Introduction

About ASC
ASC Certification
Document Structure and Vocabulary
Scope of Standard

Principle 1

The UoC has a management system to implement the ASC Feed Standard, including operating legally, and in a socially and environmentally responsible manner.

1.1
Is in possession of all necessary legal licenses and permits.
1.2
The UoC implements an effective management system to maintain compliance with the ASC Requirements
1.3
The UoC complies with applicable labour laws and regulations
1.4
The UoC does not engage in – nor support – forced, bonded, compulsory labour or human trafficking
1.5
The UoC protects children and young employees
1.6
The UoC does not discriminate against its employees
1.7
The UoC provides a safe and healthy work environment
1.8
The UoC respects the right to associate and the right for collective bargaining
1.9
The UoC contracts employees in a transparent manner
1.10
The UoC pays employees at or above the legal minimum wage
1.11
The UoC prevents excessive working hours
1.12
The UoC has disciplinary practices that respect the dignity and health of the employee
1.13
The UoC provides effective worker grievance mechanisms
1.14
The UoC provides safe, decent and hygienic worker accommodation
1.15
The UoC contributes to maintaining or enhancing the social and economic well-being of local communities
1.16
The UoC respects Indigenous and tribal people’s rights, cultures and traditional territories
1.17
The UoC is in compliance with applicable environmental laws and regulations
1.18
The UoC uses water responsibly
1.19
The UoC handles waste responsibly
1.20
The UoC handles effluent responsibly
1.21
The UoC uses energy responsibly and monitors Greenhouse Gases (GHG) emissions

Principle 2

The UoC sources ingredients responsibly.

2.1
The UoC implements a Supplier Code of Conduct
2.2
The UoC conducts Due Diligence on ingredient manufacturers and primary raw material production

Principle 3

The UoC accounts for eligible ingredients input and feed output.

3.1
The UoC implements an ingredient in-coming and out-going accounting system
3.2
The UoC determines eligible ingredients and calculates its mass-balance eligible volume
3.3
The UoC labels products correctly
3.4
The UoC is transparent on product characteristics

Principle 4

The UoC sources marine ingredients responsibly.

4.1
The UoC increases the majority sustainability level of its (whole-fish) marine ingredients

Principle 5

The UoC sources plant ingredients responsibly.

5.1
The UoC works towards a deforestation/conversion-free supply chain

Appendices

Appendix 1 - List of Acronyms
Appendix 2 - Environmental Impacts by the Feed Manufacturer
Appendix 3 - Due Diligence (DD)
Appendix 4 - Calculation of the Majority Sustainability Level (MSL)
Appendix 5 - Calculation of Mass Balance Eligible Volume
Appendix 6 - Assurance Procedure for Deforestation / Conversion free Supply Chains
Appendix 7 - Flowcharts illustrating requirements for DD, D/C-free risk assessment and summary tables of permitted work types
Appendix 8 - UoC requirements on publishing information
Appendix 9 - Setting Deforestation and Conversion Cutoff dates
Appendix 10 - UoC staff competency requirements
Appendix 11 - Ingredient Approval Process
Appendix 12 - Non-Conforming Product
Appendix 13 - Ingredient Accounting System (IAS)
Appendix 14 - The Mass Balance and Segregation Production Model

Introduction
- About ASC
- ASC Certification
- Document Structure and Vocabulary
- Scope of Standard
Principle 1
The UoC has a management system to implement the ASC Feed Standard, including operating legally, and in a socially and environmentally responsible manner.
- 1.1
  Is in possession of all necessary legal licenses and permits.
- 1.2
  The UoC implements an effective management system to maintain compliance with the ASC Requirements
- 1.3
  The UoC complies with applicable labour laws and regulations
- 1.4
  The UoC does not engage in – nor support – forced, bonded, compulsory labour or human trafficking
- 1.5
  The UoC protects children and young employees
- 1.6
  The UoC does not discriminate against its employees
- 1.7
  The UoC provides a safe and healthy work environment
- 1.8
  The UoC respects the right to associate and the right for collective bargaining
- 1.9
  The UoC contracts employees in a transparent manner
- 1.10
  The UoC pays employees at or above the legal minimum wage
- 1.11
  The UoC prevents excessive working hours
- 1.12
  The UoC has disciplinary practices that respect the dignity and health of the employee
- 1.13
  The UoC provides effective worker grievance mechanisms
- 1.14
  The UoC provides safe, decent and hygienic worker accommodation
- 1.15
  The UoC contributes to maintaining or enhancing the social and economic well-being of local communities
- 1.16
  The UoC respects Indigenous and tribal people’s rights, cultures and traditional territories
- 1.17
  The UoC is in compliance with applicable environmental laws and regulations
- 1.18
  The UoC uses water responsibly
- 1.19
  The UoC handles waste responsibly
- 1.20
  The UoC handles effluent responsibly
- 1.21
  The UoC uses energy responsibly and monitors Greenhouse Gases (GHG) emissions
Principle 2
The UoC sources ingredients responsibly.
- 2.1
  The UoC implements a Supplier Code of Conduct
- 2.2
  The UoC conducts Due Diligence on ingredient manufacturers and primary raw material production
Principle 3
The UoC accounts for eligible ingredients input and feed output.
- 3.1
  The UoC implements an ingredient in-coming and out-going accounting system
- 3.2
  The UoC determines eligible ingredients and calculates its mass-balance eligible volume
- 3.3
  The UoC labels products correctly
- 3.4
  The UoC is transparent on product characteristics
Principle 4
The UoC sources marine ingredients responsibly.
- 4.1
  The UoC increases the majority sustainability level of its (whole-fish) marine ingredients
Principle 5
The UoC sources plant ingredients responsibly.
- 5.1
  The UoC works towards a deforestation/conversion-free supply chain
Appendices
- Appendix 1 - List of Acronyms
- Appendix 2 - Environmental Impacts by the Feed Manufacturer
- Appendix 3 - Due Diligence (DD)
- Appendix 4 - Calculation of the Majority Sustainability Level (MSL)
- Appendix 5 - Calculation of Mass Balance Eligible Volume
- Appendix 6 - Assurance Procedure for Deforestation / Conversion free Supply Chains
- Appendix 7 - Flowcharts illustrating requirements for DD, D/C-free risk assessment and summary tables of permitted work types
- Appendix 8 - UoC requirements on publishing information
- Appendix 9 - Setting Deforestation and Conversion Cutoff dates
- Appendix 10 - UoC staff competency requirements
- Appendix 11 - Ingredient Approval Process
- Appendix 12 - Non-Conforming Product
- Appendix 13 - Ingredient Accounting System (IAS)
- Appendix 14 - The Mass Balance and Segregation Production Model

Introduction

About ASC

ASC Feed Standard: Introduction

The Power of Seafood

A nutritious protein source and a key component of global food security, 3.3 billion people rely on seafood for at least 20% of their animal protein consumption, and between 400 – 600 million people are directly and indirectly involved with the industry11”UN Fisheries Panel (COFI36): Aquaculture as a solution to food insecurity.

With population estimates of 10 billion by 2050, and with wild caught fisheries at capacity, farmed seafood comprises almost 60% of seafood consumed as its numbers and importance continues to grow11”UN Fisheries Panel (COFI36): Aquaculture as a solution to food insecurity. Care must be taken immediately to limit the industry’s negative impacts.

Responsible seafood farming eases pressure on natural resources, protects precious ecosystems, promotes economic opportunities and addresses food security challenges, caring for seafood, people and the planet. A crucial link in the circular economy, it upcycles multiple by-product streams into much needed high-quality protein.

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Our Vision

A world where seafood farming plays a major role in supplying food and social benefits for humanity whilst minimising negative impacts on the environment

Our Mission

To transform seafood farming towards environmental sustainability and social responsibility, creating value across the chain using market mechanisms, improvement incentives and delivering value-added services from farm to fork

Transforming Seafood Farming

ASC is accelerating the transformation of the farmed seafood industry by:

Championing Change – raising awareness of what needs to change and collaborating to create pathways for the change required to accelerate positive impact on people and planet, fish and farms.
Making Change – developing and implementing the world’s leading independent certification and improver programmes for responsibly farmed seafood.

Our supply chain partners choose ASC certification for the most robust standards and the highest assurance ensuring traceability and transparency throughout the supply chain. By choosing ASC labelled seafood, consumers in over 100 countries are contributing to a sustainable future.

Making an Impact

The impact of the ASC programmes in the seafood farming industry is substantiated across multiple Sustainable Development Goals (SDGs)22For more information on ASC’s SDG work, see https://www.asc-aqua.org/wp-content/uploads/2022/12/ASC-SDG-Report2022-1.pdf.

Simplifying this target framework, ASC contributes specifically to the following areas:

Conserving Biodiversity
Addressing Climate Change
Fostering Fish Health and Welfare
Improving Lives, Livelihoods and Communities

In addition to the focus of ASC programmes on these key SDGs, the ASC standards contribute to a broader range of SDGs at different levels to address the impacts of seafood farming on fish health and welfare, people and planet.

ASC Certification

ISEAL Community Membership

ISEAL is a global membership organisation for ambitious, collaborative and transparent sustainability systems, that drives collective efforts to tackle the most pressing sustainability issues and create a world where markets are a force for good.

The ASC Certification Programme is ISEAL Code Compliant. The ISEAL Code is a globally recognised framework that defines best practices for effective and credible sustainability systems.

Normative references

The documents listed below are a normative part of the ASC Certification Programme:

ASC Farm Standard
ASC Farm and Feed Certification and Accreditation Requirements (CAR)
ASC Group Requirements for Farms
ASC Vocabulary
ASC Data Submission Procedure
ASC Data Submission Requirements

Additional documents are referred to in Indicators and Appendices of this Standard in such a way that some or all of their content constitutes requirements of this document.

For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies.

Supporting documents and tools

The documents and tools listed below support the implementation of the ASC Certification Programme:

ASC Feed Standard Interpretation Manual
ASC Programme Centre
ASC GHG Emissions Calculator to support calculations for 1.21
Various templates
Data Portal

Certification Programme

The ASC Certification Programme is a voluntary third-party certification programme consisting of the following independent actors:

Scheme Owner: Aquaculture Stewardship Council

As scheme owner, ASC sets and maintains standards and associated assurance documents and their underpinning procedures, as well documents and resources that support the implementation of the Certification Programme.

An overview of all documents and the latest version can be found on the ASC Controlled Document Master List.

Conformity Assessment Body: Provide certification services in accordance with the requirements of this scheme.

The legal entity responsible for the Unit of Certification (UoC), contracts a Conformity Assessment Body (CAB) which employs auditor(s) that conduct an independent conformity assessment (hereafter ‘audit’) of the UoC against the relevant ASC Standard.

The management requirements for CABs as well as auditor competency requirements are described in the CAR document and are assured through accreditation.

Integrity Services Provider and Accreditation Body

The Integrity Services Provider is appointed by ASC to oversee the integrity of the programme.

Integrity services and accreditation are currently provided by Assurance Services International (ASI), however, ASC is in transition to move the accreditation to Accreditation Bodies (AB) signatories to the International Accreditation Forum (IAF) multilateral recognition arrangement (MLA) for product certification, while integrity services will remain with ASI.

Findings of ASI assessments and an overview of currently accredited CABs are available on the ASI website.33http://www.asi-assurance.org/s/

Audit Process

An ASC audit follows strict process requirements. These requirements are detailed in the CAR. Only ASC accredited CABs are allowed to audit and certify a UoC against ASC standards.

As scheme owner, ASC is not involved in the audit or certification decision of a UoC.

As part of the ASC commitment to transparency, all findings, audit reports and certificates are publicly available on the ASC website. These include audit findings that result in a negative certification decision.

Certificate

All ASC certificates are available on the ASC website for verification. Issued certificates are the property of the CAB.

Each certificate specifies the scope (i.e., ASC Feed Standard) and Production Model type (i.e., segregation or mass balance) of the certified UoC.

ASC Label and Claims

ASC-certified entities shall only use the ASC label, claim, and trademarks if authorised through a signed ASC Feed Licensing Agreement.

Unauthorised label display or use of trademarks is prohibited and will be treated as a trademark infringement. For more information see ASC’s Label User Guide or contact licensing@asc-aqua.org.

ASC Assurance Net

The independent actors and processes described above are interlinked to provide the most robust and reliable assurance system, supported by ASC’s transparent processes and stakeholder participation. The CABs conduct strict audits to verify conformity against the ASC standards. ASI assesses the CABs to confirm that certification was granted following the requirements and with integrity. Both CABs and ASI may conduct these activities unannounced, and all the evaluation results are publicly available for interested stakeholders who may provide additional information to the certification process.

ASC has a dedicated and experienced assurance team that develops the certification requirements. Working closely with assurance partners, ASC monitors conformance across the supply chain.

ASC adds another layer of assurance by designing tailored tools that support additional verification of conformity. These tools evaluate the conformance of ASC products in different stages: Antibiotic residues and provenance (TestASC), verification of production cycles and remote sensing (MapASC), and complete tracking of products in the supply chain (TraceASC).

Document Structure and Vocabulary

The ASC Feed Standard is structured as follows:

Five Principles – each Principle defines a high-level outcome which, collectively, contributes to the ASC Vision.
A Principle consists of multiple Criteria – each Criterion addresses an impact that is relevant to the aquaculture feed industry.
A Criterion consists of a Rationale and multiple Indicators.
- The Rationale describes why the issue is of relevance to the aquaculture feed industry.
- Each Indicator describes a requirement. Audits are conducted to determine conformity to indicators, including any referenced Appendices, footnotes or terms.

The ASC Feed Standard also contains:

Appendices – Appendices are included to provide detail on acronyms, methodologies or requirements.
Footnotes – footnotes are used to detail exemptions and clarifications to an indicator, as well as for references.
Terms – defined terms are highlighted in bold when used for the first time. Definitions are listed in the ASC Vocabulary Portal.

Vocabulary use

Intentional language is used in the Standard to ensure clarity in the following areas:

Modal verbs
- ‘Shall’ denotes a requirement
- ‘Should’ denotes a recommendation
- ‘May’ denotes a permitted course of action
- ‘Can’ denotes a possible course of action

Exceptions vs. Exemptions
- ‘Exception’ an alternative requirement for a specific circumstance, referenced in the Indicator.
- ‘Exemption’ an exclusion from an Indicator, referenced in a Footnote.

Appropriate vs. Adequate
- ‘Appropriate’ refers to what is suitable or proper for a particular need.
- ‘Adequate’ refers to what is sufficient to meet a need.

‘And’ vs. ‘Or’ in lists
- ‘And’ implies inclusiveness (all items are required).
- ‘Or’ implies exclusiveness (only one of the items is required).

Scope of Standard

The Scope of the ASC Feed Standard (hereafter “the Standard”) addresses key negative environmental and social impacts associated with the (aquaculture) feed industry. Entities (the UoC) certified to the ASC Feed Standard contribute to reducing or eliminating these negative impacts.

The Scope of the Standard is translated into 5 Principles:

Principle 1 – The UoC has a management system to implement the ASC Feed Standard, including operating legally, and in a socially and environmentally responsible manner
Principle 2 – The UoC sources ingredients responsibly
Principle 3 – The UoC accounts for eligible ingredients input and feed output
Principle 4 – The UoC sources marine ingredients responsibly
Principle 5 – The UoC sources plant ingredients responsibly

Unit of Certification

The Unit of Certification (UoC) is a feed manufacturer. The ASC Feed Standard does not differentiate between aquafeed manufacturers that produce pelleted or extruded aquafeed, as long as the feed manufacturer and the feed ingredients meet the indicators of this Standard.

For feed manufacturers that produce both aquafeed and other livestock and poultry feed, the ASC Feed Standard applies to the entire facility for Principle 1, whilst Principles 2-5 apply to only the ingredients used for the manufacturing of the aquafeed.

The requirements for certification processes are documented in the CAR.

Scope of Standard

Within each criterion, the applicability is defined in the scope heading.

Principle 1 – applies to the entire UoC, not only to aquafeeds.
Principles 2 and 3 – all ingredients that represent >1% of the total annual ingredient-weight (volume) received by the UoC for use in aquafeeds. This percentage refers to a unique ingredient from an individual manufacturer. In case the UoC also produces livestock feed, the received volume shall be based on the ingredient volume destined for inclusion in aquafeed. Excluded are feed additives (per default, regardless of volume limit): premixes, vitamins, minerals, trace elements and colourants.
Principle 4 – Marine-based ingredients that represent >1% of the total annual ingredient-weight (volume) received by the UoC for use in aquafeeds (as described above).
Principle 5 – Plant-based ingredients that represent >1% of the total annual ingredient-weight (volume) received by the UoC for use in aquafeeds (as described above).

The ASC Feed Standard addresses the following actors in the ingredient supply chain:

Feed Manufacturer (UoC),
Ingredient Manufacturer:
- Commodity trading and transporting companies are not considered as Ingredient Manufacturer
Primary raw material production.

