel freely. For example:
  • ID cards
  • passports
  • visas
• If a recruitment agency is involved and stores employees’ personal documentation there, it is still the responsibility of the UoC to ensure that the conditions outlined in the indicator are met.

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

• storage solutions for personal documents
• policies about the retention of employee documents.

Auditors should confirm:

• whether or not employees store personal documents anywhere at the UoC;
• that employees are not asked to hand over any personal documents.

Useful Resources

N/A

3.2.5 The UoC shall ensure that employees, whether employed directly or through a recruitment agency, are allowed to terminate their employment according to their employment terms and conditions.

How do I interpret this requirement?

• The word ‘directly’ means an employee who is employed by the UoC, rather than by a recruitment agency.
• The UoC is responsible for ensuring that any employees who are working at the UoC, but recruited and/or contracted by a recruitment agency are also allowed to terminate their own employment.
• The UoC should also be aware of and comply with local labour laws and regulations related to employment termination.
• The UoC has fair and transparent employment agreements (see Criterion 3.7) that are:
  • documented
  • specify termination conditions, which may include:
    • providing written notices
    • maintaining records of the process.
• Examples of unacceptable terms and conditions relating to terminating employment are:
  • a defined period where employees are not allowed to resign or terminate their employment
  • employees are not allowed to resign without permission from management
  • employees are required to pay fees in order to resign or terminate their employment
  • anything in the terms and conditions that is contrary to local labour laws and regulations.
• To ensure that any disagreements or conflicts about termination are reported without fear of retaliation, and resolved, it is also important that there are accessible and effective grievance mechanisms in place (see Criterion 3.12).

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

• employee contracts that include conditions for termination of employment
• records of resignation
• evidence that recruitment agencies allow employees to terminate their employment.

Auditors should confirm:

• whether or not employees are aware of how they can terminate their employment if they wish, and what the terms and conditions are for doing so.

Useful Resources

N/A

3.2.6 The UoC shall ensure that employees, whether employed directly or through a recruitment agency, do not have any part of their salary, property, or benefits unlawfully withheld.

How do I interpret this requirement?

• A common tactic in forced labour situations can be to withhold salary, property or benefits, to pressure an employee to stay in employment.
• Benefits can be:
  • those allowed by law
  • defined by contract
  • defined by collective bargaining agreement
  • inclusive of, for example:
    • paid time off
    • sick leave
    • health insurance
    • private pensions scheme
  • can include bonuses.
• There are situations where withholding salary, property or benefits are legally required, and so allowed under this indicator. For example:
  • Salary withholdings, as required by the government. For example, part of a salary is sometimes withheld by a government for:
    • statutory pensions
    • health insurance
    • taxes
    • or a government can sometimes require the withholding of salary to pay overdue childcare support costs to another parent
    • or a government can require the withholding of salary to pay overdue taxes.
  • Salary deductions, as defined in a contract or collective bargaining agreement, that are agreed by both parties. For example, an agreed voluntary deduction for housing costs could be allowable.
  • Bonuses, which are considered optional and additional to the agreed salary and benefits. However, if clearly defined performance targets related to a bonus payment have been achieved, then the bonus cannot be withheld.
• The UoC is responsible for ensuring that any employees who are working at the UoC but recruited and/or contracted by a recruitment agency do not have any parts of their salary, property or benefits withheld unlawfully.

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

• employee contracts that include information about any wage deductions
• payslips and payroll records
• evidence that recruitment agencies do not unlawfully withhold any salary, property or benefits.

Auditors should confirm:

• contracts do not contain any unlawful deductions;
• wage terms listed in contracts match payslips or payroll records;
• any deductions made from wages such as taxes, or social security, are lawful, transparent, and authorised by the employee;
• employees are aware of the purpose of any deductions being made.

Useful Resources

N/A

3.2.7 The UoC shall ensure that employees, whether employed directly or through a recruitment agency, are not charged any fees associated with recruitment, employment or travel and repatriation.

How do I interpret this requirement?

• Charging employees fees for recruitment or during employment can lead to debt bondage and makes employees vulnerable to exploitation and coercion.
• If fees are found, the UoC shall reimburse them as soon as possible.
• Following are a list of recruitment fees and related costs as determined by the ILO and adapted from their guidance3535ILO (2019), General Principles and Operational Guidelines for Fair Recruitment and Definition of Recruitment Fees and Related Costs. Available at: https://www.ilo.org/sites/default/files/wcmsp5/groups/public/@ed_protect/@protrav/@migrant/documents/publication/wcms_703485.pdf that may be incurred as a result of the recruitment process and that are not to be charged to potential or actual employees:
  • recruitment fees:
    • payment for services provided by a recruitment agency to match employers with applicants for employment
    • payment for the recruitment of potential employees for the purpose of employing them to perform work for a third party
    • payments to sub-agents as a finder’s fee
    • payments required to cover costs of recruitment fees from employees
    • payments to cover costs of recruiting referral and placement services, for example advertising positions or conducting interviews.
  • related costs are expenses related to recruitment and placement within or across national borders, and when related to the recruitment process and initiated by a recruitment agency or employer or an agent acting on behalf of those parties, are not paid by the employee or potential employee. These can include:
    • medical costs: payments for medical examinations, tests or vaccinations
    • insurance costs: costs to insure the life, health or safety of an employee, including enrolment in migrant welfare funds
    • costs for skills and qualification tests, for example: language tests
    • costs for training and orientation: including on-site and pre-departure or post-arrival orientation of new employees
    • travel and lodging costs within the recruitment process, including for training, interviews, consular appointments, relocation, and return or repatriation
    • application and service fees that are required for the recruitment process, including fees for services in preparing, obtaining or legalising workers’ employment contracts, identity documents, passports, visas, background checks, security and exit clearances, banking services, and work and residence permits
    • equipment costs: for tools, uniforms, safety gear and other equipment needed to perform assigned work safely and effectively
    • this list of costs is not exhaustive.
• Undisclosed costs are also never allowed, such as previously undisclosed cost recovery-fees for expenses after they occur.
• The UoC is responsible for ensuring that any employees who are working at the UoC but recruited and/or contracted by a recruitment agency have not been charged any fees or costs, as outlined above.

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

• employee contracts
• contracts with any recruitment agencies that contain an agreement that workers will not be charged any fees towards recruitment at any stage of recruitment
• payslips and pay records.

Auditors should confirm:

• whether a recruitment agency has been used for recruitment;
• that wage terms listed in contracts match payslips or payroll records and there are no hidden fees being deducted;
• whether contracts of migrant workers contain clauses about repatriation;
• employees’ perceptions of the nature and conditions of their recruitment process.

Useful Resources

• ILO (2019), General Principles and Operational Guidelines for Fair Recruitment and Definition of Recruitment Fees and Related Costs. Available at: https://www.ilo.org/sites/default/files/wcmsp5/groups/public/@ed_protect/@protrav/@migrant /documents/publication/wcms_703485.pdf

3.2.8 The UoC shall not engage in prison labour, including where any recruitment agencies are used.

How do I interpret this requirement?

• Prison labour often involves the use of incarcerated individuals under conditions that can amount to forced labour.
• Such employees may not have the freedom to choose their employment, which may be assigned as a condition of their incarceration or reintegration.
• This indicator applies to any person held involuntarily, which includes:
  • unauthorised immigrants
  • refugees
  • people awaiting trial or sentence
  • prisoners
  • people in drug rehabilitation programmes
  • people held for retraining
  • people held for political reorientation.
• This indicator also applies to reintegration programmes where work may be voluntary and persons held/prisoners may receive a salary.
  • Although the intention of such programmes is to facilitate an inmate’s transition back into society, ASC does not allow such programmes under the ASC Farm Standard as it is not in a position to monitor the fairness of such practices and ensure that there is no exploitation of people on a global scale.
• The UoC is responsible for ensuring that any recruitment agencies used are not engaged in prison labour for employees working at the UoC.

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

• employee contracts
• written agreements with any recruitment agencies.

Auditors should confirm:

• whether any recruitment agencies are used, and where they source employees from.

Useful Resources

N/A

3.2.9 The UoC shall have a policy if providing loans and advances, in which the terms and conditions are not used to bind employees to employment. The policy shall be communicated to employees in an understandable manner.

How do I interpret this requirement?

• This indicator only applies if loans and/or advances are provided by the UoC to its employees.
• The policy should be documented and accessible and could for example include the following items:
  • eligibility
  • types of financial assistance available (for example, loans for specific purposes such as medical emergencies, education, or unexpected expenses and advances)
  • approval process
  • repayment terms
  • applicable interest and fees (note: interest cannot be charged on advances)
  • confidentiality
  • transparency.
• Communicating in an understandable manner means that the UoC ensures that all
  employees understand the policy.

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

• loans and advances policy
• payslips and pay records
• signed agreements with the employees who are entering into the loan.

Auditors should confirm:

• that employees understand the conditions around loans and advances.

Useful Resources

N/A

3.2.10 The UoC shall allow employees to move around the workplace to freely access sanitary
facilities and have access to drinking water during their shift.

How do I interpret this requirement?

• The UoC should ensure that employees’ access to drinking water is unrestricted.
• Free movement of employees to use sanitary facilities and access water:
  • helps prevent:
    • dehydration
    • heath stress
    • related health issues that can arise when workers are denied access to water
    • accidents and injuries caused by discomfort or dehydration.
  • is sometimes guided by health and safety or food safety procedures. For example, the farm may need employees to change clothes for food preparation or move to a designated area for health and safety reasons.
• Where employees have special needs, for example health needs that require frequent food and water, these needs are accommodated.
• Employee representation and clear grievance mechanisms (Criterion 3.12) can support these practices.

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

• clearly labelled sanitary facilities and drinking water.

Auditors should confirm:

• that employees are aware of this requirement and feel able to access these basic needs.

Useful Resources

N/A

3.2.11 The UoC shall not keep employees involuntarily at the site outside of a shift, including confining them in employee accommodation.

How do I interpret this requirement?

• Keeping employees trapped at the workplace is a key indication that there is forced labour.
• Preventing this can include that employers communicate to employees that they are allowed to:
  • leave the worksite
  • leave their accommodations when living on site, when they are not on their shift.
• This does not apply where staying on site is part of the agreement of contracts, for example a two-week shift on a feed barge followed by one-week off.

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

• employee contracts
• working hours records.

Auditors should confirm:

• that employees understand that they are free to leave the site when they are not on their shifts;
• that there are no restrictions evident, such as locked gates, or external locks on dormitories.

Useful Resources

N/A

3.2.12 The UoC shall offer employees free-of-charge and safe transportation for employees to leave the site when it is not easily accessible.

How do I interpret this requirement?

• In order to ensure that the employee is freely able to leave the workplace as per Indicator 3.2.11, the UoC provides reasonable transportation for employees to reach nearby communities when:
  • there is no public transportation
  • there are no easily accessible, available and affordable private transportation options.
    • the UoC should agree with employees about what easily accessible and affordable means in their context. Employee representation can support with this.
• An example of reasonable transportation to leave the premises would be the provision of a free shuttle at the start and end of each shift to the nearby towns where employees live, in areas where there is no public transport.
• Where the workplace is remote, transportation may only be necessary at the end of an agreed upon time period, such as a shift.

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

• company policy about transport for remote sites
• transport logs / schedules
• vehicle maintenance logs
• third party transport contracts.

Auditors should confirm:

• whether there are public transport options to the site;
• how employees travel to and from the work site;
• available vehicles for transport appear safe and sufficient;
• there are no transport fees in wage records.

Useful Resources

N/A

3.2.13 The UoC shall not require employees to reside in employee accommodation as a
condition of employment for easily accessible sites.

How do I interpret this requirement?

• The UoC may provide housing for employees that meets the terms of Criterion 3.11: Employee Accommodation.
• When the UoC provides housing, whether it owns, leases or contracts the accommodation from a service provider, the UoC communicates to employees that living in this housing is optional for them.
• The freedom for employees to choose where they live respects employees’ dignity and autonomy and prevents coercion and potentially trapping them in exploitative conditions.

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

• employee contracts.

Auditors should confirm:

• whether the worksite is easily accessible via public or private transport
• how many employees live in accommodation provided by the UoC
• that the decision to reside in accommodation provided by the UoC is the employee’s own choice

Useful Resources

N/A

3.2.14 The UoC shall not require family members of owners or employees to work. Where family members have the opportunity to work, the UoC shall ensure they are separately and voluntarily contracted.

How do I interpret this requirement?

• If family members wish to be employed, the UoC respects their right to make independent employment decisions by contracting them separately.
• This indicator can be met by:
  • implementing independent recruitment processes for family members, similar to how one would hire any other employee
  • avoiding any forms of coercion or pressure to compel family members to work for the farm.

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

• employee contracts.

Auditors should confirm:

• whether family members live on site, which can increase the likelihood that they may work at the UoC;
• everyone working at the UoC has an employment contract.

Useful Resources

N/A

3.2.15 The UoC shall not require employees to purchase from employer-operated stores or services as a condition of employment. Where alternative stores or services are not available due to the remote location, the UoC shall ensure that goods and services are sold at fair and reasonable prices.

How do I interpret this requirement?

• The words ‘employer-operated’ here includes the UoC itself and any services that they may contract to operate a store or service.
• Requiring employees to purchase goods or services from employer-operated stores or services is a form of economic coercion and can limit their economic freedom and choices.
• Prices of goods and services should be based on an understanding of reasonable pricing of the same goods and services in the local market. Employers can also make this transparent by providing a cost breakdown of these goods and services.

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

• employee contracts
• payslips and pay records
• any cost breakdown of goods and services in the local market.

Auditors should confirm:

• if there are employer-operated stores and services on site;
• the prices of goods at these facilities;
• if any deductions are made from wages for goods purchased on site;
• employees’ perception of their ability to choose where to purchase goods or services.

Useful Resources

N/A

Child Labour Under the ASC standards

Criterion 3.3 – Child Labour

Throughout this criterion, when we refer to the age of the child, we are referring to a full Western calendar year, where the child is 0 at birth.