Relationship between the Standard and applicable law

In the case that an applicable law or collective bargaining agreement is stricter than a requirement in the Standard, such law or collective bargaining agreement will prevail unless such law has become obsolete. In the case that an applicable law or collective bargaining agreement is less strict than a requirement in the Standard, the requirement in the Standard will prevail, unless the requirement is forbidden by law or statute.

Principle 1

The UoC has a management system to implement the ASC Feed Standard, including operating legally, and in a socially and environmentally responsible manner.

Criterion 1.1

Is in possession of all necessary legal licenses and permits.

Link to Interpretation manual

Rationale

The aquaculture sector is rapidly growing, which can result in regulatory challenges. As a result, there is an increased risk that the industry be(comes) unregulated. Since it is illegal44FAO. 2018. The State of World Fisheries and Aquaculture 2018 – Meeting the sustainable development goals. http://www.fao.org/3/i9540en/I9540EN.pdf in most countries to have a business without possessing all needed licences and permits, the UoC is required to be in possession of these as a minimum.

Within the ASC Feed Standard, regulatory compliance is required throughout Principle 1; with a focus on permits and licenses under Criterion 1.1, Labour laws under Criterion 1.3 and environmental laws under Criterion 1.17.

Indicators

Applicability

Indicators

Description

1.1.1

The UoC shall be in possession of all required legal licenses and permits.

Criterion 1.2

The UoC implements an effective management system to maintain compliance with the ASC Requirements

Link to Interpretation manual

Rationale

A management system is the way in which an organisation manages the inter-related parts of its business in order to achieve its objectives. The level of complexity of the system will depend on each organisation’s specific context, its size, scope and risks of its activities. The management system includes policies, procedures and processes, so that objectives are achieved effectively and efficiently. This includes compliance with ASC Requirements; in other words, the management system is applied to all criteria in this standard.

The Indicators in this Criterion are based on the common quality control adaptive management method which entails a Plan-Do-Check-Act (PDCA)-cycle55Peter J. Koiesar. (1994). What Deming Told the Japanese in 1950, Quality Management Journal, 2:1, 9-24.66M. Sokovic, D. Pavletic, K. Kern Pipan, Quality Improvement Methodologies – PDCA Cycle, RADAR Matrix, DMAIC and DFSS, Journal of Achievements in Materials and Manufacturing Engineering 43/1 (2010) 476-483. http://jamme.acmsse.h2.pl/papers_vol43_1/43155.pdf.

Indicators

Applicability

Indicators

Description

1.2.1

The UoC shall have a management system in place covering the entire UoC, signed off by responsible management, to ensure continuous implementation77This includes policies deemed needed by the UoC, such as a written policy on human rights. of all ASC Requirements.

1.2.2

The UoC shall have a system to prevent acts of corruption, extortion, embezzlement, or bribery.

1.2.3

The UoC shall have a system to ensure records are not falsified and information is not misrepresented.

1.2.4

The UoC shall have at least one named member of management who is responsible for the implementation of the ASC Requirements.

1.2.5

The UoC shall ensure that relevant employees have the required competencies to implement the ASC Requirements.

1.2.6

The UoC shall monitor compliance against the ASC Requirements through, as a minimum, annually scheduled internal audits by a person who has the necessary competencies, experience and training as per table 10, Appendix 10 and implement corrective measures where relevant.

1.2.7

The UoC shall be able to demonstrate compliance against the ASC Requirements to ASC auditors, ASC scheme owner, and the ASC assurance body.

1.2.8

The UoC shall review the management system when needed and at least annually, and address any issues identified within an appropriate timescale.

Criterion 1.3

The UoC complies with applicable labour laws and regulations

Link to Interpretation manual

Rationale

In combination with the indicators under Criterion 1.1, compliance with labour regulations represents a fundamental basis for the development of socially responsible feed production.

Indicators

Applicability

Indicators

Description

1.3.1

The UoC shall comply with all applicable labour-related laws and regulations and maintain a system for its compliance.

1.3.2

The UoC shall ensure all employees are familiar with their labour-related rights; including ASC Requirements on labour-related rights, even if not covered by applicable laws and regulations.

Criterion 1.4

The UoC does not engage in – nor support – forced, bonded, compulsory labour or human trafficking

Link to Interpretation manual

ASC Feed Standard: Remediation Process

Rationale

Within the United Nations (UN) Universal Declaration of Human Rights (UDHR) it is recognised that forced, bonded, compulsory labour and human trafficking is a persistent problem in many industries88Oxfam. 2018. Ripe for change – Ending human suffering in supermarket supply chains. https://policypractice.oxfam.org.uk/publications/ripe-for-change-ending-human-suffering-in-supermarket-supply-chains-620418 and regions of the world99Global Slavery Index. 2018. https://www.globalslaveryindex.org/resources/downloads/. The fishing and aquaculture industries are no exception to this1010Human Rights Watch. 2018. Hidden chains – Rights abuses and forced labor in Thailand’s Fishing Industry.1111https://www.globalslaveryindex.org/2018/findings/importing-risk/fishing/.

According to recent estimates1212https://www.globalslaveryindex.org/2018/findings/highlights/, 40.3 million people around the world are victims of modern slavery of which 25 million people are victim of forced, bonded or compulsory labour. This includes human trafficking, debt bondage (labour demanded as a means of payment of debt), and more subtle forms of forced labour that force employees to remain in their jobs against their will through other means of threat. As with child labour, poverty is a key driver of forced labour. However, this phenomenon is not limited to low-income countries. In some industries and regions of high-income countries, (migrant) employees can equally become the victims of forced labour.

Relevant reference documents:

ILO Forced Labour Convention, 1930 (No. 29);
ILO Abolition of Forced Labour Convention, 1957 (No. 105);
ILO The Protection of Wage Convention, 1949 (No. 95);
ILO The Private Employment Agencies Convention, 1997 (No. 181).

Indicators

Applicability

Indicators

Description

1.4.1

The UoC shall not (be) engage(d) in, or support, forced, bonded, compulsory labour or human trafficking. This includes:

work that is exacted from any person under the menace of any penalty1313While a penalty in itself can be more visible, the menace of a penalty can be more hidden but is equally seen as leading to a form of forced labour. Menace of a penalty includes for example the fear of suppression of rights or privileges, and threats of retaliation which can be realised in different forms, such as in physical, mental and social harm.;
work for which the person has not offered himself or herself voluntarily;
the use of deception or other forms of coercion, for the purpose of exploitation of people.

1.4.2

If forced, bonded, compulsory labour or human trafficking is found, the UoC shall implement effective remediation procedures to comply with 1.4.1, that put the best interest of the person first, such as resolving debts or other forms of bondage, as well as enabling revised employee conditions or repatriation. Remediation actions are documented and are verified to ensure effectiveness.

1.4.3

If forced, bonded, compulsory labour or human trafficking is found, the UoC shall implement effective corrective actions that prevent recurrence. Corrective actions are documented and are verified to ensure effectiveness.

1.4.4

The UoC shall ensure that any employment/recruitment agency(ies) used is screened and monitored to ensure that it is:

licensed or certified by the competent national authority,
conforms with Criteria 1.1.

1.4.5

The UoC, or if applicable the agency(ies) involved in recruitment, shall not take into its possession1414If storage is provided by the UoC, the UoC shall ensure that storage is voluntary and items can be freely accessed by employees any original identity documentation such as IDs, visas, passports, without which the employee would not be able to freely terminate the employment, travel or leave the country.

1.4.6

The UoC, or if applicable the agency(ies) involved in recruitment, shall not withhold any part of the employee’s salary, property, or benefits, even if local regulation allows for this. The only situations where withholding is permitted is when required by law.

1.4.7

The UoC, or if applicable the agency(ies) involved in recruitment, shall not charge employees any fees for recruitment1515For migrant workers, evidence shall include recruitment/employment cost incurred by the UoC; costs shall be summarised by year as well as by country from which employed migrant workers originate. or during employment. This includes any costs, or deposits, associated with the processing of official documents including work visas. For migrant workers, this includes any costs, or deposits, associated with travel and repatriation.

1.4.8

The UoC shall allow employees to freely move around the workplace in order to use sanitary facilities and have access to drinking water during their work shift.

1.4.9

The UoC shall not keep employees involuntarily on site outside of a work shift.

1.4.10

The UoC shall offer employees reasonable and safe transportation to leave the premises when the workplace is not readily accessible and public transportation is not available; allowing employees to leave the site once their shift is over.

1.4.11

The UoC shall not require employees to reside in employer-operated accommodation as a condition of employment for non-remote, readily accessible, operations.

1.4.12

The UoC, or if applicable the agency(ies) involved in recruitment, shall not engage in prison labour.

Criterion 1.5

The UoC protects children and young employees

Link to Interpretation manual

ASC Feed Standard: Remediation Process

Child Labour Under the ASC standards

Rationale

Children and young employees are particularly vulnerable to economic exploitation due to their inherent age-related limitations in physical development, knowledge, lack of independence and experience. These vulnerabilities can lead to worst forms of child labour which are to be prioritised for elimination without delay. Employment, and exploitation, of children and young employees occurs globally and in many (if not all) industries1616https://www.ilo.org/ipec/areas/Agriculture/WCMS_172348/lang–en/index.htm. The aquaculture sector is, unfortunately, no exception to this1717ILO. 2017. Global estimates of child labour: Results and trends, 2012-2016. https://www.ilo.org/wcmsp5/groups/public/—dgreports/—dcomm/documents/publication/wcms_575499.pdf.

However, not all work done by children should be categorised for elimination. Children’s participation in work that does not negatively affect their health and personal development, nor interferes with their schooling, is generally regarded as being something positive. This includes activities such as helping their parents around the home, assisting in a family (farming) business or earning pocket money outside school hours and during school holidays. These non-harmful forms of participation in work contribute to a child’s development and within some contexts to the welfare of their families; it provides them with skills and experience; and helps to prepare them to become productive members of society during their adult life1818https://www.ilo.org/ipec/facts/lang–en/index.htm.

Relevant reference documents:

ILO Minimum Age Convention, 1973 (No. 138);
ILO Worst Forms of Child Labour Convention, 1999 (No. 182);
OHCHR Convention on the Rights of the Child1919https://www.ohchr.org/Documents/ProfessionalInterest/crc.pdf.

Indicators

Applicability

Indicators

Description

1.5.1

The UoC shall not (be) engage(d) in child labour. This includes work that:

is mentally, physically, socially or morally dangerous and harmful to children2020Mentally or socially dangerous may include: working in isolation, working in an environment containing abusive language. Physically dangerous may include: heavy lifting and exposed to moving parts of machinery, working in noisy or dusty conditions or extreme temperatures. Morally dangerous includes working in an environment such as exposed to substance abuse or gambling, see also definition for worst forms of child labour.; or
interferes with their schooling2121As per the ILO definition this includes for example: depriving them of the opportunity to attend school; obliging them to leave school prematurely; or requiring them to attempt to combine school attendance with excessively long and heavy work..

1.5.2

If child labour is found, the UoC shall implement effective remediation procedures to comply with 1.5.1 that put the best interest of the child first, such as enabling the child to attend school and remain in school until no longer mandatory. Remediation actions are documented and are verified to ensure effectiveness.

1.5.3

If child labour is found, the UoC shall implement effective corrective actions that prevent recurrence. Corrective actions are documented and are verified to ensure effectiveness.

1.5.4

The UoCmay employ children as of the age of 15, or above the age of completion of mandatory schooling2222National laws or regulations may permit the employment or work of persons who are at least 15 years of age but have not yet completed their compulsory schooling, to conduct work which meets the following requirementsnot likely to be harmful to their health or development; andnot such as to prejudice their attendance at school, their participation in vocational orientation or training programmes approved by the competent authority or their capacity to benefit from the instruction received.View More (whichever is higher), to conduct non-hazardous work2323See Tables 4 and 5 in Appendix 7.. An exception applies for countries where ILO Convention 138 allows employment from 14 years.

1.5.5

The UoC may employ children as of the age of 132424An exemption applies to children helping out at home and participating in work; for example, helping parents around the home, earning pocket money outside school hours and during school holidays, assisting in a family business or participating in other activities which are not an essential contribution to the productivity and profitability of a business, to conduct light work if:

The child received appropriate training prior to work;
The child receives appropriate supervision.

An exception applies for countries where ILO Convention 138 allows employment from 12 years.

1.5.6

The UoC shall ensure that any children, including young employees, carrying out work, only perform non-hazardous work (1.5.4) or light work (1.5.5), according to a risk assessment. The risk assessment shall be part of a general Risk Management Framework (see Figure 4, Appendix 7).

1.5.7

The UoC shall encourage, and shall not prevent, children of employees living on-site to attend mandatory schooling.

Criterion 1.6

The UoC does not discriminate against its employees

Link to Interpretation manual

Rationale

Discrimination is still a common problem in the workplace. While some of the more blatant forms of discrimination may have faded, many remain or have taken on new or less visible forms. It can perpetuate poverty, stifle development, productivity, and competitiveness, and ignite political instability2525ILO. 2011. Equality at work: the continuing challenge. https://www.ilo.org/wcmsp5/groups/public/—ed_norm/—declaration/documents/publication/wcms_166583.pdf.

A work relationship should be based on knowledge, skills, and competencies.

Relevant reference documents:

ILO Equal Remuneration Convention, 1951 (No. 100);
ILO Discrimination (Employment and Occupation) Convention, 1958 (No. 111);
ILO Workers with Family Responsibilities Convention, 1981 (No. 156).

Indicators

Applicability

Indicators

Description

1.6.1

The UoC shall ensure equal treatment of all applicants for employment, and employees in all cases, including: disciplinary practices, job assignment, pay & benefits, promotion and other career opportunities, recruitment process and conditions, retirement, termination, training, working conditions; irrespective of, age, caste, colour, disabilities, ethnicity, gender, legal status, marital status, nationality, parental status, participation in trade unions, political opinion, pregnancy, race, religion, sexual orientation.

1.6.2

The UoC, or if applicable the agency(ies) involved in recruitment, shall not test for pregnancy or virginity, nor practice or encourage forced contraception.

1.6.3

The UoC, or if applicable the agency(ies) involved in recruitment, shall only perform medical tests if required for health and safety reasons, according to a risk assessment. The risk assessment shall be part of a general Risk Management Framework (see Figure 4, Appendix 7).

1.6.4

Where the UoC, or if applicable the agency(ies) involved in recruitment, perform medical tests, employees’ data must be protected, and employees have the right to their test results.

1.6.5

Where the UoC, or if applicable the agency(ies) involved in recruitment, determine that medical tests are required according to their risk assessment, employees have the right to use an independent doctor, if preferred.

1.6.6

The UoC shall have effective communication2626This includes providing employees with contact information for worker voice organisations engaged in labour-related rights, if active in the region., procedures, and monitoring in place to ensure harassment, abusive or exploitative behaviour does not occur in the workplace.

Criterion 1.7

The UoC provides a safe and healthy work environment

Link to Interpretation manual

Rationale

ILO sets forth, through various Conventions (see below), the principle that workers should be protected from sickness, disease and injury arising from their employment as a basic right. Yet for millions of workers, the reality is very different. The ILO estimates2727https://www.ilo.org/global/topics/safety-and-health-at-work/lang–de/index.htm that 2.78 million people die each year from occupational accidents and work-related diseases. A further 374 million people suffer from non-fatal work-related injuries and illnesses each year, many of these resulting in extended absences from work. It is estimated that 3.94% of the world’s annual Gross Domestic Product (GDP) is lost as a consequence of occupational diseases and accidents.

The world’s estimated 22 million aquaculture workers regularly contend with hazardous conditions. Some aquaculture workers are highly trained and in secure jobs. However, globally, many aquaculture workers are employed in precarious arrangements and drawn from often vulnerable populations, including women, Indigenous people, children, seasonal workers, migrant workers, rural and remote workers. Many of these risks remain either neglected or unaddressed due to gaps in knowledge, limited independent analyses of prevention and a lack of investment in risk reduction strategies.

Employers face costly early retirements, loss of skilled staff, absenteeism, and high insurance premiums due to work-related accidents and diseases. Yet many of these work-related accidents and diseases are preventable through the provision of a safe and healthy work environment.

Relevant reference documents:

ILO Weekly Rest (Industry) Convention, 1921 (No. 14);
ILO Occupational Safety and Health Convention, 1981 (No. 155);
ILO Occupational Health Services Convention, 1985 (No. 161);
ILO Chemicals Convention, 1990 (No. 170);
ILO Prevention of Major Industrial Accidents Convention, 1993 (No. 174).

Indicators

Applicability

Indicators

Description

1.7.1

The UoC shall maintain a health & safety risk assessment, by a person who has the necessary competencies, experience and training as per table 11, Appendix 10.