3.3.1 The UoC shall not engage in child labour. Child labour is work that:

• is mentally, physically, socially or morally dangerous and harmful to children; or
• interferes with their schooling.

How do I interpret this requirement?

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

  • within the UoC’s production sites and facilities

  • as a result of actions taken by recruitment agencies for the UoC

  • within the UoC’s supply chain.

• A child is anyone under the age of 18.

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

  • all children under the age of 13 taking part in any economic activity;

  • all children aged 13 and 14 years old engaged in more than light work as stipulated by national, regional and/or local regulations;

  • all children under the age of 18 involved in work that is mentally, physically, socially or morally dangerous and harmful to children or interferes with their schooling.

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

Table 2. Ages of children and type of work permitted:

Allowed type of work	Hazardous work	Non-hazardous work	Light work
Adult Employee aged 18 or older	Allowed	Allowed	Allowed
Young Employee between 15 – 17 years old (and older than the age of mandatory schooling)	Not allowed	Allowed	Allowed
Child engaged in light work between 13 and 14 years old (and anyone younger than the age of mandatory schooling)	Not allowed	Not allowed	Allowed
Child under 13 years old	Not allowed	Not allowed	Not allowed

• 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.’3636ILO, What is Child Labour? Available at: https://www.ilo.org/international-programme-elimination-childlabour-ipec/what-child-labour
• 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.

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

• age verification records
• employee contracts
• job descriptions of all employees.

Auditors should confirm:

• 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.

Useful Resources

• 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

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

How do I interpret this requirement?

• The remediation framework is set out in Appendix 10, including timelines, corrective action and reporting obligations.
• Remediation of child labour:
  • will vary depending on the situation and the needs of the child in question
  • always takes into account the best interest of the child
  • is ideally carried out in consultation with local experts such as NGOs.
• When remediating a case of child labour, there can be different steps in the process, which can include:
  • immediate actions to safeguard the child, for example removing them from the work situation to a safe location and locating their parents;
  • medium-term actions to develop a plan to protect the child both in the short and longer term and provide appropriate remedy to the victim, including but not limited to:
    • medical or other care as necessary
    • ensuring they are being safely looked after
    • access to adequate resources for the child and for their education;
  • long-term actions to enact and monitor the plan, which can take up to several years.
• The UoC should engage in a process of developing corrective actions to prevent child labour reoccurring. This can include:
  • performing an analysis of what went wrong in their system to prevent it
  • implementing measures to prevent future recurrence
  • considering working with local experts on this corrective action. 
• Potential measures to prevent child labour include:
  • robust age verification system prior to employment
  • facilitate children’s access to school
  • employee education about child labour and child rights
  • facilitate access to childcare for employees
  • pay workers a living wage
  • promote community awareness on child labour
  • provide literacy and numeracy training for employees
  • birth registration campaign.
• Given the complexity of human rights issues, partnership with external partners is often necessary to provide effective remediation. They can:
  • provide support for the development of a remediation plan
  • help in implementing the remediation plan
  • help to implement corrective actions to prevent recurrence.
• These potential partners can include:
  • local NGOs
  • individual experts
  • community liaisons/leaders
  • government offices 
  • supply chain partners, or others.
• Potential support that these partners can provide could include:
  • training
  • improved access to social services and education
  • advocacy
  • directly financial support or other support for the affected person and their families to find other sources of income.

Organisation Type	Potential Services to Remediate Child Labour or Forced Labour
Human rights organisations or expert consultants	– Support with identification of the affected person(s)  – Support for remediation plan development  – Human rights and worker rights training – Addressing root causes of abuse
Unions or worker organisations	– Support for remediation plan development – Remediation plan monitoring  – Human rights and worker rights training – Addressing root causes of abuse
Community-based and religious organisations and leaders	– Support services to former child or forced labourers – Advocacy and awareness raising regarding external drivers of the risk of child or forced labour—for example local advocacy with the government to provide access to schools, or campaigns against child labour as a cultural practice
School leadership and staff	– Facilitate access to education for former child labourers – Support advocacy efforts to address external drivers of child labour with community, parents and children
Healthcare providers	– Medical support to former child or forced labourers  – Input into remediation plan when there are health concerns
Government agencies	– Social support services to former child or forced labourers— for example access to government benefits or social programmes
Buyers and retailers	– Joint efforts to address root causes  – Financial support for remediation and prevention efforts
Industry organisations and multistakeholder groups	– Advocacy for system and national-level change in conditions that lead to child or forced labour or other human rights abuses – Joint efforts to address root causes

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

• documented remediation procedures

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

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

• documented monitoring system in place.

Auditors should confirm:

• existence of 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.

Useful Resources

• 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

3.3.3 The UoC shall implement an age verification mechanism for all employees and shall maintain records of verified ages.

How do I interpret this requirement?

• 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:

  • preferably an official photo ID card such as a national ID or passport, or

  • birth documentation.

• If there are concerns that the identification may not be authentic, the employer can interview the applicant including information on their background (for example about schooling history, family and family members) to make sure that the potential employee is being honest about their age, and the information provided is plausible.

• If there is no identification available, the employer can interview family members and community members, using significant events to help to place the year of the person’s birth. For example, finding out if the person was born before or after the big flood in the village.

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

• age verification records.

Auditors should confirm:

• how management implements age verification

• the ages of employees.

Useful Resources

N/A

3.3.4 The UoC shall report to ASC if the UoC is a family farm and if any children work on the site, according to ASC data submission procedures.

How do I interpret this requirement?

• This is a reporting requirement, not a disclosure requirement, which means that all data is held confidentially by ASC, who does not share it publicly.

• Companies should never publicly share personal employee data.

• The information collected through this reporting requirements will enable ASC to:

  • gain insights into family farms where children may help out their parents, which will inform the future development of ASC’s child labour requirements

  • foster open discussions about the challenges of family farms.

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

• confirmation of data uploaded to MyASC.

Auditors should confirm:

• that data uploaded to MyASC is consistent with results of the wage gap analysis.

Useful Resources

N/A

3.3.5 The UoC shall not employ children under the age of 13 under any circumstances.

How do I interpret this requirement?

• Employing children under the age of 13 carries risks for their physical, mental, social and moral development and wellbeing.

• There are no circumstances in which employing a child under the age of 13 is permitted under the ASC Farm Standard.

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

• age verification records

• employee contracts.

Auditors should confirm:

• whether there are any children living at the site or otherwise present;

• whether employee contracts match the age verification records;

• employees’ knowledge of any children having been on site.

Useful Resources

N/A

3.3.6 The UoC ensure any child employed aged 13 and 14, or below the age of completion of mandatory schooling, only conducts light work if permitted by applicable law and where the following conditions are met:

a)

a risk assessment is conducted to determine that the work is non-hazardous; and

b)

the child receives appropriate training prior to work; and

c)

the child receives appropriate supervision; and

d)

parental/guardian consent is given; and

e)

the work does not interfere with schooling; and

f)

the work is for limited hours (see Indicators 3.3.9 and 3.3.14)

How do I interpret this requirement?

• The age of completion of mandatory schooling refers to the national, legal age at which children are allowed to leave school.