1.7.2

The UoC shall include at least the following risk factors (step 2 Figure 4, Appendix 7) in the health and safety risk assessment (see 1.7.1):

Risk of physical injuries, acute or chronic, in the workplace2828This includes the following activities, hazards and areas: chemical and biological substances, diving, electricity and electrical equipment, equipment, fire, mechanical and manual handling, natural/physical disaster/event, employee welfare, workplace practices, workplace environment.
Risk of mental injuries, acute or chronic, in the working environment2929This includes the following activities, hazards and area: chemical and biological substances, diving, electricity and electrical equipment, equipment, fire, mechanical and manual handling, natural/physical disaster/event, employee welfare, workplace practices, workplace environment.

1.7.3

The UoC shall implement appropriate measures (step 4 Figure 4, Appendix 7), monitor indicators of risk (step 5a), monitor the effectiveness of measures implemented (step 5b), and repeat risk assessment depending on monitoring outcome.

1.7.4

The UoC shall provide well maintained and appropriate Personal Protective Equipment (PPE) free of charge and according to the need defined in the health & safety risk assessment in indicator 1.7.1.

1.7.5

The UoC shall ensure that appropriate health & safety measures (see 1.7.3) are effectively implemented; this includes appropriate health & safety notices/instructions in the workplace, appropriate equipment maintenance, appropriate training3030Trainings are free of charge for employees and are carried out during remunerated working hours. for employees including on emergency responses, as well as PPE used appropriately by employees.

1.7.6

The UoC shall provide adequate First Aid (including supplies) administered by qualified personnel in the event of a work-related injury; this includes access to professional support such as an ambulance.

1.7.7

Where not provided by a State/National social security/health system, the UoC shall provide and pay for insurance for all employees for work-related accidents or injuries; this includes as a minimum the cost for transport and medical treatment/medication needed to treat the accident or injury, the cost for transport and medical treatment/medication needed for recovery, compensation for lost working hours, as well as the cost for any required repatriation in case of migrant workers.

An exception applies where no suitable insurance is available, the UoC may have a system to cover these costs directly.

1.7.8

The UoC shall allow employees the freedom to remove themselves from an unsafe situation without fear of retribution.

1.7.9

The UoC shall provide access to adequate and clean sanitary facilities, with adequate privacy, which includes separation by gender if required.

1.7.10

The UoC shall provide access to free, clearly labelled, potable water for all employees.

1.7.11

The UoC shall provide access to a designated area to prepare food and eat during breaks.

1.7.12

The UoC shall not require employees to purchase from employer-operated stores or services, such as the use of canteens, as a condition of employment; where alternative stores or services are not available due to the remote location, cost is reasonable and does not include the UoC making a profit from stores and services provided to employees.

1.7.13

The UoC shall provide suitable areas for breast feeding women, and shall allow for additional workday breaks for pregnant and breast-feeding women; nursing breaks shall be counted as working time and remunerated accordingly.

1.7.14

The UoC shall not engage in, or tolerate, mental, physical or verbal abuse, or any other form of harassment.

1.7.15

The UoC shall ensure structural integrity of all buildings and structures within the UoC.

1.7.16

The UoC shall adhere to maritime legislation, specifically regarding the health and safety dimension, for situations where the UoC interacts with maritime traffic.

Criterion 1.8

The UoC respects the right to associate and the right for collective bargaining

Link to Interpretation manual

Rationale

The right to freedom of association is the right to join a formal or informal group to take collective action towards the employer. Freedom of Association and the effective recognition of the right to collective bargaining is one of the core principles of the ILO “Declaration on Fundamental Principles and Rights at Work.” (Conventions 87, 98 and 135).

Collective bargaining provides a more balanced power relationship for attaining beneficial and productive solutions to potentially conflictual relations between workers and employers, including wage negotiations and working conditions. It provides a means of building trust between the parties through negotiation and the articulation and satisfaction of the different interests of the negotiating partners. Collective bargaining plays this role by promoting peaceful, inclusive and democratic participation of representative workers’ and employers’ organisations.

Relevant reference documents:

ILO Freedom of Association and Protection of the Right to Organise Convention, 1948 (No.87);
ILO Right to Organise and Collective Bargaining Convention, 1949 (No. 98);
ILO Workers’ Representatives Convention, 1971 (No. 135).

Indicators

Applicability

Indicators

Description

1.8.1

The UoC shall inform all employees that they are free to join or form workers’ organisations (i.e. trade unions or other organisations that represent their labour concerns and interests), of their own choosing.

1.8.2

The UoC shall inform all employees that they are free to bargain collectively.

1.8.3

The UoC shall not interfere in any way with the establishment, functioning3131This includes the UoC allowing worker organisation representatives access to employees and employee workplaces, during working hours. 3232This includes the UoC engaging in meaningful negotiations when approached by worker organisations. or administration of workers’ organisation(s) or collective bargaining.

1.8.4

The UoC shall, in areas where the right to freedom of association is restricted by law, accept comparable means for freedom of association and collective bargaining.

Criterion 1.9

The UoC contracts employees in a transparent manner

Link to Interpretation manual

Rationale

Employment agreements generally address important aspects of the employment such as wages, benefits, termination procedures, covenants not to compete, and the respective duties and responsibilities of employer and employee. It is a legally binding mutual agreement between two parties, the employer, and the employee, and is designed to give both parties security and protection.

Indicators

Applicability

Indicators

Description

1.9.1

The UoC shall ensure that all employees have received, understood and agreed upon, written and understandable information about their employment terms and conditions prior to migration, and starting employment. This information shall include, at a minimum:

a description of the role and any responsibilities,
the type of contract (e.g. permanent, fixed-term, contractor),
working hours, including allowance for breaks,
paid annual leave and allowance for days off on public holidays,
sick leave,
wages,
any agreed wage deductions (e.g. accommodation, meals),
compensation for overtime,
benefits (e.g. insurances),
provision for free personal protective equipment,
termination terms and conditions; notice period,
access to relevant policies (e.g. anti-discrimination 1.6, and access to trade unions and collective bargaining 1.8).

1.9.2

The UoC shall provide all employees transparency on any process involved in, and documentation on advances, loans, hours worked, pay and the calculation of any deductions, and store copies hereof within the facility.

1.9.3

The UoC shall not use systematic employment arrangements – such as but not limited to labour-only contracting, sub-contracting, family contracting, homeworking, false-apprenticeships, exclusive use of fixed-term contracts – to avoid any social or labour rights towards their employees.

Criterion 1.10

The UoC pays employees at or above the legal minimum wage

Link to Interpretation manual

Rationale

Within the Universal Declaration of Human Rights3333https://www.un.org/en/about-us/universal-declaration-of-human-rights, it is stated that “Everyone who works has the right to just and favourable remuneration ensuring for himself/herself and his/her family an existence worthy of human dignity, and supplemented, if necessary, by other means of social protection.”

This statement captures the idea that every worker deserves a decent reward for their efforts which is set in a transparent manner and safeguarded through company management. Widespread evidence suggests that some wages within the aquaculture sector are still below national legal minimum wages. In addition, low wages also result in other societal barriers.

Relevant reference documents:

ILO Maternity Protection Convention, 1919 (No. 3);
ILO Protection of Wages Convention, 1949 (No. 95);
ILO Maternity Protection Convention, 1952 (No. 103);
ILO Minimum Wage Fixing Convention, 1970 (No. 131);
ILO Maternity Protection Convention, 2000 (No. 183).

Note:

Given the complexities related to determining an applicable Living Wage, and defining the pathway to reach it, ASC is engaged in broader, cross-cutting industry, discussions to develop Living-Wage Indicators. This is in line with the intent as set out by the original Aquaculture Dialogues. It is envisioned that the Living Wage will become part of the ASC Feed Standard into the future.

Indicators

Applicability

Indicators

Description

1.10.1

The UoC shall set wages (before overtime and bonuses) at or above the legal minimum wage; if a minimum wage has not been established by law, the UOC calculates basic needs wages, in consultation with workers or their representative worker organisations.

1.10.2

The UoC shall pay wages in legal tender at regular intervals but at a minimum monthly, and directly to employees, in accordance with national law, and shall not be delayed, deferred or in any way withheld.

1.10.3

The UoC shall document information of wage payment and receipt of all employees, including receipt of information on advances, loans, hours worked, pay and the calculation of any deductions.

1.10.4

The UoC shall ensure that employees are entitled to maternity or paternity protection in accordance with the requirements of national laws and regulations or ILO Convention 1833434A list of points from ILO Convention 183 can be found in the Feed Interpretation Manual., whichever is greater.

Criterion 1.11

The UoC prevents excessive working hours

Link to Interpretation manual

Rationale

Despite the regulation of working time being one of the oldest concerns of labour legislation3535ILO. 2007. Working time around the world: trends in working hours, laws and policies in a global comparative perspective. https://www.ilo.org/wcmsp5/groups/public/@dgreports/@dcomm/@publ/documents/publication/wcms_104895.pdf, excessive working hours are still a widespread issue in many industries and regions.

In many parts of the world, there is a significant link between low wages and excessive working time. Workers subject to extensive overtime can suffer consequences in their work-life balance and are subject to higher fatigue-related accident rates.

ILO standards on working time provide the framework for regulating hours of work, daily and weekly rest periods, and annual holidays which serve to promote higher productivity while safeguarding workers’ physical and mental health.

Relevant reference documents:

ILO Hours of Work (Industry) Convention, 1919 (No. 1);
ILO Weekly Rest (Industry) Convention, 1921 (No. 14);
ILO Holidays with Pay Convention (revisited), 1970 (No. 132);
ILO Night Work Convention, 1990 (No. 171);
ILO The Safety and Health in Agriculture Convention, 2001 (No. 184);
ILO Recommendation Reduction of Hours of Work (Recommendation 116).

For employees aged 18, or higher:

Indicators

Applicability

Indicators

Description

1.11.1

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on regular working hours, but shall not exceed 8 hours per day and 48 hours in a normal week (excluding breaks).

An exception applies where the hours of work on one or more days of the week are less than 8, the limit of 8 hours may be exceeded on the remaining days of the week by the sanction of the competent public authority, or by collective bargaining agreement; provided, however, that in no case shall the daily limit of 8 hours be exceeded by more than 1 hour.

An exception applies where persons are employed in shifts it shall be permissible to employ persons in excess of 8 hours in any 1 day and 48 hours in any 1 week, if the average number of hours over a period of 3 weeks or less does not exceed 8 per day and 48 per week.

1.11.2

The UoC shall keep records of the hours worked by employees.

1.11.3

The UoC shall ensure that overtime hours are voluntary, occur only under exceptional circumstances and are not requested regularly.

1.11.4

The UoC shall ensure that overtime is not more than 12 hours per week.

1.11.5

The UoC shall ensure that overtime hours are paid at a premium rate as defined by collective bargaining agreements (if applicable) or industry standards. In cases where this is not defined, a premium rate of a minimum of 125% of the agreed salary is applied to overtime hours.

1.11.6

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on workday breaks, but shall not be less than 1 hour per 8 hours of work.

1.11.7

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on daily rest, but shall not be less than 11 consecutive hours per 24 hours.

1.11.8

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on weekly rest, but shall not be less than 24 consecutive hours (1 day) of rest within a 7-day period.

1.11.9

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on annual leave3636Best practice according to ILO Convention 132 is to provide no less than three paid working weeks for one calendar year of full-time service (Indicator 1.11.1)..

1.11.10

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on premium rates, working hours, breaks, daily rest, weekly rest and health assessments for night work.

1.11.11

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on working hours, but shall not exceed 8 hours per day3737Combined school, work and transportation time (to/from school and work) shall not exceed a total of 10 hours per day. and 40 hours in a week (excluding breaks)3838These hours shall not be averaged over a period longer than a week..

1.11.12

The UoC shall keep records of the hours worked by every employee.

1.11.13

The UoC shall not allow overtime hours.

1.11.14

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on workday breaks, but shall not be less than 0.5 hour per 4.5 hours of work.

1.11.15

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on daily rest, but shall not be less than 12 consecutive hours per 24 hours.

1.11.16

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on weekly rest, but shall not be less than 48 consecutive hours (2 days) of rest within a 7-day period.

1.11.17

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on annual leave3939Best practice according to ILO Convention 132 is to provide no less than three paid working weeks for one calendar year of full-time service (Indicator 1.11.11)..

1.11.18

The UoC shall not allow young employees, to work between 10pm and 6am.

1.11.19

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on working hours, but shall not exceed 8 hours per day4040Combined school, work and transportation time (to/from school and work) shall not exceed a total of 10 hours per day. and 40 hours in a week (excluding breaks)4141These hours shall not be averaged over a period longer than a week..

1.11.20

The UoC shall keep records of the hours worked by every employee.

1.11.21

The UoC shall not allow overtime hours.

1.11.22

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on workday breaks, but shall not be less than 0.5 hour per 3 hours of work.

1.11.23

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on daily rest, but shall not be less than 14 consecutive hours per 24 hours.

1.11.24

1.11.25

The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on annual leave4242Best practice according to ILO Convention 132 is to provide no less than three paid working weeks for one calendar year of full-time service (Indicator 1.11.19)..

1.11.26

The UoC shall not allow children, not yet classified as young employee, to work between 8pm and 6am.

Criterion 1.12

The UoC has disciplinary practices that respect the dignity and health of the employee

Link to Interpretation manual

Rationale

Disciplinary practices are not covered by a specific ILO Convention but there are several UN agreements (see below) that collectively establish an international norm for disciplinary practices. The latter are intended to course-correct the behaviour or performance of workers, as there is a risk that this could be done in an unfair or degrading manner.

Despite not being embedded in an ILO Convention, most of the UN member states have ratified these treaties, indicating their commitment to abolish any practice that may compromise or damage an individual’s physical and mental well-being. In addition, many countries have specific national legislation making abuse in the workplace a criminal offense.

Aiming to protect both the dignity and the physical and mental health of any individual, these instruments strive to deliver an effective and consistent method of dealing with disciplinary and performance matters. Improving motivation, establishing, and carrying out a constructive disciplinary process is a key part of responsible human resource management.

Relevant reference documents:

Universal Declaration of Human Rights (1948);
International Covenant on Civil and Political Rights (1966);
Declaration on the Protection of All Persons from Being Subjected to Torture and Other Cruel, Inhuman or Degrading Treatment or Punishment (1975).

Indicators

Applicability

Indicators

Description

1.12.1

The UoC shall have transparent disciplinary procedures and applies them in a progressive and objective manner, ensuring dignity and respect towards the employee.

1.12.2

The UoC shall not deduct from wages or benefits for the purpose of disciplinary action.

Criterion 1.13

The UoC provides effective worker grievance mechanisms

Link to Interpretation manual

Grievance Mechanisms

Rationale

Grievances and conflicts are an inevitable part of employment relationships. Worker grievance mechanisms are also called ‘dispute’, ‘complaints’ or ‘accountability’ mechanisms and offer a system in which both the worker and the employer have the possibility to effectively address a workplace problem. The latter can for instance relate to disputes between individuals as well as to workplace condition complaints.

When implemented effectively, these systems facilitate dialogue between parties before – rather than in reaction to – disputes.

Relevant reference documents:

ILO The Examination of Grievances Recommendation, 1967 (No. 130).

Indicators

Applicability

Indicators

Description

1.13.1

The UoC shall have a system in place, which all employees are familiar with, which facilitates dialogue between parties (e.g. between employees and different management levels) before, rather than in reaction to, disputes.

1.13.2

The UoC shall have a grievance procedure accessible and applicable to all employees.

1.13.3

The UoC shall have a grievance procedure that includes requirements for non-retaliation.

1.13.4

The UoC shall address all grievances within a 90-day timeframe of submission.

1.13.5

The UoC shall track grievances, resulting responses and remedy.

1.13.6

The UoC shall have a decision-making grievance committee that is made up of members representing the diversity of employees, in order to ensure special consideration for vulnerable groups such as new and expectant mothers, and migrant workers.

1.13.7

The UoC’s grievance committee shall ensure that grievances are processed fairly, resulting in an effective outcome, and facilitates dialogue where needed.

1.13.8

The UoC shall ensure a confidential process is provided for, if preferred by the employee/entity submitting a grievance, and shall only share information as necessary to investigate the grievance.

Criterion 1.14

The UoC provides safe, decent and hygienic worker accommodation

Link to Interpretation manual

Rationale

Within the United Nations (UN) Universal Declaration of Human Rights (UDHR) it is recognised that everyone has the right to a standard of living (including housing) which is adequate for the health and well-being of themselves and their family. In many sectors, including in feed production, workers can reside for a period of time in accommodation provided by the employer. This is especially the case when workplaces are remote or where workers cannot commute between shifts due to distances or other logistical challenges.

As workers in these situations are not always able to find alternatives, the accommodation provided by the employer must be safe, decent and hygienic.

Relevant reference document(s):

ILO Workers’ Housing Recommendation, 1961 (No. 115).

Indicators

Applicability

Indicators

Description

1.14.1

The UoC shall ensure that any dormitory facilities provided for personnel or their family are safe, whether it owns, leases or contracts the dormitories from a service provider; this includes provision of safety systems, emergency/escape routes, ventilation, reasonable protection from heat, cold, noise, smell and dust, as well as adequate privacy, including separation by gender if required.

1.14.2

The UoC shall ensure that any dormitory facilities provided for personnel or their family are clean, hygienic and meets their basic needs, whether it owns, leases or contracts the dormitories from a service provider.

1.14.3

The UoC shall arrange for annual meetings between employee representatives and management, to discuss improvements to housing.

1.14.4

The UoC shall ensure that dormitory facilities are located separately from production facilities.

1.14.5

The UoC shall ensure that any rent is reasonable and does not include the UoC making a profit from accommodation provided to employees.

1.14.6

The UoC shall provide access to appropriate sanitary facilities (within the dormitory facilities) that are clean and that provide adequate privacy, including separation by gender if required.

Criterion 1.15

The UoC contributes to maintaining or enhancing the social and economic well-being of local communities

Link to Interpretation manual

Grievance Mechanisms

Rationale

Feed industry operations often form an important part of the economic backbone of the (often remote) communities in which they are located. At the same time as providing employment opportunities, conflicting activities or interests between the industry’s operation and local communities can lead to tensions and other negative impacts. These can for example revolve around siting of operations in relationship to communities, and potential impacts from emissions such as noise, smell, dust, as well as impacts from increased traffic, etc.

This Criterion aims to make the UoC aware of its impact on the neighbouring community and requires the UoC to engage in a constructive manner.

Indicators

Applicability

Indicators

Description

1.15.1

The UoC shall proactively engage4343The intention of this indicator is for the UoC to reach out, and in a joint effort with the local community, develop monitoring and action plans as needed; however, where involvement is not desired by local communities, a joint project is not required. ASC acknowledges that local communities may not in all instances wish to engage. with the local community to periodically identify, avoid or mitigate significant negative social impacts4444ASC is in the process of developing an Environmental and Social Risk Framework. See Definition List for ‘Risk Assessment’. resulting from activities of the UoC.

1.15.2

The UoC shall have a grievance procedure accessible and applicable to the local community.

1.15.3

The UoC shall make known to the community how grievances can be submitted and how the mechanism for dealing with grievances works.

1.15.4

The UoC shall have a grievance procedure that includes requirements for non-retaliation.

1.15.5

The UoC shall address all grievances resulting from activities created by the UoC within a 90-day timeframe from the date of submission by local communities.

1.15.6

The UoC shall track grievances, resulting responses and remedy.

1.15.7

The UoC shall have a decision-making grievance committee, including members representing local communities, in order to ensure special consideration for vulnerable groups.

1.15.8

The UoC’s grievance committee shall ensure that grievances are processed fairly, resulting in an effective outcome, and facilitates dialogue where needed.

1.15.9

The UoC shall ensure a confidential process is provided for, if preferred by the person/entity submitting a grievance, and shall only share information as necessary to investigate the grievance.

1.15.10

The UoC shall not restrict or negatively affect community and community members’ rights to food security, and access to resources including land and water, resulting from activities by the UoC.

1.15.11

The UoC shall, to the extent possible4545ASC acknowledges that sourcing locally is not always possible. Where the UoC makes efforts to source locally, but a review by the UoC indicates that for example staff with the desired technical knowledge, or goods of a desired quality, are not available, then sourcing locally is not required., source goods and services, including employment, from the local communities.

Criterion 1.16

The UoC respects Indigenous and tribal people’s rights, cultures and traditional territories

Link to Interpretation manual

Grievance Mechanisms

Rationale

Many of the world’s resources are located on land owned or controlled by Indigenous and tribal peoples. The UN estimates that there are over 370 million Indigenous and tribal peoples living in over 90 countries4646UNDESA. 2017. State of the World’s Indigenous Peoples III, Education. . This means businesses are frequently in close contact with Indigenous and tribal peoples, and improving these relationships is becoming increasingly important.

Historically, many Indigenous and tribal peoples have suffered from abuse, discrimination, and marginalisation, and this continues today in many areas. As a result, many Indigenous and tribal peoples live in poverty and poor health; and their cultures, languages and ways of life are threatened. Indigenous and tribal peoples comprise five per cent of the world’s population, yet they make up 15 per cent of the world’s poor and one-third of the world’s extremely poor4747International Fund for Agricultural Development, Engagement with Indigenous Peoples Policy, 2009. https://www.thegef.org/sites/default/files/publications/Indigenous_Peoples_Principle_EN.pdf. In many areas, their average life expectancy is shorter than non-Indigenous people4848See ST/ESA/328.. Facing these realities, Indigenous and tribal peoples are often particularly vulnerable to the negative impacts of commercial development and business activities4949UN Global Compact. 2013. A Business Reference Guide on the Declaration on the Rights of Indigenous Peoples. https://www.unglobalcompact.org/docs/issues_doc/human_rights/IndigenousPeoples/BusinessGuide.pdf.

Compounded by the fact that Indigenous and tribal peoples are often an integral part of aquaculture operations’ ‘local communities’, businesses have an opportunity to involve Indigenous and tribal peoples in business ventures as owners, suppliers, contractors and employees. This can contribute to the long-term success of projects and help embed the business in the local community.

Relevant reference document(s):

ILO Indigenous and Tribal Populations, 1989 (No. 107)
ILO Indigenous and Tribal Populations, 1957 (No. 169)

Note:

ASC intends to implement Free, Prior and Informed Consent (FPIC) indicators into a future version of the ASC Feed Standard. Given the complexities related to this topic, ASC is engaged in broader, cross-cutting industry discussions to develop consistent FPIC-indicators.

Indicators

Applicability

Indicators

Description

1.16.1

The UoC shall proactively engage5050The intention of this indicator is for the UoC to reach out, and in a joint effort with the local community, develop monitoring and action plans as needed; however, where involvement is not desired by local communities, a joint project is not required. ASC acknowledges that local communities may not in all instances wish to engage. with the Indigenous and tribal peoples to identify, avoid and mitigate significant social impacts5151ASC is in the process of developing an Environmental and Social Risk Framework. See Definition List for ‘Risk Assessment’. resulting from activities of the UoC.

1.16.2

The UoC shall have a grievance procedure accessible and applicable to Indigenous peoples.

1.16.3

The UoC shall make known to the Indigenous and tribal peoples how grievances can be submitted and how the mechanism for dealing with grievances works.

1.16.4

The UoC shall have a grievance procedure that includes requirements for non-retaliation.

1.16.5

The UoC shall address all grievances resulting from activities created by the UoC within a 90-day timeframe from the date of submission by Indigenous and tribal peoples.

1.16.6

The UoC shall track grievances, resulting responses and remedy.

1.16.7

The UoC shall have a decision-making grievance committee, including members representing Indigenous and tribal peoples, in order to ensure special consideration for vulnerable groups.

1.16.8

The UoC’s grievance committee shall ensure that grievances are processed fairly, resulting in an effective outcome, and facilitates dialogue where needed.

1.16.9

The UoC shall ensure a confidential process is provided for, if preferred by the person/entity submitting a grievance, and shall only share information as necessary to investigate the grievance

1.16.10

The UoC shall not restrict or negatively affect Indigenous and tribal people’s rights and access to sites which are of special cultural, ecological, economic, religious or spiritual significance, and for which the Indigenous and tribal peoples hold legal or customary rights.

1.16.11

The UoC shall not restrict or negatively affect Indigenous and tribal people’s rights to food security, and access to resources including land and water, resulting from activities by the UoC.

1.16.12

The UoC shall, to the extent possible5252ASC acknowledges that sourcing locally is not always possible. Where the UoC makes efforts to source locally, but a review by the UOC indicates that for example staff with the desired technical knowledge, or goods of a desired quality, are not available, then sourcing locally is not required., source goods and services, including employment, from local Indigenous and tribal peoples.

Criterion 1.17

The UoC is in compliance with applicable environmental laws and regulations

Link to Interpretation manual

Rationale

In combination with the Indicators under Criterion 1.1, compliance with environmental regulations represents a fundamental basis for the development of an environmentally responsible aquaculture feed sector.

Indicators

Applicability

Indicators

Description

1.17.1

The UoC shall comply with all applicable environmental-related laws and regulations and maintain a system for compliance with them.

Criterion 1.18

The UoC uses water responsibly

Link to Interpretation manual

Water Management

Rationale

Demand for freshwater is increasing due to a range of factors including changing availability, population growth, urbanisation, income growth and dietary shifts, with agricultural production being the main consumer of water. As such there is growing competition for this precious resource. It is important that feed manufacturers are aware of their water use and act to improve the water efficiency of their production process.

The source of freshwater (i.e., surface water, ground water) and the local conditions (e.g., rainfall, sensitivity of ecosystems) are very important in determining whether or not the utilisation of this resource is detrimental to the natural environment. As such, water use data should be reported by source.

Indicators

Applicability

Indicators

Description

1.18.1

The UoC shall calculate its water consumption from production following the method outlined in Appendix 2, section A1.

1.18.2

The UoC shall report annually to ASC its water consumption per site according to ASC data submission procedures.

1.18.3

Where wells are used, groundwater levels shall be measured and recorded on a regular basis (taking into account seasonal fluctuation) and at least once a year.

1.18.4

The UoC shall develop and implement a Water Conservation and Efficiency Plan (WCEP)5353The WCEP shall be embedded within a Management Framework as outlined in Appendix 7, fig. 4;whereby the “intent” in step 1 is pre-defined as “the UoC reduces water consumption as a result of inefficient practices”,the “risk factors” in step 2 are pre-defined as “not achieving the intent of the WCEP within a 6-year period”,the “risk assessment” is carried out according to step 3,“measures” include both the “improvement of practices” as well as “removal of most points of water wastage” and are carried out according to step 4, and“monitoring” and a “repeat” of the process according to steps 5a and 5b.View More with the intent to reduce water consumption as a result of inefficient practices, where possible. The WCEP shall include the identification of responsible practices, and measures to move away from poor practices and increase responsible practices within a meaningful timeline.

1.18.5

The UoC shall report annually to ASC, according to ASC data submission procedures, whether the UoC is operating in a region of “high” or “extremely high” water stress, according to the Aqueduct Water Risk Atlas5454https://www.wri.org/aqueduct.

1.18.6

In areas of “high” and “extremely high” water stress according to the Aqueduct Water Risk Atlas5555https://www.wri.org/aqueduct, the UoC shall annually perform a risk assessment5656The risk assessment shall be embedded within a Management Framework as outlined in Appendix 7, fig. 4;whereby the risk factor in step 2 is pre-defined as “the UoC is contributing to water supply problems for ecosystems and communities”,the risk assessment is carried out according to step 3, andmeasures in step 4 shall be implemented as far as these can be managed by the UoC. to assess if the WCEP (1.18.4) includes adequate measures to minimise the risk that the UoC is contributing to water supply problems for ecosystems and communities using the same water source.

Criterion 1.19

The UoC handles waste responsibly

Link to Interpretation manual

Waste Management

Rationale

Effective waste management ensures that resources are used in an efficient manner by reducing the amount of materials thrown away unnecessarily. It also ensures that waste containing dangerous substances are disposed of properly and do not cause harm. Feed manufacturers should aim to reduce waste and where this is not possible, find ways to reuse or recycle it. All waste must be stored and disposed of in a safe and responsible manner, with particular care taken for waste that contains substances known to be hazardous to people and the environment.

Indicators

Applicability

Indicators

Description

1.19.1

The UoC shall calculate its waste generation from production following the method outlined in Appendix 2, section A4.

1.19.2

The UoC shall report annually to ASC its waste generation per site according to ASC data submission procedures.

1.19.3

The UoC shall develop and implement a documented Waste Management Plan (WMP)5757The WMP shall be embedded within a Management Framework as outlined in Appendix 7, fig. 4;whereby the “intent” in step 1 is pre-defined as “the UoC avoids waste and recovers resources where possible”,the “risk factors” in step 2 are pre-defined as “not achieving the intent of the WMP within a 6-year period”,the “risk assessment” is carried out according to step 3,“measures” include the 1) improvement of practices, 2) reduction in waste generation, 3) increase in waste recovery, 4) adaptation of activities to replace hazardous with non-hazardous waste, 5) increase in the use of responsible disposal of waste, 6) removal of most points of waste leakage and loss of waste, and waste not disposed of responsibly; a) for chemical and hazardous waste, and for b) non-hazardous waste for which materials are known to cause physical harm when discarded; e.g. the threat of marine pollution resulting from plastics, and are carried out according to step 4, and“monitoring” and a “repeat” of the process according to steps 5a and 5b.View More with the intent to improve waste avoidance and resource recovery where possible. The WMP shall include the identification of responsible practices, and measures to move away from poor practices and increase responsible practices within a meaningful timeline.

1.19.4

The UoC shall handle and store chemicals and hazardous materials and waste in a safe manner.

1.19.5

The UoC shall account for all chemicals and other hazardous waste on site.

1.19.6

The UoC shall dispose of waste materials which are not re-used or recycled, in a responsible manner. Dumping waste outside the UoC site in unofficial sites and littering is prohibited.

Criterion 1.20

The UoC handles effluent responsibly

Link to Interpretation manual

Effluent Management

Rationale

Effluents created from the production of aquafeeds can create problems for human and environmental health if not managed correctly. Therefore, it is important that feed manufacturers have procedures in place to avoid such incidences from occurring.

Indicators

Applicability

Indicators

Description

1.20.1

The UoC shall calculate its effluent discharge from production following the method outlined in Appendix 2, section A2.

1.20.2

The UoC shall report annually to ASC its effluent discharge per site according to ASC data submission procedures.

1.20.3

The UoC shall develop and implement an Effluent Management Plan (EMP)5858The EMP shall be embedded within a Management Framework as outlined in Appendix 7, fig. 4;whereby the “intent” in step 1 is pre-defined as “the UoC reduces negative impacts on receiving waters in terms of ecosystems and human health”,the “risk factors” in step 2 are pre-defined as “not achieving the intent of the EMP within a 6-year period”,the “risk assessment” is carried out according to step 3,“measures” include the “improvement of practices”, “discharge limits or minimum treatment requirements for substances of concern”, “spill prevention and spill response measures”, and are carried out according to step 4, and“monitoring” and a “repeat” of the process according to steps 5a and 5b.View More with the intent to reduce negative impacts on receiving waters in terms of ecosystems and human health. The EMP shall include the identification of responsible practices, and measures to move away from poor practices and increase responsible practices within a meaningful timeline. The plan shall also include spill prevention and response measures.

Criterion 1.21

The UoC uses energy responsibly and monitors Greenhouse Gases (GHG) emissions

Link to Interpretation manual

Using the ASC GHG Feed Calculator

ASC Feed Standard: Energy Use and Efficiency

Rationale

The energy used in the production of aquafeeds is not only a source of economic costs; it may also contribute to depletion of finite natural resources and emissions of greenhouse gases (GHG) and other pollutants from burning of fossil fuels. There is scientific consensus that the global climate is changing and that this is closely related to the rising levels of GHG emissions coming from human activities. Most GHG emissions in aquafeed supply chains occur upstream during production of feed ingredients, including from deforestation for crop production, fertiliser use on fields, and fuel use in fisheries. Direct emissions from feed mills, meanwhile, are typically associated with the provision of energy and particularly the burning of fossil fuels. Therefore, it is important that energy is used as efficiently as possible to minimise the associated economic and environmental costs. The use of alternative sources to fossil fuels is encouraged. Different energy sources have different implications for the environment via both direct emissions from burning of fuels and indirect emissions from electricity generation and mining, refining, and transport of fuels. Therefore, it is important to have the results broken down into specific energy sources, including the share of renewable energy in the mix. Feed manufacturers should play their role in climate change mitigation by measuring the GHG emissions from their direct operations and engaging in activities to reduce these.

Indicators

Applicability

Indicators

Description

1.21.1

The UoC shall calculate its energy consumption from production following the method outlined in Appendix 2, section A3.

1.21.2

The UoC shall report annually to ASC its energy consumption per site according to ASC data submission procedures.

1.21.3

The UoC shall develop and implement an Energy Efficiency Management Plan (EEMP)5959The EEMP shall be embedded within a Management Framework as outlined in Appendix 7, fig. 4;whereby the intent in step 1 is pre-defined as “the UoC improves energy efficiency and/or increases the proportion of energy coming from renewable sources”,the risk factors in step 2 are pre-defined as “not achieving the intent of the EEMP within a 6-year period”,the “risk assessment” is carried out according to step 3,“measures” include the improvement of practices, removal of most points of energy wastage, replacement of non-renewable energy sources with renewable energy sources, where deemed feasible by the UoC, and are carried out according to step 4, and“monitoring” and a “repeat” of the process according to steps 5a and 5b.View More with the intent to improve energy efficiency and to increase the proportion of energy coming from renewable energy sources. The EEMP shall include the identification of responsible practices, and measures to move away from poor practices and increase responsible practices within a meaningful timeline.