• If children are below this age, they cannot be employed as young employees and come under the category of only being allowed to conduct light work. For example, if school is mandatory in a country until the age of 16, a 15-year-old child may not be employed as a young employee, but only employed for light work.

• Allowing children to conduct light work means that there are stricter working conditions in place than for other employees, including:

  • the type of work they are able to do

  • the hours they can work

  • the extra support that they need

  • the place that work must have in the wider context of their lives.

• Children aged 13 and 14 may be employed by the UoC for light work when:

  • they are appropriately supervised and trained by adults

  • the work is non-hazardous

  • the work does not interfere with their schooling

  • the work does not take place during normal school hours

  • they have parental/guardian consent to work

  • work is limited to specific times of the day.

• Children helping parents at home with daily chores or participating in other activities unrelated to the function of the UoC are not covered in the scope of the ASC Farm Standard.

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

• age verification records

• job and activity descriptions

• training records

• working hours records

• evidence of parental/guardian consent.

Auditors should confirm:

• the kinds of tasks that all employees are carrying out;

• whether there are any children employed by the UoC;

• whether there are any children living at the UoC with their families;

• who provides supervision of young employees and how;

• young employees’ description of their tasks and working hours.

Useful Resources

• United States Department of Labor: The Findings on the Worst Forms of Child Labour report (updated annually): https://www.dol.gov/agencies/ilab/resources/reports/child-labor/findings

3.3.6 The UoC shall ensure any young employees only conduct work where the following conditions are met:

a)

a risk assessment is conducted to determine that the work is non-hazardous; and

b)

the young employee receives appropriate training prior to work; and

c)

the young employee receives appropriate supervision; and

d)

parental/guardian consent is given; and

a)

work is for limited hours (see Indicators 3.3.9, 3.3.10, 3.3.15-3.3.18).

How do I interpret this requirement?

• The UoC:

  • understands whether a child is allowed to be classed as a young employee

  • understands the legal requirements for children to attend school in their country of operation

  • ensures that young employees do not engage in work that is hazardous

  • complies with the working hours limits set out in this criterion.

• Children aged 15, 16 and 17 may be employed by the UoC as young employees, as long as:

  • the work is not hazardous

  • they are appropriately supervised and trained

  • they are above the age of mandatory schooling

  • they have parental/guardian consent to work

  • the national, regional, and/or local law permits children to work.

• Children below the age of completion of mandatory schooling are not allowed to be employed as young employees but may be permitted to
  conduct light work. For example, if school is mandatory in a country until the age of 16, a 15-year-old child may not be employed as a young employee, but only employed for light work.

• Children are prohibited not only from any work that has been deemed hazardous for adults, but also from work that may not be hazardous for adults but that may be for children, for example:

  • a job that requires long periods of isolation without human contact, which can cause mental harm such as stress, anxiety and depression to a child;

  • physical work carrying heavy loads, which can lead to physical injury and permanent damage to a body that is still developing.

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

• risk assessment documents

• training records

• age verification records

• job and activity descriptions

• evidence of parental/guardian consent.

Auditors should confirm:

• the kinds of tasks that all employees are carrying out;

• whether there are any children employed by the UoC;

• whether there are any children living at the UoC with their families;

• who provides supervision of young employees and how;

• young employees’ description of their tasks and working hours.

Useful Resources

• United States Department of Labor: The Findings on the Worst Forms of Child Labour report (updated annually): https://www.dol.gov/agencies/ilab/resources/reports/child-labor/findings

3.3.8 The UoC shall facilitate school attendance for any children living at the site.

How do I interpret this requirement?

• Ensuring access to education helps prevent child labour.

• No child under 18 working at the UoC may be:

  • deprived of educational opportunities (including attending school during school hours or after school activities)

  • forced to leave, drop out, or otherwise depart school early

  • forced to combine school attendance with long working hours.

• When employees and their families live on site, the UoC supports access to schools for employees’ children. This may mean, for example:

  • providing parents the time to drop off and pick up their children

  • providing a bus service or bicycles to reach school when the nearest school is outside walking distance

  • raising awareness among employees about the importance of children attending school.

• If children live off the UoC site, but on another site or at accommodation provided by the UoC, this indicator applies.

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

• age verification records

• information about which children live on the site.

Auditors should confirm:

• whether there are any children living on the site with their families;

• the availability of schools in the local area

• whether children living on site are attending school and how they get there.

Useful Resources

N/A

3.3.9 The UoC shall ensure that all employees under the age of 18 have at least 48 consecutive hours of rest within a seven-day 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.

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

• age verification records

• working hours records

• payslips and pay records

• young employee contracts.

Auditors should confirm:

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

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.10 The UoC shall not allow overtime hours for employees under the age of 18.

How do I interpret this requirement?

• Any hours over and above the standard contracted hours are considered overtime. For example, an employee could be contracted to a standard four hour week and if they were to work the fifth hour, this would be deemed as overtime.

• Employees under the age of 18 are not allowed to work any hours over their standard contracted hours.

• 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.

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

• age verification records

• working hours records

• payslips and pay records

• young employee contracts.

Auditors should confirm:

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

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.11 The UoC shall ensure that children conducting light work:

a)

do not work more than 14 hours per week (excluding breaks); and

b)

do not work more than 2 hours per day on a school day (excluding breaks); and

c)

do not work more than 3 hours per day on a non-school day (excluding breaks); and

d)

have a combined time for school, work and transportation to and from school and work totalling less than 8 hours per day (excluding breaks).

Indicator applicability: children aged 13 or 14, or below the age of completion of mandatory schooling.

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.

• Children engaged in light work have restrictions on the number of hours that they can work:

  • on a school day to ensure that work does not interfere with their schooling

  • on a non-school day and across a week to ensure that they:

    • are not working an excessive number of hours

    • have adequate time for education, rest and play.

• Requiring that a child conducting light work spends no more than 8 hours per day at school, work and on transportation is important for allowing them to have adequate rest and leisure time.

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

• age verification records

• working hours records

• payslips and pay records

• young employees’ contracts.

Auditors should confirm:

• whether anyone under the age of 15 or below the age of completion of mandatory schooling is employed at the UoC;

• working hours and rest hours of employees under the age of 15 or below the age of completion of mandatory schooling;

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.12 The UoC shall ensure that where children conduct light work for more than 2 hours on a non-school day, an additional 0.5-hour break period is included within the shift.

Indicator applicability: children aged 13 or 14, or below the age of completion of mandatory schooling.

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.

• Children engaged in light work should have regular breaks.

• Where a child is conducting light work for a period of more than 2 hours (only applicable on a non-school day under the ASC Farm Standard), they shall be given a 0.5-hour break period.

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

  • Child A works on a Saturday morning from 9:00 – 11:00. She has a 30-minute break and works again from 11:30 – 12:30.

    • Child A’s example is compliant because she is working no more than 3 hours on a non-school day, and she is given a break of 0.5 hours within the work shift.

  • Child B works on a Tuesday afternoon from 15:00 – 17:00 and then goes home.

    • Child B’s example is compliant because he is working no more than 2 hours on a school day.

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

  • Child C works on a Saturday morning from 9:00 – 11:30 and then goes home.