1.21.4

The UoC shall calculate its Greenhouse Gas (GHG) emissions in kg CO₂ equivalents per tonne of (species specific6060For the purpose of GHG calculations, species-specific results are only required for species within the scope of the ASC Farm Standard and may refer to the general species groups as listed in the ASC Farm Standard (Flatfish, Salmonids, etc.)) product produced/year, following the method outlined in Appendix 2, section B.

1.21.5

The UoC shall report annually (publicly and to ASC) its Greenhouse Gas (GHG) emissions in kg CO₂ equivalents per tonne of (species specific) product produced/year, according to ASC data submission procedures.

Principle 2

The UoC sources ingredients responsibly.

ASC Feed Standard: Due Diligence

Criterion 2.1

The UoC implements a Supplier Code of Conduct

Link to Interpretation manual

Rationale

The Supplier Code of Conduct is an important starting place for managing the potential socio-environmental risks of the ingredients that go into aquaculture feed. The Code of Conduct is a tool to prompt greater communication around sustainability expectations between the feed manufacturer and its suppliers (i.e. ingredient manufacturers and their supplying manufacturers) and as such is best made public. The aim of the code of conduct is thus to raise awareness and ensure mitigation measures have been initiated for socio-environmental risks. In contrast the Due Diligence carried out by the feed mill addresses only the more pressing of these risks, and requires an in-depth review by the feed mill to ensure that these risks have adequately been dealt with within the supply chain (i.e. ingredient manufacturers and raw material producers).

Indicators

Applicability

Indicators

Description

2.1.1

The UoC shall effectively implement a Supplier Code of Conduct that includes, at a minimum, the points listed in Indicators 2.1.3–2.1.8.

2.1.2

The UoC shall have the Supplier Code of Conduct (Indicator 2.1.1) publicly available.

2.1.3

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC requires ingredient manufacturers to meet, as a minimum, the licence and permit-related Indicators as defined in:

Criterion 1.1 (legal licenses and permits)

2.1.4

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC requires ingredient manufacturers to meet, as a minimum, the environmental and social-related Indicators as defined in:

Criterion 1.3 (legal compliance with relevant Labour Laws)
Criterion 1.4 (forced, bonded or compulsory labour)
Criterion 1.5 (protection of children and young employees)
Criterion 1.6 (discrimination)
Criterion 1.7 (safe & healthy working environment)
Criterion 1.8 (freedom to associate & collective bargaining)
Criterion 1.9 (contracts workers in a transparent manner)
Criterion 1.10 (legal wages)
Criterion 1.11 (working hours)
Criterion 1.12 (disciplinary practices)
Criterion 1.13 (worker grievance mechanisms)
Criterion 1.14 (decent accommodation)
Criterion 1.15 (community engagement)
Criterion 1.16 (Indigenous people)
Criterion 1.17 (legal compliance with relevant Environmental Laws)
Criterion 1.18 (water use)
Criterion 1.19 (waste management)
Criterion 1.20 (effluent management)
Criterion 1.21 (energy consumption)
Indicator 3.4.2 and 3.4.3 (product characteristics)

2.1.5

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC communicates that it will discontinue purchases from ingredient manufacturers that do not meet the Supplier Code of Conduct.

2.1.6

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC shall require ingredient manufacturers to declare to the UoC whether they meet the Supplier Code of Conduct (Indicator 2.1.1)6161The UoC, ingredient manufacturers, and the ingredient manufacturers’ supplying manufacturers shall use the following understanding when declaring whether or not they meet the Supplier Code of Conduct: All criteria and indicators listed in 2.1.3 and 2.1.4 are fully met or measures have been implemented to ensure they will be met (see Appendix 7, figure 4, step 4).6262In other words, the ingredient manufacturer’s supplying manufacturers, declares to the UoC’s ingredient manufacturer..

2.1.7

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC shall require its ingredient manufacturers to inform the UoC in case of any material changes in relation to Indicator 2.1.6.

2.1.8

Within the Supplier Code of Conduct (Indicator 2.1.1) the UoC shall require ingredient manufacturers to communicate an equivalent set of requirements (Indicator 2.1.1.) with the same intention, to their suppliers (i.e. manufacturers of purchased feed materials).

Criterion 2.2

The UoC conducts Due Diligence on ingredient manufacturers and primary raw material production

Link to Interpretation manual

Rationale

Due Diligence provides a pathway to understand the origins and potential impacts of the ingredients in aquaculture feed. As a first step, feed manufacturers must strive for continuous improvement in achieving greater traceability on the origins of their raw materials. In this Standard, a UoC must publish its primary raw material and their respective countries (or fisheries in case of marine ingredients) of origin. Then, within three years, the UoC must identify the region within the country of origin for its plant raw materials. Greater visibility allows feed manufacturers to conduct more meaningful due diligence on the potential negative impacts that these materials have created prior to reaching the feed manufacturer.

The Supplier Code of Conduct covers a wider range of topics, relying on self-declaration as a first step in raising awareness and working with supply chains; combined with this there is the Due Diligence, which includes an in-depth assessment of a smaller range but more serious risks at the ingredient manufacturer facility and at raw material production level.

Indicators

Applicability

Indicators

Description

2.2.1

The UoC shall require ingredient manufacturers to cooperate in providing relevant information that enables the UoC to conduct a Due Diligence on the ingredient manufacturer, as well as on primary raw material production.

2.2.2

The UoC shall maintain accurate and up-to-date listing(s) for all ingredients6363An exemption applies to the following feed additives per default, even if they represent >1% total annual ingredient-weight (volume) received by the UoC: premixes, vitamins, minerals, trace elements, colourants. that represent >1%6464This percentage refers to a unique ingredient from each individual manufacturer. of the total annual ingredient-weight (volume) received by the UoC. The list shall include the following information:

name and contact details of manufacturers of the ingredients;
primary raw material of the ingredients;
for terrestrial primary raw materials, the country(ies)of origin;
for marine primary raw material, the fishery(ies) of origin.

2.2.3

The UoC shall annually publish6565An exemption applies to commercial sensitive information relating to the name or identification of the supplier and/or manufacturer as well as diet formulation which is not required to be publicly disclosed. the listed ingredients, their primary raw material and the country(ies)/fishery(ies) of primary raw material production (Indicator 2.2.2).

2.2.4

The UoC shall publish (from the start of the second certification cycle onwards) the production region(s) within the country(ies) of primary raw material production on an annual basis. This only applies to terrestrial plant-derived ingredients.

2.2.5

The UoC shall conduct the Due Diligence6666If an ingredient is composed of primary raw material originating from multiple countries/fisheries (i.e. mixed batches), the country/fishery with the highest risk dominates. An example would be wheat gluten from wheat produced in three countries – the country(ies) with the highest risk profile dominates the overall risk profile. on its ingredient manufacturers of marine-based ingredients, plant-based ingredients and other feed stuffs for the risk factors listed in table 1, and using one of the four pathways defined in Appendix 36767In other words, no Due Diligence is required for ingredient manufactures of feed additives..

2.2.6

The UoC shall conduct the Due Diligence on its primary marine and plant raw material production for the risk factors listed in table 1, and using one of the four pathways defined in Appendix 3.6868In other words, no Due Diligence is required for non-marine and non-plant raw materials such as, for example, feed stuffs.6969The due diligence for marine raw material shall include all products derived from fisheries, whole fish as well as by-products, with the exemption of by-catch retained under the EU landing obligation. An exemption also applies to by-products derived from aquaculture.

2.2.7

The UoC shall, in all cases where one of the two pathways “sectoral/fishery assessment” or “ingredient manufacturer assessment” is selected, follow all five risk management framework steps outlined in figure 4, Appendix 7.

2.2.8

The UoC shall have a system to ensure it only sources from supply chains where the outcome of the Due Diligence on the ingredient manufacturer indicates low risk for the risk factors referred to in 2.2.5.7070In other words, the Due Diligence is passed when low risk has been determined for all applicable risk factors.7171A visualisation of these requirements can be found in Appendix 5, Figures 1 and 2.

2.2.9

The UoC shall have a system to ensure it only sources marine- and plant-based ingredients where the outcome of the Due Diligence on the respective primary raw material production indicates low risk for the risk factors referred to in 2.2.6.7272In other words, the Due Diligence is passed when low risk has been determined for all applicable risk factors.7373A visualisation of these requirements can be found in Appendix 5, Figures 1 and 2.

2.2.10

The UoC shall annually publish and report to ASC an overview of the outcome of the Due Diligences carried out and the respective pathways chosen7474An exemption applies where due diligence has not been passed. per UoC, according to ASC data submission procedures.

2.2.11

In all cases where the pathways “sectoral/fishery assessment” or “ingredient manufacturer assessment” (see Appendix 3) are chosen, the UoC shall publish and share with ASC an up-to-date summary report per UoC including the evidence as required under b. of each pathway in Appendix 3, according to ASC data submission procedures.

2.2.12

In all cases where the pathways “sectoral/fishery assessment” or “ingredient manufacturer assessment” (see Appendix 3) are chosen, the UoC shall ensure that only competent person(s), team(s) or organisation(s) conduct Due Diligence as per Appendix 10.

2.2.13

The UoC shall implement documented procedures with clearly defined responsibilities for processes specific to its ingredient supply chains and their risks as per Appendix 11.

Principle 3

The UoC accounts for eligible ingredients input and feed output.

Criterion 3.1

The UoC implements an ingredient in-coming and out-going accounting system

Link to Interpretation manual

Rationale

Aquaculture, as part of the broader seafood sector, is highly vulnerable to food fraud, especially product mislabelling and species substitution. In addition to this, there are traceability challenges related to the origin of the raw materials used and the complexity of the supply chain associated with aquaculture feed production.

The ASC Feed Steering Committee appreciates that by the time the ASC Feed Standard is released, it is most unlikely that there are sufficient volumes of sustainably certified raw materials to produce ASC conforming feed. Until then and as the first step, feed mills can use one or both of the two ASC accepted production models and ASC conforming feed may come in two forms – according to the mass balance production model (containing both eligible and non-eligible ingredients) or according to the segregation production model (containing only eligible ingredients). However, feed mills are encouraged to source increasingly more eligible ingredients for ASC conforming feed.

To be able to produce feed under the segregation production model, feed mills are required to identify and segregate eligible ingredients from non-eligible ingredients throughout all stages of production.

To produce feed under the mass balance production model, feed mills are required to have an accounting system in place to ensure volumes of incoming eligible ingredients cover the volumes of outgoing feed produced under the mass balance production model.

Indicators

Applicability

Indicators

Description

3.1.1

The UoC shall record all ingredients received, including:

Name and contact details of supplier;
Date of shipping and physical receipt;
Name and contact details of manufacturer;

Name of ingredient/unique identifier;
Unique Batch number / Lot code
Country (and region as required in Indicator 2.2.3 and 2.2.4) or fisheries of primary raw material production;
Quantity received (in kg or t);
Whether or not the ingredient consists of or contains, Genetically Modified material;
Whether or not the ingredient consists of or contains antibiotics, and if so, the inclusion level (mg or g/kg);
Validity of applicable Chain of Custody certification;
The marine sustainability category as defined in Principle 4;
Risk of legal deforestation/conversion for category 1) soy and oil palm-derived ingredients, as well as for category 2) highest-volume plant ingredients

3.1.2

The UoC shall record all dispatched product, including:

Name and address of customer
Date of shipping and physical dispatch;
Name of product/unique identifier;
Quantity dispatched (in kg or t);
Whether or not the product consists of, or contains, Genetically Modified material;
Whether or not the product consists of or contains antibiotics, and if so, the inclusion level (mg or g/kg);
Whether or not the product was dispatched under the ASC segregation production model
Whether or not the product was dispatched under the ASC mass balance production model

3.1.3

The UoC shall have a documented procedure for managing non-conforming ASC product that includes the requirements listed in Appendix 12.

3.1.4

The UoC shall operate an Ingredient Accounting System (IAS) that meets the requirements of Appendix 13.

3.1.5

The UoC shall have a documented traceability system in place which meets the requirements of Appendix 14 and that ensures identity details of ingredients are recorded; this shall include ingredients during receiving, as well as any product produced thereof, through all stages within the UoC to dispatch.

3.1.6

The UoC shall have systems in place which meet the requirements of Appendix 14 to ensure ASC eligible ingredients and non-eligible ingredients remain segregated from receiving through all stages within the UoC to dispatch, in order to prevent mixing.

Criterion 3.2

The UoC determines eligible ingredients and calculates its mass-balance eligible volume

Link to Interpretation manual

Rationale

Compliance with the sustainability indicators in this Standard requires an accurate classification of the ingredients coming into the mill. Not all ingredients which can be sourced by the UoC also count towards the mass balance eligible volume. The indicators in this criterion set the requirements for this calculation.

Indicators

Applicability

Indicators

Description

3.2.1

The UoC shall determine which ingredients are eligible ingredients, and calculate the mass balance eligible volume following the instructions in Appendix 5, recording the details of the calculation steps.

3.2.2

The UoC shall carry out the mass balance calculation annually, over a period of 12 months (January until December7575Other approaches for mass balance calculation will be reviewed by ASC and could be accepted in the future.) and according to the balancing instructions in Appendix 14.

3.2.3

The UoC shall assess if processing ingredient prior to their use to manufacture the end product is likely to result in a change7676For example, due to the extraction or addition of water, or removal of waste. of more than 5% by weight (volume) between the time of ingredient receiving and the time of its use. If so, the weight (volume) difference for pre-processing shall be determined and recorded, and shall be considered for the calculation of the mass balance eligible volume.

3.2.4

The UoC shall report annually to ASC the total volume of product sold under the mass balance production model per UoC according to ASC data submission procedures.

3.2.5

The UoC shall report annually to ASC the total volume of product sold under the segregation production model per UoC according to ASC data submission procedures.

Criterion 3.3

The UoC labels products correctly

Link to Interpretation manual

Rationale

To encourage uptake of the ASC Feed Standard, the UoC may only sell a portion of its output as ASC conforming feed. This initial version of the Standard permits manufacturers to choose between two production models: the ASC Segregation production model and the ASC Mass balance production model. The indicators in this criterion set the requirements for labelling (or identification) that can be made on final product depending on the production model used.

Note:

Both production models can be in use at the UoC at any time.

Indicators

Applicability

Indicators

Description

3.3.1

In cases where the UoC sells ASC product to an entity other than directly to an ASC certified farm, e.g., trader or distributor, the UoC shall:

pack ASC product with tamper proof & traceable labels or seals (i.e., a label or seal with a traceable identification which demonstrates when the container or bag is opened).
have a mechanism to prevent the entity from misusing the UoC’s name or re-use of the UoC’s packaging.
obtain written commitment from the entity that they will not permit misuse or tampering of the ASC product while in their ownership.
obtain written commitment from the entity that they will ensure documentation that complies with indicators 3.3.3 and 3.3.4 accompanies the product to the next entity or the ASC certified farm.

3.3.2

The UoC shall sign an ASC feed licensing agreement within 3 months of gaining certification7777For more information see ASC’s Label User Guide or contact licensing@asc-aqua.org.

3.3.3

The UoC shall identify product, both physically for sealed feed bags, as well as on associated sales documents for all feed, which is sold under the mass balance production model by using the allowable feed claim7878For more information see ASC’s Label User Guide., including the production model applied (i.e. mass balance). The ASC label shall not be used.

3.3.4

The UoC shall identify product, both physically for sealed feed bags, as well as on associated sales documents for all feed, which is sold under the segregation production model by using a distinct feed name according to the feed names listed on the schedule to the certificate, followed by the allowable feed claim7979For more information see ASC’s Label User Guide., including the production model applied (i.e. segregation). The ASC trademarks can be used, subject to conditions.

Criterion 3.4

The UoC is transparent on product characteristics

Link to Interpretation manual

Rationale

Nitrogen and phosphorus are released to waters surrounding fish pens as a result of uneaten feeds and metabolic by-products. If not managed properly, this can lead to significant changes to pelagic and benthic ecosystems. Feed companies can assist their customers to better understand the potential impacts of their feeds on the local environment by providing them with an estimate of the nutrient emissions based on nutrient content of their feeds. While the use of genetically modified organisms (GMOs) in feed is permitted, it must be disclosed. Transgenic plants are commonly used in aquaculture and animal feeds throughout the world, yet some consumers and retailers want to be able to identify food products, including farmed fish, that are genetically modified or that have been fed genetically modified ingredients. Documentation on the use of GMOs must be provided to customers. The requirement ensures transparency around any transgenic material in the feed (ingredients >0.9%) in order to support informed choices by retailers and consumers.

Indicators

Applicability

Indicators

Description

3.4.1

The UoC shall disclose, with verifiable and supporting documentation upon request, the protein %, carbon (C) %, nitrogen (N) % and phosphorus (P) % content of each feed product to all8080All buyers also include non-ASC farms. buyers of the product.