    • Child C’s example is non-compliant because she has worked more than 2 hours without a break.

  • Child D works on a Tuesday afternoon from 15:00 – 17:30 and then goes home.

    • Child D’s example is non-compliant because he has worked more than 2 hours on a school day.

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

• age verification records

• working hours records

• payslips and pay records

• young employees’ contracts.

Auditors should confirm:

• whether anyone under the age of 15 or below the age of completion of mandatory schooling is employed at the UoC;

• working hours and rest hours of employees under the age of 15 or below the age of completion of mandatory schooling;

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.13 The UoC shall ensure that children conducting light work have a daily rest period of at least 14 consecutive hours within a 24-hour period.

Indicator applicability: children aged 13 or 14, or below the age of completion of mandatory schooling.

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 children are not working.

• A rest period of 14 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 should be maintained, e.g.:

• age verification records

• working hours records

• payslips and pay records

• young employees’ contracts.

Auditors should confirm:

• whether anyone under the age of 15 or below the age of completion of mandatory schooling is employed at the UoC;

• working hours and rest hours of employees under the age of 15 or below the age of completion of mandatory schooling;

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.14 The UoC shall ensure that children conducting light work do not work between 8pm and 6am.

Indicator applicability: children aged 13 or 14, or below the age of completion of mandatory schooling.

How do I interpret this requirement?

• Working at night can be hazardous, particularly for children:

  • they can be tired and therefore more susceptible to accidents

  • working conditions at night are often more dangerous and not suitable for children.

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

• age verification records

• working hours records

• payslips and pay records

• young employees’ contracts.

Auditors should confirm:

• whether anyone under the age of 15 or below the age of completion of mandatory schooling is employed at the UoC;

• working hours and rest hours of employees under the age of 15 or below the age of completion of mandatory schooling;

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

• young employees’ description of their working hours.

Useful Resources

N/A

3.3.15 The UoC shall ensure that young employees:

• do not work more than 40 hours per week; and
• do not work more than 8 hours per day; and
• have a combined time for school, work and transportation to and from school and work totalling less than 10 hours per day.

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling.

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 have restrictions on the number of hours that they can work to ensure that they:

  • are not working an excessive number of hours

  • have adequate time for education, rest and play.

• Requiring that a young employee spends no more than 10 hours per day at school, work and on transportation is important for allowing them to have adequate rest and leisure time.

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

• 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.

Useful Resources

N/A

3.3.16 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.

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling.

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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.3.17 The UoC shall ensure that young employees have a daily rest period of at least 12 consecutive hours within a 24-hour period.

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling.

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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.3.18 The UoC shall ensure that young employees do not work between 10pm and 6am.

Indicator applicability: young employees aged 15 or above and above the age of completion of mandatory schooling.

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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.4.1 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	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

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

• 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

• 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

3.4.2 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.’3737Convention C190 – Violence and Harassment Convention, 2019 (No. 190) (ilo.org)
• Violence and harassment can come in many forms, including:
  • sexual
  • mental
  • verbal
  • physical.
• Examples of harassment in the workplace can include the following3838Workplace bullying and harassment – GOV.UK (www.gov.uk).
  • 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 include3939What sexual harassment is – Sexual harassment – Acas:
  • 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 include4040CCOHS: Violence and Harassment in the Workplace:
  • 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 should be maintained, e.g.:

• 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.

Useful Resources

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3.4.3 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 should be maintained, e.g.:

• 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

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

3.4.4 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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.4.5 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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.4.6 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 should be maintained, e.g.:

• 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.

Useful Resources

N/A

3.5.1 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”4141https://www.ilo.org/media/453896/download#:~:text=A%20risk%20assessment%20is%20simply,and%20members%20of%20 the%20public..
• 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 should be maintained, e.g.:

• 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

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

3.5.2 The UoC shall ensure that the person conducting the site-specific health and safety risk assessment has the necessary competencies, experience and training. In cases where regulatory requirements are defined, the UoC shall ensure that the person conducting the site-specific health and safety risk assessment complies with these requirements.

How do I interpret this requirement?

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

  • understand the:

    • different steps of a risk assessment process

    • health and safety risks inherent in aquaculture operations

    • context of the UoC

    • number of employees and their roles

    • variety of different activities carried out across the site and what they involve;

  • be able to:

    • record risks in a clear and consistent way

    • identify risks in all of the different areas of the site and operations of the UoC

    • identify preventative measures for risks

    • identify mitigation measures for risks

  • have experience conducting health and safety risk assessments

  • have undergone training on conducting health and safety risk assessments. This training can be:

    • ASC training

    • training from an external provider

    • on-the-job training from someone experienced in conducting health and safety risk assessments.

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

• training records

• qualifications of the person conducting the health and safety risk assessment

• health and safety risk assessment.

Auditors should confirm:

• 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.

Useful Resources

N/A

3.5.3 The UoC shall allow any person the freedom to remove themselves from an unsafe situation without seeking permission and without fear of retribution.

How do I interpret this requirement?

• 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:

  • inadequate safety measures

  • faulty equipment

  • lack of training

  • hazardous substances

  • non-compliance with safety laws

  • anything that makes the employee feel unsafe.

• If an employee feels unsafe, they do not need to ask prior permission to remove themselves from the situation.

• Retribution can take many forms and can be:

  • obvious punishment, for example:

    • physical threats

    • verbal threats or warnings

  • hidden punishment, for example:

    • being ignored for a promotion

    • being refused requests that are unrelated to the unsafe situation

    • hostile treatment.

• Management can communicate to employees that they are able to remove themselves from any unsafe situations, for example through:

  • training

  • information in their contracts

  • verbal explanations.

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

• employee contracts

• health and safety training records

Auditors should confirm:

• employees understand that they are able to remove themselves from unsafe situations without fear of retribution;

• employees understand what unsafe situations may occur and are aware of escape routes and emergency procedures;

• management understand that employees have the right to remove themselves from unsafe situations without fear of retribution.

Useful Resources

N/A

3.5.4 The UoC shall ensure that any person with a medical condition, or who is pregnant, does not conduct hazardous work as determined by the health and safety risk assessment (see Indicator 3.5.1).

How do I interpret this requirement?

• Hazardous work can include:
  • working with chemicals or dangerous substances
  • working at heights or in dangerous situations
  • heavy lifting or work that is physically challenging
  • working with heavy machinery.
• Examples of adjusting working conditions for pregnant women can include:
  • reducing physical stress, this includes limiting the weight that employees are lifting:
    • week 1-19 of the pregnancy: maximum of 10 kilos at a time
    • week 20-29 of pregnancy: maximum of 5 kilos up to 10 times a day 
    • from week 30 of pregnancy, maximum of 5 kilos up to 5 times a day 
    • from week 28 of pregnancy, the employee also shouldn’t bend or kneel more than once an hour
    • up to 6 months after giving birth, any work involving lifting, carrying, pulling, and pushing objects should be slowly built up
• avoiding pregnant women performing tasks under environmental (atmospheric) pressure, such as diving
• not exposing pregnant and breastfeeding mothers to hazardous substances and bacteria that can harm the (unborn) child.

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

• documented health and safety risk assessments.

Auditors should confirm:

• whether there are pregnant women or people with medical conditions working at the UoC;

• whether or not they have been included in the health and safety risk assessment;

• that staff responsible for health and safety have an understanding of the particular risks that face pregnant women and people with a medical condition, and how to mitigate those risks.

Useful Resources

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3.5.5 The UoC shall ensure that any person working on the site receives health and safety training as required to carry out their job. The UoC shall ensure that training is:

a)

free of charge; and

b)

provided in a timely manner; and

c)

repeated on a regular basis; and

d)

conducted during regularly remunerated working hours, or the person is compensated for their time; and

e)

updated as necessary based on new procedures or equipment; and

f)

documented, and records maintained.

How do I interpret this requirement?

• Training is important because it contributes to shared responsibility for health and safety, and a workplace where everyone is protected.

• Training is delivered in a format and language that all employees can understand:

  • provisions are made for anyone who is illiterate

  • the UoC is responsible for ensuring that all employees have understood the training.

• Training is documented so that it is clear who has attended and what they were trained on.

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

• training records demonstrating regular training sessions and content trained on

• attendance records confirming that all employees have been trained.

Auditors should confirm:

• employees understand the different health and safety risks present at the site;

• employees understand good practices around health and safety at the site;

• employees have not paid for the training and it has taken place either during working hours, or they have been paid for the time that they have given to the training.

3.5.6 The UoC shall maintain written records of health and safety accidents and near misses, determine the cause and implement appropriate corrective actions to prevent recurrence.

How do I interpret this requirement?

• An accident is an unexpected event that causes damage, injury or harm.
• A near miss is an incident that had the potential to cause damage, injury or harm, but was prevented4242https://www.reengage.org.uk/about-us/policies-guidelines/accident-incident-and-near-miss-policy. 
• The recording and investigation of both of these is important. By investigating to determine the root cause, the UoC is able to:
  • take corrective actions that will allow the incident not to reoccur
  • spot potential problems and prevent them from occurring in the first place.
• Corrective actions are actions that the UoC can put in place to ensure that the incident does not occur again. Examples are in Table 4 below:

Table 4. Examples of incidents, their cause and the resulting corrective actions:

Incident	Determine the cause	Implement corrective action
Oil is spilt on the feed barge and an employee slips and hits their head	After working on a mechanism on the barge, an employee left the oil can without a lid on and someone knocked it over without noticing.	Assign a dedicated place to safely store oil cans when they are not being used. Ensure employees are trained on this and reminded to safely store equipment. Ensure the appropriate materials are available to clear up oil, if it does spill.
Employee trips over some rope	The rope was left coiled up on the floor.	Set up ropes in a way that people cannot trip over them, or a warning sign in front of any ropes that are a trip hazard.

• There is a difference between immediate corrective action and the corrective actions to take once the root cause has been determined. For example: a fire extinguisher is blocked by a bin being placed in front of the extinguisher:

  • staff take immediate corrective action and move the bin

  • however, the next day they find that someone has moved the bin back. The immediate corrective action did not prevent reoccurrence

  • staff investigate to determine the root cause and find out why the bin was placed there

  • the investigation shows that this is the most ergonomic layout of the workstation and the bin will always be moved back to that location by whoever is using the workstation

  • staff take long-term corrective action and move the fire extinguisher. This stops the issue from reoccurring.

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

• records of accidents or near misses

• records of corrective actions taken

• training records.

Auditors should confirm:

• employees feel comfortable to report any accidents or near misses;

• employees understand what the process is for reporting any accidents or near misses.

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3.5.7 The UoC shall report to ASC any accidents, according to ASC data submission procedures.

How do I interpret this requirement?

• This is a reporting requirement, not a disclosure requirement, which means that all data is held confidentially by ASC, who does not share it publicly.

• Companies should never publicly share personal employee data.

• The information collected through this reporting requirements will enable ASC to:

  • gain insights into common incidents and accidents and health and safety risks, which will inform the future development of ASC’s health and safety requirements

  • foster open discussions about health and safety risks and how to prevent them.

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

• confirmation of data uploaded to MyASC.

Auditors should confirm:

• that data uploaded to MyASC is consistent with results of the wage gap analysis.

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3.5.8 The UoC shall ensure that appropriate and understandable health and safety notices, instructions, and warning signs are visibly displayed.

How do I interpret this requirement?

• Potential hazards and risk areas around the site are clearly identified by warning signs.

• The choice of signs, notices and instructions are informed by the health and safety risk assessment.

• Written safety instructions for equipment use are accessible to all employees who need to use that equipment and are in a language that employees understand.

• Written safety procedures are available to employees and:

  • include details on:

    • accident prevention and response

    • emergency procedures

  • are in a language that they understand

  • can include pictures or diagrams, which can be helpful.

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

• warning signs around the site

• written safety instructions and procedures that are accessible for employees.

Auditors should confirm:

• warning signs are clearly visible and potential hazards are clearly marked;

• employees understand where they can access safety instructions and procedures;

• employees understand what the warning signs mean and what they refer to.

Useful Resources

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3.5.9 The UoC shall ensure that clear and understandable emergency and fire safety procedures are in place.

How do I interpret this requirement?

• The UoC should have procedures in place for emergencies that can have a significant impact on people on the site, including:
  • serious injuries
  • fire
  • explosion
  • flood
  • poisoning
  • electrocution
  • hazardous chemical spill.
• Emergency procedures can include:
  • outlining what might happen and how to raise an alarm
  • what to do if an alarm goes off
  • a plan showing the location of hazardous items
  • a plan for emergency shutdown, isolation or making processes safe
  • how to call the emergency services
  • where the escape routes are located
  • where the assembly points are
  • what the responsibility is of each employee and the management.
• Drills should be conducted regularly to ensure that employees understand the emergency procedures.

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

• documented fire and emergency safety procedures

• list of equipment and information about maintenance schedules

• list of hazardous items

• relevant signs around the workplace.

Auditors should confirm:

• employees have taken part in a drill;

• employees understand what to do in case of a fire or other emergency;

• equipment is up-to-date and in good working order.

Useful Resources

https://www.hse.gov.uk/workplace-health/emergency-procedures.htm

3.5.10 The UoC shall ensure that escape routes, fire exits, firefighting equipment and fire alarms are clearly marked and maintained in good working order.

How do I interpret this requirement?

• Fire safety and other emergency measures are in place, for example:

  • fire alarms

  • marked fire exits

  • marked, well-lit and well-maintained emergency escape routes

  • assembly points

  • firefighting equipment that is maintained annually or as required.

• Fire drills are conducted regularly to ensure that employees understand the emergency procedures.

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

• documented fire and emergency safety procedures

• list of equipment and information about maintenance schedules

• list of hazardous items

• relevant signs around the workplace.

Auditors should confirm:

• employees have taken part in a drill;

• employees understand what to do in case of a fire or other emergency;

• equipment is up-to-date and in good working order.

Useful Resources

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3.5.11 The UoC shall ensure that escape routes, fire exits and firefighting equipment are accessible and clear of obstacles.

How do I interpret this requirement?