3.4.2

The UoC shall disclose to all8181All buyers also include non-ASC farms. buyers of the product when a feed product contains >0.9%8282EU Regulation 1830/2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms. Genetically Modified Organisms (GMO), or macro ingredients8383As defined by EU regulation 1830/2003 concerning the traceability and labelling of genetically modified organisms and the traceability of food and feed products produced from genetically modified organisms. produced from GMO.

3.4.3

The UoC shall disclose the following for each feed product to all8484All buyers also include non-ASC farms. buyers of the product:

the active compound and inclusion levels (in mg or g/kilogram product) of added antibiotics or other added medicinal feed additives
inclusion levels (in mg or g/kilogram product) of any antimicrobials listed as Critically Important Antimicrobials for Human Medicine by the World Health Organisation (WHO)

3.4.4

The UoC shall disclose the following information regarding the inclusion level of whole-fish marine ingredients of each feed product8585The information is needed for the calculation of the FFDR (Forage Fish Dependency Ratio for fishmeal/fish oil) and FFER (Fish Feed Equivalence Ratio) calculations in the ASC Farm Standard. to ASC certified farms and farm applicants for ASC certification:

% Fish meal derived from forage fisheries
% Fish oil derived from forage fisheries
% Fish meal yield per kg fish
% Fish oil yield per kg fish
% EPA and DHA content of fish oil

3.4.5

The UoC shall disclose, upon request, the GHG emissions of each feed product (species specific8686For the purpose of GHG calculations, species-specific results are only required for species within the scope of the ASC Farm Standard and may refer to the general species groups as listed in the ASC Farm Standard (Flatfish, Salmonids, etc.)) to ASC certified farms and farm applicants for ASC certification using the ASC GHG data submission template.

3.4.6

The UoC shall disclose which animal species have been utilised8787ASC Farm Standard indicator 2.12.3 does not allow the use of 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. within each feed product (species-specific) to all8888All buyers also include non-ASC farms. buyers of the product.

Principle 4

The UoC sources marine ingredients responsibly.

Criterion 4.1

The UoC increases the majority sustainability level of its (whole-fish) marine ingredients

Link to Interpretation manual

Rationale

Marine ingredients fulfil an important role within the aquafeed industry as they deliver essential nutrients. Given this key role, it is foreseeable that marine ingredients will remain part of the global feed ingredient supply, despite environmental and social concerns. ASC recognises this and seeks to incentivise the fisheries, and the marine ingredient producing industry, to improve the sustainability of supplying fisheries over time as an effective way of addressing and reducing impacts.

Given the global differences in sustainability performance of (forage) fisheries, an improvement model (“Majority Sustainability Level”) has been developed in which four sustainability levels are identified (Sustainability Levels L1 – L4; see Appendix 4). The improvement model is applied to the majority volume (50-100%) of whole-fish marine ingredients. A minority volume (0-49%) can be allocated to any of the remaining levels, or a combination thereof. This flexibility ensures that supplying fisheries involved in improvement programmes retain market access – the critical incentive to keep improving. Overall, the Majority Sustainability Level reconciles the undeniable differences, and challenges, that global (forage) fisheries face in terms of their environmental sustainability, yet enables feed manufacturers to progress their individual sourcing improvements conforming to a single, global, model.

Feed manufacturers enter at any of the defined levels on the basis of their recent sourcing profile of whole-fish marine ingredients. From here, the Majority Sustainability Level of the whole-fish marine ingredients must improve over time (majority volume moves one level higher per three years).

ASC will require 100% raw materials used for marine ingredients to be sourced from MSC certified, or equivalent, fisheries over time, as referenced by the Aquaculture Dialogues. As such this would become a fifth level in a revised version of the Majority Sustainability Level. Reviewing the feasibility of this fifth level will be determined through the Standard revision process and on the basis of careful considerations of volume demand and availability. In a similar fashion, the use of mass-balance will be reviewed and when appropriate and feasible, a transition to segregated supply will be considered.

Indicators

Applicability

Indicators

Description

4.1.1

The UoC shall determine the volume of marine ingredients received from fish by-products and from whole fish, score whole fish ingredients according to categories 1-4 in Table 2, and from that calculate the UoC’s Majority Sustainability Level (MSL) following the method outlined in Appendix 4.

4.1.2

For initial audits, the UoC shall calculate its Entry Level (EL). EL is the MSL of the 24 months prior to the initial audit.

4.1.3

The UoC shall have an EL of at least 1. An exception applies where the UoC can demonstrate that systems are in place to move from EL 0 (baseline) to MSL 1 during the first year of the initial certification cycle.

4.1.4

The UoC shall maintain its MSL during the initial certification cycle (at each surveillance audit), at a minimum, the same as the EL (Appendix 4).

4.1.5

The UoC shall increase its MSL for each subsequent certification cycle, at a minimum, one level higher than the level of the previous certification cycle (Appendix 4).

An exception applies in the situation that a UoC can demonstrate that for its marine ingredients it is dependent on a single fishery, and that shifting supplies is not possible, the UoC is allowed to extend its cycle on the current overall MSL for a maximum of 3 years to be in line with the FIP-progress trajectory. Supporting evidence (supplying fishery(ies), status of FIP-progress and expected time of completion) shall be added as an appendix to the ASC audit report.

4.1.6

The UoC shall maintain its MSL at each surveillance audit within subsequent certification cycles.

4.1.7

The UoC shall report annually (publicly and to ASC) its Majority Sustainability Level (MSL) per UoC according to ASC data submission procedures.

4.1.8

The UoC shall report annually (publicly and to ASC) the volume of the marine ingredients it has used per UoC according to ASC data submission procedures.

Principle 5

The UoC sources plant ingredients responsibly.

ASC Feed Standard: Due Diligence

Criterion 5.1

The UoC works towards a deforestation/conversion-free supply chain

Link to Interpretation manual

Rationale

The aquaculture industry consumes a relatively small proportion of the global agriculture output, however, around 75%8989Tacon, A.G.J.; Hasan, M.R.; Metian, M.; Demand and supply of feed ingredients for farmed fish and crustaceans: trends and prospects; FAO Fisheries and Aquaculture Technical Paper No. 564. FAO, 2011. 87 pp. http://www.fao.org/3/ba0002e/ba0002e.pdf of the global aquafeed ingredient volume is derived from agriculture. This makes the aquaculture feed industry inseparable from the negative impacts created by agriculture.

A key concern of agriculture is the expansion of farmland through means of deforestation of (tropical and temperate) forests and conversion of other natural ecosystems (e.g. savannahs and grasslands). Amongst others, the UN Sustainable Development Goals address this key concern explicitly through SDG 15 – “Protect, restore and promote sustainable use of terrestrial ecosystems, sustainably manage forests, combat desertification, and halt and reverse land degradation and halt biodiversity loss”.

The impacts of deforestation and land conversion are diverse. Forests and other natural ecosystems act as carbon sinks through absorbing and locking-in carbon dioxide. In addition, these ecosystems provide habitat for many species, thereby contributing to conserving biodiversity, contribute to regional climate control and provide humanity with an abundance of natural resources if managed well.

In late 2016, a diverse coalition came together for a common purpose: to accelerate progress and improve accountability on company commitments to protect forests, natural ecosystems, and human rights. Recognising the need to close the gap between commitments and results, the members of this coalition launched the Accountability Framework initiative (AFi)9090www.accountability-framework.org.

ASC certified feed manufacturers contribute to the global effort to reduce deforestation and land conversion by means of a public commitment, followed by a public action plan, to transition towards deforestation and conversion free supply chains. The requirements formulated for this are aligned with the principles of the AFi.

Certified feed manufacturers are encouraged to include, as an additional goal, to work together with the supplier to have the suppliers become deforestation and conversion-free.

The production of soybeans and oil palm is linked to considerable environmental and social concerns in many of the primary raw material producing countries. As both crops are used for the production of ingredients destined for aquafeed, addressing these concerns is explicitly addressed through this Criterion. The assurance procedure defined in Appendix 6 seeks to ensure there is a low risk of soy and palm oil ingredients coming from areas with any land conversion and deforestation. The assurance procedure also gives incentive for producers to work with supply chains to ensure low risk of any land conversion and deforestation for the highest volume plant ingredients used in feed mills, as well as encourages producers to do the same for all other plant ingredients.

Indicators

Applicability

Indicators

Description

5.1.1

The UoC shall categorise its plant supply chains into the following categories:

Category 1: ingredients known to have global risks (i.e. ingredients derived from soy and palm oil),
Category 2: its highest-volume plant ingredients9191Highest-volume plant ingredients: this applies to ingredients, which collectively make up the majority of the total plant ingredient volume after soy and palm oil have been deducted, i.e. ≥ 50%. Individual plant ingredients with the highest volumes make up the collective majority volume. See the Interpretation Manual for further guidance on how to calculate.,
Category 3: Other plant ingredients.

5.1.2

The UoC shall have made a public commitment9292The commitment applies to aquaculture feed produced by the UoC. to transition to deforestation-free and conversion-free supply chains for the sourcing of all of its plant ingredients (categories 1-3). The public commitment shall include cutoff dates related to deforestation and conversion that meet the following requirements:

for category 1 plant ingredients (soy and palm), the cutoff date shall be no later than 31st December 2020;
for category 2 and 3 plant ingredients, the cutoff dates shall i) be fixed in time, ii) be sufficiently early to avoid incentivising further deforestation or conversion in anticipation of future restrictions, and iii) enable clear and objective monitoring, following the requirements outlined in Appendix 9.

5.1.3

The UoC shall assess the risks of legal deforestation and land conversion at the plant raw material production level for all of its plant ingredient supply chains, prioritising 1) ingredients known to have global risks (i.e. ingredients derived from soy and palm oil), and 2) its highest-volume plant ingredients.

5.1.4

The UoC should also include plant supply chains from category 3) other plant ingredients (5.1.1) in the analysis but the UoC is not obliged to do so to achieve, or maintain, certification.

5.1.5

The UoC shall use one of the four pathways 1) Country Score Card, 2) sub-national/sectoral assessment, 3) ingredient manufacturer assessment, or 4) certification (as defined in Appendix 6) to determine the level of risk for legal deforestation or conversion.

5.1.6

The UoC shall, in all cases where one of the two pathways “sub-national/sectoral assessment” or “ingredient manufacturer assessment” (see 5.1.5) is selected, follow the general process for a risk management framework outlined in figure 4, Appendix 7.

5.1.7

The UoC shall have, within 1 year following the initial audit, a public action plan9393An exemption applies to categories 1) ingredients known to have global risks (i.e. ingredients derived from soy and palm oil) and 2) its highest-volume plant ingredients for which low risk has been demonstrated, and does not apply to the category 3) other plant ingredients. to achieve the commitment (see 5.1.2) for the categories 1) ingredients known to have global risks (i.e. ingredients derived from soy and palm oil) and 2) its highest-volume plant ingredients which includes the following:

Timelines and target dates
Quantitative and geographically specific9494At least at country-level. Appropriate geographic scale needs to match level of risk. targets and milestones that can be objectively assessed.

5.1.8

The UoC shall have a system to ensure it only sources plant ingredients from supply chains covered by its public commitment to transition to deforestation and conversion free supply chains (see 5.1.2).9595A visualisation of these requirements can be found in Appendix 5, Figure 2.

5.1.9

For category 1) ingredients known to have global risks (i.e. ingredients derived from soy and palm oil) and category 2) highest-volume plant ingredients, the UoC shall have a system to ensure it only sources plant ingredients for which low risk has been demonstrated or for which an action plan is under implementation to achieve low risk (see 5.1.7).

5.1.10

For category 1) ingredients known to have global risks (i.e. ingredients derived from soy and palm oil), the UoC shall have a system to ensure it only uses plant ingredients as eligible ingredients for which low risk has been demonstrated9696An exemption applies to category 2) its highest-volume plant ingredients or 3) other plant ingredients..

5.1.11

The UoC shall annually report the progress towards its commitment in a public manner. This shall include reporting on performance against the quantitative and geographically specific milestones outlined in the public action plan (see 5.1.7).

5.1.12

The UoC shall annually publish and report to ASC an overview of plant ingredients determined to be low risk and the respective pathways chosen per UoC, according to ASC data submission procedures.

5.1.13

In all cases where the pathways “sub-national/sectoral assessment” or “ingredient manufacturer assessment” (see Appendix 3) are chosen, the UoC shall publish and share with ASC an up-to-date summary report per UoC including the evidence as required under b. of each pathway in Appendix 3, according to ASC data submission procedures.

5.1.14

The UoC shall participate in, at least, one multi-stakeholder platform9797An example is the Cerrado Manifesto (https://cerradostatement.fairr.org). that advances the transition to conversion free supply chains.

Appendix 1 – List of Acronyms

Acronym List

Acronym:	Meaning:
AB	Accreditation Body
Afi	Accountability Framework initiative
ASC	Aquaculture Stewardship Council
ASI	Assurance Services International
CAB	Conformity Assessment Body
CAR	Certification and Accreditation Requirements
CASS	Conservation Alliance for Seafood Solutions
CITES	Convention on International Trade in Endangered Species of Wild Fauna and Flora
CoC	Chain of Custody
CC	Code of Conduct
D/C	Deforestation and Conversion
DD	Due Diligence
EL	Entry Level
EEMP	Energy Efficiency Management Plan
EMP	Effluent Management Plan
EU	European Union
FAO	UN Food and Agriculture Organization
FIP	Fishery Improvement Project
FPIC	Free, Prior and Informed Consent
GDP	Gross Domestic Product
GHG	Greenhouse Gas
GM/GMO	Genetically Modified / Genetically Modified Organism
ILO	International Labour Organization
IPCC	Intergovernmental Panel on Climate Change
ISEAL	International Social and Environmental Accreditation and Labelling (Alliance)
IUCN	International Union for Conservation of Nature
IM	Ingredient Manufacturer
MJ	Megajoules
MSC	Marine Stewardship Council
MSL	Majority Sustainability Level
NGO	Non-Governmental Organisation
OHCHR	Office of the High Commissioner for Human Rights
PDCA	Plan-Do-Check-Act
PPE	Personal Protective Equipment
SDG	UN Sustainable Development Goal
t	Tonne (1,000 kg)
ToC	Theory of Change
UN	United Nations
UDHR	Universal Declaration of Human Rights
UoC	Unit of Certification
WCEP	Water Conservation and Efficiency Plan
WMP	Waste Management Plan

Appendix 2 – Environmental Impacts by the Feed Manufacturer

ASC Feed Standard: Energy Use and Efficiency

Section A1 Water consumption calculation

Water consumption shall be calculated as follows:

Water consumption – indicator 1.18.1:

Identify the year the calculation relates to. This is set as the previous calendar year (1 January – 31 December).
Calculate the total production volume of product (t) within the defined time-period (step 1).
List all sources of water, separated into the categories “freshwater” and “other water”9898This follows the reporting requirements by GRI, whereby “freshwater” is categorised as ≤1,000 mg/L Total Dissolved Solids, and “other water” is categorised as >1,000 mg/L Total Dissolved Solids., used during the production process, from ingredient receiving to final product dispatch
- municipal water supplies (tap/mains water)
- surface water sources (including from wetlands, rivers, lakes, collected/harvested rainwater)
- ground water sources (e.g. wells)
- seawater
- produced water
Calculate the quantity of water used9999The calculation of use i.e. water consumption, shall be based on water withdrawal minus discharge, rather than based on estimates of water consumed. (megalitres) per water source (step 3) within the set time period (step 1).
Sum the quantities of water used (step 4).
Calculate the total water use (step 5) per total product produced/year (step 2) and express in megalitres/t.
Report the results of steps 4, 5 and 6 to ASC according to ASC data submission procedures.

Section A2 Effluent discharge calculation

Effluent discharge shall be calculated as follows:

Effluent discharge – indicator 1.20.1:

Identify the year the calculation relates to. This is set as the previous calendar year (1 January – 31 December).
List all effluent by destination, separated into the categories “freshwater” and “other water”100100This follows the reporting requirements by GRI, whereby “freshwater” is categorised as ≤1,000 mg/L Total Dissolved Solids, and “other water” is categorised as >1,000 mg/L Total Dissolved Solids., generated during the production process, from ingredient receiving to final product dispatch:
- municipal treatment facilities,
- surface water (including wetlands, rivers, lakes),
- ground water,
- seawater.
Calculate the quantity of effluent discharged (megalitres) per destination (step 2) within the set time period (step 1).
Sum the quantities of effluent discharged (step 3).
Report the results of steps 3 and 4 to ASC according to ASC data submission procedures.

Section A3 Energy consumption calculation

Energy consumption shall be calculated as follows:

Energy consumption – indicator 1.21.1:

Identify the year the calculation relates to. This is set as the previous calendar year (1 January – 31 December).

Calculate the total production volume of product (t) within the defined time period (step 1).