• The UoC is responsible for:

  • removing any obstacles around escape routes and fire exits

  • ensuring that emergency doors are not locked

  • ensuring that emergency equipment is not blocked by any obstacles.

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

• information about locations of emergency equipment.

Auditors should confirm:

• escape routes, fire exits and firefighting equipment are accessible

• employees understand where exits and equipment are located.

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3.5.12 The UoC shall provide and maintain appropriate Personal Protective Equipment (PPE) free of charge and monitor its proper use.

How do I interpret this requirement?

• The UoC assesses:

  • what Personal Protective Equipment (PPE) is needed (meeting legal stipulations if applicable)

  • for which functions it is needed

  • in which situations it should be used

  • how PPE is well maintained.

• The use of PPE should be the final option in protecting employees from hazards and the steps below are what comes before the use of PPE:

  • Elimination: Physically remove the hazard

  • Substitution: Replace the hazard with a non-hazardous process

  • Engineering controls: Isolate people from the hazard

  • Administrative controls: Change the way people work

  • PPE: Protect the worker with PPE.

• PPE often comes with manufacturers’ instructions, which explain how to maintain equipment, and when equipment needs replacing.

• Providing appropriate storage for the PPE, where it is protected from adverse weather conditions, will prolong the life and useability of the PPE.

• Training for employees on the correct use of PPE is necessary for ensuring that PPE is used effectively.

• When new PPE is introduced, or the method of using it changes, updated training helps to ensure the safety of all employees.

• The list below is adapted from the EU’s Compliance Help Centre4343https://support.ce-check.eu/hc/en-us/articles/360021707072-8-Types-of-Personal-Protective-Equipment-PPE. PPE can include:

Type of PPE	Use
Head protection (helmets, hard hats)	When working in construction, work around heavy machinery, while working in a workplace with low-hanging objects, piping, moving parts.
Hand protection (gloves, wrist cuffs)	When working in hot or cold environments, with chemical or hazardous materials, when using abrasive or sharp objects.
Eye and face protection (safety glasses, goggles, eye and face shields, visors)	When working with power driven tools, welding tools, when handling hazardous substance.
Respiratory protection (breathing apparatus, mask respirators, disposable face masks, protective hoods)	When working in workplaces with high levels of dust, or when in contact with gases, powders and vapours.
Hearing protection (earplugs, ear defenders, noise meters)	When working in an environment with high noise levels.
Foot protection (safety boots and shoes)	When working around various hazards, hot and cold environments, when handling heavy objects.
Body protection (high-visibility clothing, harnesses, clothing for specific weather conditions, life jackets)	When there are vehicles, when doing maintenance work on machinery, when working outdoors, in extreme temperatures, for protection against chemical contamination, for protection against drowning.

• Employees need somewhere for PPE with:

  • adequate privacy to change into the PPE

  • somewhere to store their belongings

  • a designated place to store or return (e.g. laundry) the PPE after use.

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

• a record of available PPE, what it is used for and how it is maintained

• health and safety risk assessment demonstrating when PPE is needed.

Auditors should confirm:

• employees are using PPE correctly and consistently;

• the PPE is well maintained and in good working condition;

• employees understand the reasoning behind the use of PPE and why it is important.

Useful Resources

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3.5.13 The UoC shall provide appropriate first aid in the event of a work-related injury, including access to professional medical assistance.

How do I interpret this requirement?

• The supplies needed for first aid at the UoC can be determined by the health and safety risk assessment.
• Professional medical assistance can include ensuring that the UoC is able to access doctors and an ambulance, where necessary.
• The following list of first aid kit supplies is adapted from the UK government Health and Safety Executive website4444https://www.hse.gov.uk/simple-health-safety/firstaid/what-to-put-in-your-first-aid-kit.htm:
  • general guidance on first aid (an example from the UK government Health and Safety Executive can be found here: https://www.hse.gov.uk/pubns/indg347.pdf)
  • individually wrapped sterile plasters of assorted sizes 
  • sterile eye pads/eye wash
  • individually-wrapped triangular bandages, preferably sterile 
  • safety pins 
  • large and medium-sized sterile, individually-wrapped, unmedicated wound dressings
  • disposable gloves 
  • scissors or cutting tool.
• First aid kits are:
  • checked regularly, to ensure that any items that are past their expiry date are safely disposed of and replaced
  • kept at several locations around the site
  • easily accessible 
  • located near potential hazards or areas of risk.

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

• complete and well maintained first aid kits in easily accessible locations

• information about what the first aid kits contain and how to use them.

Auditors should confirm:

• employees know where the first aid kits are kept and how to use them;

• the UoC has a process in place to ensure first aid kits remain fully stocked and serviceable.

Useful Resources

• https://www.hse.gov.uk/simple-health-safety/firstaid/what-to-put-in-your-first-aid-kit.htm

3.5.14 The UoC shall, where not provided by a state or national social security or health system, provide and pay for insurance or have a system to cover costs for all employees for all work-related accidents or injuries. This shall include at least the following:

a)

the cost for transport and medical treatment and medication needed to treat the accident or injury; and

b)

the cost for transport and medical treatment and medication needed for recovery; and

c)

compensation for lost working hours; and

d)

cost for any required repatriation in case of migrant workers.

How do I interpret this requirement?

• The UoC is responsible for caring for its employees and protecting them from any financial impacts of an accident or injury.

• The UoC should ensure that employees are protected from unfair dismissal if they are unable to work for long periods.

• Depending on the level of the national social security of the country where the site is located, there are likely to be different costs that the UoC is responsible for.

• For example: an employee injures his back lifting boxes of feed from a truck. He suffers an acute injury, falls down and struggles to stand. The site manager provides him with some painkillers from the first aid kit and takes him in a site vehicle to the nearest hospital. The employee receives some x-rays and is diagnosed as having strained his back and is given pain relief and told he cannot work for 3 weeks. The site manager does not charge the employee for the painkillers from the first aid kit, or the transport to the hospital. The UoC pays the full hospital bill and continues paying the employee’s salary for the 3 weeks that he is off work.

  • If this incident took place in Country A, where there is a social security and healthcare system, the site manager does not charge the employee for the painkillers from the first aid kit, or the transport to the hospital. The UoC does not have to pay any hospital bill because the national health system pays for that. The UoC does not have to pay any of the employee’s salary for the 3 weeks that he is off work because that is covered by the national social security system.

  • If this incident took place in Country B, where there is no social security and healthcare system, the UoC pays all of the costs, as outlined above.

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

• information about what is provided by the national government

• documentation showing how the site will cover or pay for any costs that are not covered by the national government, for example, insurance documents.

Auditors should confirm:

• the UoC has the right plans in place for paying costs of workplace injuries;

• management understands their role and responsibility in covering these costs;

• employees understand what happens financially if they have a workplace injury.

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3.5.15 The UoC shall ensure that any person who handles or comes into contact with hazardous substances has access to appropriate changing and washing facilities.

How do I interpret this requirement?