List all sources of energy used during the production process, from ingredient receiving to final product dispatch:

diesel (L)

petrol/gasoline (L)

natural gas (m³)

other fuels (specify)

electricity (kWh), specifying:

electricity derived from the national or regional grid

electricity from an off-grid renewable source (specify source)

electricity from an off-grid non-renewable source that is not otherwise included in on-site fuel consumption (specify source)

district heating/cooling (kWh)

Calculate the quantity used per energy source (step 3) within the set time period (step 1).

Convert101101Several online conversion tools are available. An example: http://www.abraxasenergy.com/energy-resources/toolbox/conversion-calculators/energy/ the quantities used (step 4) to MJ and sum the totals.

Calculate the total energy use in MJ (step 5) per tonne of product produced in the assessment year (step 2).

Report the results of steps 4, 5 and 6 to ASC according to ASC data submission procedures.

Section A4 Waste consumption calculation

Waste consumption shall be calculated as follows:

Waste consumption – indicator 1.19.1:

Identify the year the calculation relates to. This is set as the previous calendar year (1 January – 31 December).
List the composition of waste by destination, separated into hazardous and non-hazardous waste, generated during the production process, from ingredient receiving to final product dispatch:
- recovery by re-use
- recovery by recycling (including composting)
- recovery by other means (specify)
- disposal by incineration (with energy recovery)
- disposal by incineration (without energy recovery)
- disposal by landfilling
- disposal by other means such as dumping, open burning (specify)
Calculate the quantity of waste generated (tonne) per destination (step 2) within the set time period (step 1).
Sum the quantities of waste generated (step 3).
Report the results of steps 2, 3 and 4 to ASC according to ASC data submission procedures.

Section B GHG Emission calculation

GHG emissions shall be calculated as follows:

GHG emissions – indicator 1.21.4:

For the purposes of estimating GHG emissions associated with ASC conforming aquafeeds, calculations shall include the following inputs within each of the emissions scopes defined by the Greenhouse Gas Protocol102102World Resources Institute (2011). Greenhouse Gas Protocol Product Life Cycle Accounting and Reporting Standard. Washington, D.C.: World Resources Institute.

Scope 1 – emissions from the on-site consumption of energy carriers (diesel, petrol/gasoline, natural gas) as quantified in Section A3.
Scope 2 – emissions associated with the purchase of electricity and other off-site energy generation (e.g. district heating) as quantified in Section A3.
Scope 3 – emissions associated with the production, processing, and transport of ingredients from crop, fishery, poultry/livestock, and other raw material sources.

GHG emissions shall be calculated for each species for which feed is produced as follows:

List inputs to feed production, including those energy inputs included in Section A3 as well as any feed ingredients that make up at least 1% of the average raw material feed composition specific to the species.
Calculate the quantity of each input used in the production of one tonne of feed in the previous calendar year (1 January – 31 December).
Determine and record appropriate emission factors and their sources, communicated in kg CO₂-equivalent units, for each input listed in step 1. See further details below.
Multiply the quantity of each input from step 2 by the respective emission factor in step 3 to calculate the total emissions from each input associated with one tonne of feed.
Sum the total emissions associated with one tonne of ASC-conforming feed in kg CO₂-eq units.
Report results from 2, 3, 4, and 5 to ASC according to ASC data submission procedures.

Determining appropriate emission factors for inputs—Emission factors can be modelled directly, extracted from databases (e.g. Agri-footprint, ecoinvent), or calculated using ASC’s online GHG calculator. The source of emission factors should be clearly stated. If modelling emission factors directly, include all GHGs and use the most recent 100-year global warming potential characterisation factors from IPCC103103Myhre, G., Shindell, D., Bréon, F., Collins, W., Fuglestvedt, J., Huang, J., … & Zhang, H. (2013). Anthropogenic and Natural Radiative Forcing. In T. Stocker et al. (Eds.) Climate Change 2013: The Physical Science Basis. Contribution of Working Group I to the Fifth Assessment Report of the Intergovernmental Panel on Climate Change. Cambridge, U.K.: Cambridge University Press.. Feed ingredient emission factors shall include biogenic emissions where relevant (e.g. methane emissions from rice paddies) as well as emissions from land use change (e.g. clearing of forest for agricultural crop production) if transformation occurred within the previous 20 years. Land use change calculations shall be specific to the source country and follow recognised methods as detailed in available standards104104BSI (2011) PAS 2050: Specification for the assessment of the life cycle greenhouse gas emissions of goods and services. London, U.K.: British Standards Institute.105105ISO (2018) ISO 14067: Greenhouse gases—Carbon footprint of products—Requirements and guidelines for quantification and communication. Geneva, Switzerland: International Organization for Standardization.. Carbon sequestered in plant and animal material shall not be considered in calculation of emission factors (i.e. do not subtract sequestered carbon from the emission factors of raw material in feed ingredients), as this carbon is returned to the atmosphere upon consumption.

In allocating impacts between co-products from feed production systems (e.g. fish by-product meal, feather meal), both relative mass and economic allocation methods shall be used for the purpose of calculations, reporting of GHG data to ASC, and sharing of GHG data to farms to facilitate calculations necessary for the ASC Farm Standard. The allocation method for which GHG data are disclosed publicly is at the discretion of the UoC (either or both).

To facilitate ease of calculation and consistency across assessments, the UoC can also use the ASC GHG calculator provided via the ASC website to provide emission factors and calculations.

Appendix 3 – Due Diligence (DD)

a) DD Assessments and where they need to occur

Ingredient manufacturer106106In the case of ingredients made from by-products from livestock (e.g. feather meal, blood meal, bone meal, haemoglobin powder), Due Diligence shall only extend to the ingredient manufacturer – not to the primary raw material (i.e. livestock farm).;

Marine-based ingredients

Plant-based ingredients

Feed stuffs (e.g. land animal, algae, insects based)

Primary raw material107107In the case of ingredients made from by-product from agriculture or fisheries, the primary raw material refers to the material used to make the principal product. For example:

Fishmeal made from fish trimmings – the primary raw material is the whole fish.

Wheat gluten derived from wheat processing – the primary raw material is wheat.

Soy lecithin derived from soy processing – the primary raw material is soy.

Marine-based primary raw material108108The due diligence for marine raw material shall include all products derived from fisheries, whole fish as well as by-products, with the exception of by-catch retained under the EU landing obligation. The due diligence does not include by-products derived from aquaculture.;

Plant-based primary raw material.

b) DD Assessments and where they need to occur

In line with the concept of the Risk Management Framework in Appendix 7, the Due Diligence (DD) process is carried out according to predefined risk factors and includes a series of steps, with each step adapted to the risk in the local context. These steps follow a set sequence and include the following elements:

Define intent/purpose
- This first step can be skipped as the intent has already been defined within these standards.
Define the risk factors
- Use the risk factors outlined in table 1.
Assess the risk
- Assess the level of risk. A risk assessment is not needed where the level of risk for the risk factors has been pre-determined as low according to pathway 1) ASC country score cards or pathway 4) ASC approved certifications listed in table 1.
Implement appropriate measures
- Take action and implement measures where the outcome of the risk assessment does not determine low risk:
  - prevention
  - mitigation
  - remediation
  - cease sourcing, however, where possible mitigation is preferred over the discontinuation of sourcing.
Monitor:
- monitor the risk factors, or indicators for the risk factors, to ensure the risk level determined remains valid;
- monitor the effectiveness of measures implemented.
- Repeat the risk management process when:
  - monitoring indicates a different risk level than previously determined,
  - monitoring indicates that measures implemented are not effective,
  - significant changes occur, which could affect the risk level previously determined,
  - in all cases, at least every certification cycle (3 years).

More guidance on implementing due diligence processes can be found in the UN guiding principles109109United Nations (2011), Guiding Principles on Business and Human Rights, Implementing the United Nations “Protect, Respect and Remedy” Framework and the OECD due diligence guidance110110OECD (2018), OECD Due Diligence Guidance for Responsible Business Conduct.

c) DD Risk Factors

The UoC needs to demonstrate low risk for ingredient manufacturers, marine and plant-based primary raw material production at least for the Risk Factors outlined in Table 1. Ingredient manufacturers are companies/facilities that produce the ingredient used by the feed manufacturer.

Risk Factors

Table 1: Due Diligence Risk Factors for Ingredient Manufacturers, as well as for marine and plant-based primary raw material production.

Acronym:

Legal:

Social

Environmental

Risk factors for Ingredient Manufacturers

The risk that the ingredient manufacturer does not meet the following indicator:

1.1.1 legal licenses and permits, by operating in an area affected by poor regulatory oversight resulting in systematic violations of laws and regulation.

The risk that the ingredient manufacturer does not meet the following Criteria:

1.3 appl. labour regulations

1.4 forced labour

1.5 children and young employees

1.6 discrimination

1.13 grievance mechanism

The risk that the ingredient manufacturer does not meet the following Criteria:

1.17 appl. environmental regulations

1.18 water use

1.19 waste handling

1.20 effluent handling

And Indicators:

3.4.2 GMO disclosure

3.4.3 disclosure of medicinal additives

Risk factors for Marine-based primary raw material producers

The risk that primary raw material originates from areas affected by poor regulatory oversight resulting in systematic illegal fishing within the fishery.

The risk that primary raw material is produced using forced labour or worst forms of child labour.

The risk that primary raw material originates from unreported or unregulated fishing.

The risk that primary raw material originates from species that are IUCN endangered or critically endangered species.

The risk that primary raw material originates from species caught that appear in the CITES appendices.

Risk factors for Plant-based primary raw material producers

The risk that primary raw material originates from areas affected by poor regulatory oversight resulting in systematic violations of land use or environmental laws and regulation within the plant-based primary raw material production.

The risk that primary raw material is produced using forced labour or worst forms of child labour.

The risk that primary raw material originates from areas resulted from illegal deforestation/conversion.

d) DD Pathways to Determine Low risk

Any of the four pathways 1) Country Score Card, 2) sectoral/fishery assessment, 3) ingredient manufacturer assessment, or 4) certification shall be used to determine the level of risk for each risk factor. Different pathways can be used to assess the different risk factors for legal, social and environment (see table 1). If a pathway does not result in low risk, another pathway shall be chosen. If none of the pathways enable the UoC to determine low risk, the UoC will not source from such supply chains until implemented mitigation measures have achieved low risk. For plant and marine-based raw material and in the case of co-mingling (i.e. mixed), material with the highest risk classifies the blend and whether or not the entire blend can be sourced. An illustration of the four different pathways which can be used for Due Diligence determination of low risk can be found in Figure 5, Appendix 7

The pathways are:

Country Score Card:

ASC provides a Country Risk Card on the ASC website that ranks the country risk level into low, medium and high risk, regarding the Risk Factors in Table 1. For countries scored low risk for the respective risk factors, no further DD steps are required for that particular risk factor by the UoC. For any countries which do not yet have a Country Risk Card, a different pathway is required to determine low risk.

Sub-national/sectoral assessment (for plant-based raw material production) / Industry/sector assessment (for ingredient manufacturer) / Fishery assessment (for marine-based raw material production):

The UoC conducts an assessment of the sector / industry / fishery to demonstrate a low risk for the Risk Factors as listed in Table 1.

Where low risk has been demonstrated, evidence shall include:

risk assessment or a summary thereof;

ii.

risk assessment outcome i.e., risk level per risk factor;

iii.

implemented monitoring program.

Ingredient Manufacturer assessments111111AFi has guidance on Supply Chain Engagement and Monitoring & Verification: https://accountability-framework.org/contents-of-the-framework/monitoring-and-verification/:

The UoC works with the ingredient manufacturer to demonstrate that the ingredient manufacturer, marine or plant-based primary raw material has a low risk for the Risk Factors as listed in Table 1. For marine and plant-based primary raw material production risk factors, the assessment relates to whether or not the ingredient manufacturer has an appropriate system or sufficient information to ensure low risk at the raw material production level.

Where low risk has been demonstrated, evidence shall include:

risk assessment or a summary thereof;

ii.

risk assessment outcome i.e., risk level per risk factor;

iii.

measures taken and their effectiveness;

iv.

implemented monitoring program.

Certification:

ASC maintains a list of accepted third party schemes on its website which address the Risk Factors to ensure low risk. For marine-based primary raw material production, the UoC may use the IUCN Red List and CITES Appendix I, II, III List to demonstrate low risk for the two environmental risk factors relating to endangered species, as listed in Table 1112112This risk factor does not need to be assessed for fish retained under the EU landing obligation..

Appendix 4 – Calculation of the Majority Sustainability Level (MSL)

Step 1: Determine the whole fish Sustainability Category

All whole fish marine ingredients must be scored according to the table below. The following table explains how to assign the Sustainability Category to whole fish marine ingredients.

Table 2: This table describes the Sustainability Category assigned to whole fish marine ingredients.

Categories:

Whole fish used as raw material sourced under the following conditions

Category 1

Raw material is accepted according to the MarinTrust Improver Programme, and;
Raw material is listed active as (basic)113113See also CASS: https://solutionsforseafood.org/resources/fishery-improvement/ FIP on www.fisheryprogress.org, and;
The ingredient manufacturer is a MarinTrust Improver Programme Accepted Facility (or equivalent114114Equivalence to the MarinTrust Improver Programme Accepted Facility and MarinTrust certified ingredient manufacturer will be based on assessment of compliance with ISEAL Codes of Good Practice as well as consideration of key sustainability criteria that are referenced in the MarinTrust. These shall include:Full traceability of all finished ingredients back to the originating supplying fisheries.The ability to segregate finished products according to category and provide information on the composition of each shipment made.The requirement for the factory to have mechanisms in place that ensure working is in compliance with employment, welfare and safety requirements in accordance with national legislation and following relevant key ILO Conventions (29,87,98,99,100,105,111,138,182)The requirement for the factory to be certified to a Good Manufacturing Practice standard which shall cover issues of product purity and safety as well as environmental issues including emissions and effluents.View More), and;
There is MarinTrust CoC in place from factory to feed mill or the UoC can demonstrate a verified traceability system from factory to feed mill.

Category 2

Raw material is approved according to the MarinTrust Factory Standard (or equivalent115115Equivalence to the MarinTrust raw material assessment criteria will be based on assessment of compliance with ISEAL Codes of Good Practice as well as consideration of key sustainability criteria that are referenced in the MarinTrust Standard, notably Section 3: Responsible Raw Material Sourcing Practices. Recognition will be made public via the ASC Website.), and;
The ingredient manufacturer is MarinTrust Factory Standard certified (or equivalent), and;
The ingredient received by the UoC is MarinTrust CoC Standard certified from factory to feed mill or the UoC can demonstrate a verified traceability system from factory to mill.

Category 3

Raw material is approved according to the MarinTrust Factory Standard (or equivalent), and;
Raw material is engaged in a comprehensive116116See also CASS: https://solutionsforseafood.org/resources/fishery-improvement/ FIP and is listed active as such on www.fisheryprogress.org, and;
Raw material remains approved according to the MarinTrust Factory Standard until Category 4 is achieved, and;
The ingredient manufacturer is MarinTrust Factory Standard certified (or equivalent), and;
The ingredient received by the UoC is MarinTrust CoC Standard certified from factory to feed mill or the UoC can demonstrate a verified traceability system from factory to mill.

Category 4

Raw material is sourced from a fishery certified under the Marine Stewardship Council (or equivalent117117Equivalence to MSC will be based on assessment of compliance with ISEAL Codes of Good Practice as well as consideration of sustainability criteria that are referenced in the MSC Principles and Criteria. Standards recognised as equivalent to MSC standard have been set in accordance with the ISEAL Code of Good Practice for Setting Social and Environmental Standards, and be recognised by/ meet the requirements of the Global Sustainable Seafood Initiative (GSSI) Global Benchmarking Tool. The standard shall be based on a full ecosystem approach with specific provisions for the management of low trophic level species and the protection of populations of dependent predators. Recognition will be made public via the ASC Website.View More), and;
The ingredient manufacturer and supply chain are Marine Stewardship Council Chain of Custody certified.

Step 2: Determine the Majority Sustainability Level

After determining the sustainability categories of whole fish marine ingredients, feed manufacturers need to calculate the Majority Sustainability Level (MSL) for the entire UoC. Majority is defined as ≥50% (i.e. 50%, or higher) of whole-fish volume.

Volume Calculation

First, the volumes of marine ingredients shall be calculated per type. Volumes are calculated in tonnes. Marine ingredients are divided into the following types:

Volume from marine ingredients (whole-fish and by-products);
Volume from whole-fish marine ingredients;
1. Volume of total whole-fish marine ingredients;
2. Volume of whole-fish marine ingredients scoring at Category 1 (table 2);
3. Volume of whole-fish marine ingredients scoring at Category 2 (table 2);
4. Volume of whole-fish marine ingredients scoring at Category 3 (table 2);
5. Volume of whole-fish marine ingredients scoring at Category 4 (table 2);
6. Volume of whole-fish marine ingredients that does not score at Category 1-4 (table 2);

Majority calculation

Second, volumes per type of marine ingredients are used to calculate the Majority Sustainability Level using the following formulae:

Baseline applies, where no volume can be attributed to any of the categories 1-4.
Level 1 applies, when the volume of 2.2 above ≥ 50% of the volume 2.1;
Level 2 applies, when the volume of 2.3 above ≥ 50% of the volume 2.1;
Level 3 applies, when the volume of 2.4 above ≥ 50% of the volume 2.1;
Level 4 applies, when the volume of 2.5 above ≥ 50% of the volume 2.1;

Note: where the majority calculation leads to two potential levels, the following shall apply:

Level 2 applies, when [(volume 2.3) + (volume 2.4) + (volume 2.5)] ≥ 50% (volume 2.1);
Level 3 applies, when [(volume 2.4) + (volume 2.5)] ≥ 50% (volume 2.1);

Note: by-products are not factored into the majority calculation.