• Hazardous substances that are often used in aquaculture can include4545Microsoft Word – GUIDE_June_2019.docx (syndel.com):
  • disinfectants as part of biosecurity protocols
  • herbicides and pesticides used in pond maintenance
  • spawning aids
  • vaccines used in disease prevention
  • marking agents used in resource management.
• Contact with some substances can be harmful to employees and can cause ill health or injury, but this is preventable through:
  • the correct use of PPE
  • providing changing and washing facilities, including soap, for:
    • washing hands or skin that has come into contact with hazardous substances
    • washing out eyes
    • changing out of clothes that have come into contact with hazardous substances.

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

• availability of changing and washing facilities in easily accessible places.

Auditors should confirm:

• employees understand the risk of working with different hazardous substances;
• employees are aware of the correct procedures to handle hazardous substances;
• employees understand what to do if they come into contact with hazardous substances.

Useful Resources

• https://www.hse.gov.uk/pubns/indg136.pdf

• Microsoft Word – GUIDE_June_2019.docx (syndel.com)

3.5.16 The UoC shall provide access to appropriate sanitary facilities that:

a)

are clean and hygienic; and

b)

include adequate privacy measures; and

c)

include separation by gender if required; and

d)

are sufficient for the number of people using them.

How do I interpret this requirement?

• Sanitary facilities:
  • are clean
  • are dry
  • are warm
  • have a source of ventilation (e.g. a window or fan)
  • have adequate lighting
  • have doors that close and lock for privacy.
• Facilities include one of the following:
  • pit latrines
  • flush toilets
  • urinals.
• Taps and running water are also available.
• For women, facilities for safe disposal of sanitary products are provided.
• Facilities are constructed of hard materials that are easy to clean.
• Waste and wastewater are regularly disposed of in accordance with Criterion 2.11: Material Use, Waste and Pollution Control.
• They are separated by gender, where required.

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

• presence of clean and appropriate sanitary facilities that are accessible to all employees
• records of cleaning services.

Auditors should confirm:

• employees report that sanitary facilities are appropriate and they are able to access them without issue;
• it is clear who has the responsibility for cleaning the facilities and that this happens on a regular basis.

Useful Resources

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3.5.17 The UoC shall provide access to free, clearly labelled, drinking water.

How do I interpret this requirement?

• Access to drinking water is essential for employees’ health and the UoC is responsible for ensuring that:

  • employees know where they can access water

  • the water is clean and appropriate for drinking

  • employees are not charged for drinking water.

• Access to drinking water is particularly important in extreme heat and the UoC should be aware that they may need to provide more regular breaks and more opportunities for drinking water in hot weather.

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

• available drinking water stations around the site.

Auditors should confirm:

• employees understand that they are free to access drinking water and they know where they can find it.

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3.5.18 The UoC shall provide access to an appropriate and clean area to prepare food and eat during breaks.

How do I interpret this requirement?

• The provision of a clean area to prepare food is important for employees’ health and for reducing the risk of illness.

• In warm climates, there should be adequate shade for employees to have their breaks in.

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

• available place to prepare food and eat.

Auditors should confirm:

• employees are able to prepare food and eat in a clean and hygienic space.

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3.5.19 The UoC shall ensure that all buildings and structures on the site are safe to use through adequate construction, maintenance and repair.

How do I interpret this requirement?

• Without adequate construction, maintenance and repair, buildings could collapse if subjected to external forces, which could have devastating results.

• Materials can wear out over time, so continuous inspection and testing structures is important.

• Ensuring adequate construction, maintenance and repair involves regular monitoring by a knowledgeable, designated person, and maintenance and repair.

• Understanding when and by whom construction, maintenance and repair should be checked is a result of the health and safety risk assessment (Indicator 3.5.1).

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

• documentation about any surveys or construction carried out at the UoC

• maintenance records.

Auditors should confirm:

• someone at the UoC is responsible for the wear and tear of the building and for overseeing any construction and maintenance work and has the resources to carry out needed works.

Useful Resources

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3.5.20 The UoC shall ensure that machinery and equipment:

a)

is compliant with applicable legal regulations or other recognised standards; and

b)

is safely installed, maintained and safeguarded; and

c)

is only operated by trained employees.

How do I interpret this requirement?

• Accidents and injuries involving machinery and equipment can arise from:

  • misuse

  • malfunctioning

  • bypassing, disabling or malfunctioning safety features.

• All machinery and equipment should be:

  • compliant with national or other recognised health and safety standards

  • appropriately installed, maintained and safeguarded.

• Only employees trained to use machinery and equipment are permitted to operate it.

• Examples of improper use of machinery may include:

  • bypassing or disabling emergency stop buttons, guards or interlocks to speed up processes

  • overloading equipment and machinery beyond its capacity

  • using equipment for a purpose it is not intended for

  • making unauthorised modifications

  • ignoring or disabling safety signals.

• Safely installed usually includes being installed according to manufacturer’s instructions.

• Safeguarded means that any warning notices and operational guidance are in place for the machinery and equipment.

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

• records of who is trained to use the machinery or equipment

• maintenance records for machinery and equipment

• instruction manuals for the use of equipment.

Auditors should confirm:

• employees understand who is allowed to operate the machinery and equipment;

• the UoC has a process in place to ensure the maintenance and upkeep of the machinery and equipment.

Useful Resources

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3.5.21 The UoC shall log all commercial diving activities and maintain records, including a list of any persons involved.

How do I interpret this requirement?

• Commercial divers are professional divers who engage in underwater operations and have specific skills and qualifications.
• Through keeping records of commercial diving activities, the UoC can:
  • monitor time spent diving
  • ensure qualifications of commercial divers
  • ensure that appropriate health and safety measures are in place.

• The types of records to keep depends on local regulations and the type of dive certification. At a minimum, records include:

  • dives
  • time
  • depth
  • surface time
  • associated dive table records.
• This is usually recorded with a dive safety checklist.
• These records are also used for the daily diving plan.

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

• complete diving records

• list of persons involved in diving at the UoC.

Auditors should confirm:

• diving records are properly maintained for each dive and are up-to-date.

Useful Resources

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3.5.22 The UoC shall ensure that any person involved in commercial diving activities holds commercial diver certification through an accredited organisation.

How do I interpret this requirement?

• Different countries have different certifications for commercial diving, but a normal scuba certification is not and should never be accepted as adequate commercial diver training.

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

• commercial diver certificates for all commercial divers working at the UoC.

Auditors should confirm:

• management understand the relevant qualifications that divers should have to be allowed to dive commercially;

• management are able to confirm that all divers are properly certified, whether they have been directly employed or are subcontracted through a diving company.

Useful Resources

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3.5.23 The UoC shall ensure that commercial divers undergo annual medical tests to confirm they are fit to dive.

How do I interpret this requirement?

• By ensuring that divers are healthy enough to dive, this minimises the risk of negative impacts to their health and safety during dives.

• If a diver has been subcontracted from a diving company, the UoC can ensure that the diving company have taken responsibility for the medical tests.

• Some countries have requirements that medical professionals have to undergo particular training or have particular qualifications to confirm someone’s fitness to work as a commercial diver.

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

• records of medical certificates of fitness to dive, signed by a qualified medical professional.

Auditors should confirm:

• management understand the importance of divers being medically fit and healthy;

• management are able to confirm that all divers are medically fit to dive, whether they have been directly employed or are subcontracted through a diving company.

Useful Resources

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