Prior to initial certification

The volume calculation includes marine ingredients received in the 24-month period before the initial audit. The MSL calculation is based on this volume and forms the Entry Level on the MSL-improvement ladder.

After initial certification

The volume calculation is repeated annually and includes marine ingredients received over a 12-month period, January to December.

Appendix 5 – Calculation of Mass Balance Eligible Volume

1. Determining Eligible Ingredients

Not all marine and plant ingredients which can be sourced by the UoC also count towards the mass balance eligible volume.

The following ingredients count towards the mass balance eligible volume and are considered eligible ingredients:

Marine-based ingredients:
- by-products from aquaculture, by-catch retained under the EU landing obligation
- by-products from fisheries (if Due Diligence indicates low risk)
- whole fish (if Due Diligence indicates low risk, the sustainability category is 1-4)
Plant-based ingredients:
- Category 1) Plant ingredients known to have global risks, i.e. soy/palm oil (if Due Diligence indicates low risk, Deforestation/Conversion (D/C)-free commitment made, low risk demonstrated for legal D/C).
- Category 2) Highest-volume plant ingredients (if Due Diligence indicates low risk, D/C free commitment made, low risk for legal D/C demonstrated OR an action plan is under implementation).
- Category 3) other plant ingredients (if Due Diligence indicates low risk, D/C free commitment made).
Feed stuffs (if Due Diligence indicates low risk)
Feed additives
Ingredients which represent <1% of the total annual ingredient-weight (volume) received by the UoC for use in aquafeeds

The following ingredients can be sourced but do not count towards the mass balance eligible volume and are considered non-eligible ingredients:

Marine-based ingredients:
- whole fish (if Due Diligence indicates low risk but not scoring at sustainability category 1-4)
Plant-based ingredients:
- Category 1) Plant ingredients known to have global risks, i.e. soy/palm oil (if Due Diligence indicates low risk and D/C free commitment made, low risk for legal D/C cannot be demonstrated but an action plan is under implementation).

Figure 1: Determining eligible ingredients

Figure 2: Determining eligible plant ingredients

Deforestation / conversion (D/C) risk assessment outcome and implications for the sourcing of plant-based ingredients. In this version of the standard, no distinct sourcing requirements apply to category 3) ingredients with a high risk or ingredients without demonstrated low risk in relation to deforestation or land conversion in plant-ingredient supply chains. This will be reviewed by ASC and could change in future versions of the standard.

2. Calculating the Eligible Volume

Follow these four steps to calculate the mass balance eligible volume:

Sum volume (tonnes) of eligible marine ingredients
Sum volume (tonnes) of eligible plant ingredients
Sum volume (tonnes) of eligible feed stuffs
Sum volume (tonnes) feed additives.

The sum of the volumes of eligible ingredients 1) – 4) above equals the “mass balance eligible volume”.

Figure 3: Eligible Ingredient Production Models

Appendix 6 – Assurance Procedure for Deforestation / Conversion free Supply Chains

Plant-based ingredients used by the UoC need to be assessed for their level of risk for the Risk Factors listed in Table 3. This additional step is focused on risk related to (legal) deforestation and land conversion.

Table 3: Risk Factors for plant-based ingredients

	Environmental
Risk factors for Plant-based primary raw material 1	The risk that primary raw material originates from areas resulted from legal deforestation / conversion.

The UoC may choose one of four pathways to assess and determine risk related to deforestation and conversion.

Different pathways can be used to assess the risk factor deforestation / conversion. If a pathway does not result in low risk, another pathway shall be chosen. In the case of co-mingling (i.e. mixed) of ingredients, material with the highest risk classifies the blend.

The pathways are:

Country Score Card:

ASC provides a Country Risk Card on the ASC website that ranks the country risk level into low, medium and high risk, regarding the Risk Factor in Table 3. For countries scored low risk for the respective risk factor, no further risk assessment steps are required by the UoC. For any countries which do not yet have a Country Risk Card, a different pathway is required to determine low risk.

Sub-national/sectoral assessment:

The UoC conducts an assessment of sub-national or sectoral level.

Where low risk has been demonstrated, evidence shall include:

risk assessment or a summary thereof;

ii.

risk assessment outcome i.e., risk level;

iii.

implemented monitoring program.

Ingredient Manufacturer assessments118118AFi has guidance on Supply Chain Engagement and Monitoring & Verification: https://accountability-framework.org/contents-of-the-framework/monitoring-and-verification/.:

The UoC works with the ingredient manufacturer to demonstrate that plant-based primary raw material has a low risk for the Risk Factor as listed in Table 3.

Where low risk has been demonstrated, evidence shall include:

risk assessment or a summary thereof;

ii.

risk assessment outcome i.e. risk level;

iii.

measures taken and their effectiveness;

iv.

implemented monitoring program.

Where low risk has not yet been achieved, however, an action plan is under implementation to achieve the public commitment, evidence shall include:

analysis of traceability of the primary raw material

ii.

risk assessment or a summary thereof;

iii.

risk assessment outcome i.e., risk level per risk factor;

iv.

measures taken and their effectiveness

implemented monitoring program

vi.

status of progress in relation to quantitative and geographically-specific targets and milestones in the public action plan

Certification:

ASC maintains a list of accepted third party schemes on its website which addresses the Risk Factor in Table 3 to ensure low risk.

Appendix 7 – Flowcharts illustrating requirements for DD, D/C-free risk assessment and summary tables of permitted work types

ASC Feed Standard: Risk Management Framework

Figure 4: General process outline for Risk Management Frameworks.

Figure 5: Illustration of the four different pathways which can be used for Due Diligence determination of low risk.

Table 4: Permitted type of work per age group.

This table summarises the type of work allowed for each age group. The shaded cells indicate what is prohibited.

Age
Type of work

>18 Adult

15(14119119ILO Convention 138 allows for 14 years as exception in certain developing countries. ASC follows ILO Convention 138 and equally allows employment from 14 years in these countries.) – 17
Young Employee, Child

13(12120120ILO Convention 138 allows for 12 years as exception in certain developing countries. ASC follows ILO Convention 138 and equally allows employment from 12 years in these countries.) – 14
Child

< 13(12)
Child

All work; including hazardous work

Non-hazardous work

Light work

Table 5: Permitted working hours and rest per age group.

Age Group

Working hours / rest

Adult

≥18

8 h/day & 48 h/wk

12 h/wk must be exceptional & voluntary

1 h/ 8 h

11h

24 h (1 day)

3 paid working wks

comply with laws & industry standards on premium rates, working hours, breaks, daily rest, weekly rest and health assessments for night work.

Young Employee, child

15 (14 121121ILO Convention 138 allows for 14 years as exception in certain developing countries. ASC follows ILO Convention 138 and equally allows employment from 14 years in these countries.) – 17

8 h/day & 40 h/wk

0.5 h/ 4.5 h

12h

48 h (2 days)

not allowed to work between 10pm & 6am

Child

13 (12122122ILO Convention 138 allows for 12 years as exception in certain developing countries. ASC follows ILO Convention 138 and equally allows employment from 12 years in these countries.) – 14

3 h/day & 14 h/wk

0.5 h/ 3 h

14h

not allowed to work between 8pm & 6am

Working hours

(maximum hours; excluding breaks)

Overtime

(maximum hours per week)

Breaks

(minimum hours per work shift)

Daily Rest

(minimum consecutive hours per 24h)

Weekly Rest

(minimum consecutive hours per 7 days)

Annual Leave

(minimum per 1 year of full-time service)

Night Work

Appendix 8 – UoC requirements on publishing information

Summary of UoC requirements on publishing information

This table summarises data the UoC is required to publish via its website. The data can be published using the associated ASC data reporting template (where applicable) or an alternative format can be used. See the relevant indicator and Feed Interpretation Manual for further information.

Table 6: Summary of UoC requirements on publishing information

Requirement to be published on UoC website	Indicator
GHG Emissions	1.21.5
Supplier Code of Conduct	2.1.2
List of ingredients (>1%), their primary raw material and the country(ies)/fishery(ies) of primary raw material production	2.2.3
List of plant ingredients (>1%), their primary raw material and the production region(s) within the country(ies) of primary raw material production.	2.2.4
Overview of the outcome of the Principle 2 Due Diligences carried out and pathways chosen	2.2.10
Summary of evidence as required under b. of pathways “sectoral/fishery assessment” or “ingredient manufacturer assessment” (Appendix 3) if used for Principle 2 Due Diligence	2.2.11
Majority Sustainability Level	4.1.7
Volume of Marine Ingredients	4.1.8
Commitment to Deforestation and Conversion (D/C) Free Supply Chains	5.1.2
Action plan to achieve Commitment to D/C supply Chains	5.1.7
Report progress against D/C action plan	5.1.11
Overview of plant ingredients determined to be low risk as per Principle 5 Due Diligence and pathways chosen	5.1.12
Summary of evidence as required under b. of pathways “sectoral assessment” or “ingredient manufacturer assessment” (Appendix 3) if used for Principle 5 Due Diligence	5.1.13

Appendix 9 – Setting Deforestation and Conversion Cutoff dates

Setting deforestation and conversion cutoff dates

This Appendix details the method for setting deforestation and conversion cutoff dates for category 2 and 3 plant ingredients as required in indicator 5.1.2b.

Introduction

Indicator 5.1.2b requires the UoC to set cutoff dates for its category 2 and 3 plant ingredients that are

fixed in time, and

ii.

sufficiently early, and

iii.

enable clear and objective monitoring.

A cutoff date is the date after which deforestation or conversion renders a given area or production unit non-compliant with no-deforestation or no-conversion goals, commitments, targets, or other obligations. This Appendix describes the requirements to be followed in setting such cutoff dates and is based on the Accountability Framework initiative’s operational guidance on setting cutoff dates123123https://accountability-framework.org/fileadmin/uploads/afi/Documents/Operational_Guidance/AFi_Operational_Guidance_-_Cutoff_Dates__Sept_2023_.pdf. Further guidance on cutoff dates can be found in the Feed Interpretation Manual.

Step 1

The UoC shall set a fixed cutoff date for deforestation and/or conversion which shall not change over time (i.e rolling dates shall not be used).

Step 2

The UoC shall set cutoff dates that align with prevailing norms and avoid incentivising further deforestation or conversion in anticipation of future restrictions. When selecting cutoff dates, all three of the following conditions shall be met:

The UoC shall check if any common cutoff dates already exist for the category 2 and 3 plant ingredients and adopt common cutoff dates where they exist and apply. A common cutoff date is a cutoff date that applies to many or all companies operating in the same or similar context and may have arisen through sustainability initiatives, regulations, or other industry requirements.

The UoC shall consider if the cutoff date can be set no later than 31st December 2020. A 2020 cutoff date aligns with global goals to halt deforestation, such as Target 15.2 of the United Nations Sustainable Development Goals. It also aligns with the Science Based Targets initiative Forest Land and Agriculture (SBTi-FLAG) targets and the Science Based Targets Network (SBTN) No-Conversion target. If such a date is not possible, the UoC shall provide justification for setting a later cutoff date in its public commitment (indicator 5.1.2).

The UoC shall set a cutoff date that is no later than the date the UoC’s public commitment is issued.

Step 3

The UoC shall ensure the cutoff date enables clear and objective monitoring:

The UoC shall specify the cutoff date as an exact day within the year that has been selected e.g. 31^st December 2020, not December 2020.

The UoC shall specify the data product(s), base map(s), or monitoring tool(s) that will be used to i) identify any post cutoff date deforestation or conversion, and ii) determine conformance relative to the date that has been selected. The information shall be included in its public action plan (indicator 5.1.7).

Note that different cutoff dates may be set for different ingredients and different regions.

Appendix 10 – UoC staff competency requirements

UoC staff competency requirements

1. Only competent person(s), team(s) or organisation shall conduct Due Diligence and risk assessments.

Individual(s) conducting Due Diligence and Primary Raw Material Production risk assessments shall collectively possess the required competencies in Tables 7, 8 and 9.

Where Due Diligences or risk assessments are outsourced (e.g., using consultant(s)); the UoC shall be responsible for confirming and maintaining evidence of competencies of external parties.

2. The UoC’s designated member of management (as per indicator 1.2.4), shall have authority over the implementation and compliance with the below requirements124124The tasks listed can be completed by other competent individuals with the designated member of management responsible for ensuring effective completion.:

Evaluation and approval of evidence to demonstrate competency of personnel conducting Due Diligence. Records of evidence shall be maintained.
Maintain a record of the evidence evaluated for competency approval according to the risk scope of the assessment (i.e., legal, social or environmental).
Review and approval of the content of all completed assessment reports ensuring:
It was conducted according to the UoC’s Due Diligence / assessment process
It includes clear reference to the predefined risk factor(s) and pathway(s) used to determine low risk, as defined in the standard
Where required, there is support and engagement with the facility undergoing the Due Diligence / assessment.
There is appropriate authority to follow up and manage the implementation of monitoring programs and measures resulting from the outcome of the assessment(s). i.e., prevention, mitigation, remediation, or cease sourcing.
Where Due Diligence or risk assessment of primary raw material production is conducted by the Ingredient Manufacturer, the UoC may accept this as evidence in place of conducting their own assessment provided:
the report is reviewed to assess whether it was conducted by qualified person(s) and
the evidence provided to justify the outcome of the assessment is acceptable.

Table 7

Qualifications and competencies for ALL individuals conducting Due Diligence (pathways 2 and 3).

Individual(s) conducting pathway 2 Sectoral Assessment or pathway 3 Ingredient Manufacturer Assessments shall possess the following qualifications and competencies. Qualification / Competency can be demonstrated by both internal or external resources, so long as the below criteria is collectively met.

Qualification / Competency

Requirements

Education

The individual shall have at least a post-high school diploma or equivalent (minimum course duration of two (2) years).

Work Experience

The individual shall have 3 years of experience in the relevant sector under assessment (e.g., industrial processes, agriculture, aquaculture, fisheries, forestry)
The individual(s) shall have experience conducting Supply Chain Risk Assessment, Risk Management or Other Due Diligence assessments in a similar sector.

Training

The individual(s) shall have completed the ASC Feed Standard training module provided by the ASC (once available).

Table 8

Qualifications and competencies for individuals conducting Due Diligence on Legal and Environmental Risks in the fisheries sector.

In addition to table 7, individual(s) conducting Due Diligence relating to fisheries (through pathways 2 or 3) shall possess the following qualifications and competencies. Qualification / Competency can be demonstrated by both internal or external resources, so long as the below criteria is collectively met.

Qualification / Competency

Requirements

Education

The individual shall have a university degree in fisheries, marine conservation biology, natural resources, environmental management, or another relevant field.

Work Experience

The individual shall have worked in:

Fishery management and operations: at least 3 years of experience as a practicing fishery manager and/or fishery policy analyst, OR
Fish stock assessment: at least 3 years of experience as a leader in the production of peer reviewed stock assessments, OR
Fish stock biology/ecology: at least 3 years of experience working in fisheries biology and population dynamics, OR
Fishing impacts on aquatic ecosystems: at least 3 years of experience in research into, policy analysis for, or management of fisheries impacts on aquatic ecosystems.

Training

Successfully completed a relevant fishery assessment training, (e.g., online MSC fishery assessor training modules) OR, Currently listed on the MSC’s Register as a technical consultant or associate technical consultant
Demonstrate a good understanding of the types of management system(s) and laws applicable to the fishery under assessment
Demonstrate a good understanding of CITES and IUCN
Demonstrate a good understanding of how to identify Illegal, Unregulated and Unreported fishing.

Table 9

Qualifications and competencies for individuals conducting Due Diligence on Social risks.

In addition to table 7, individual(s) conducting Due Diligence of social risks (through pathways 2 or 3) shall possess the following qualifications and competencies. Qualification / Competency can be demonstrated by both internal or external resources, so long as the below criteria is collectively met.

Qualification / Competency

Requirements

Education

The individual shall have a university or post graduate degree in Social Science, or another relevant field related to social impacts.

Work Experience

The individual shall have experience conducting Due Diligence or social risk assessments
Specific for social risks at fisheries: The individual shall demonstrate experience working to address social issues in fisheries or fishing communities.

Training

The individual shall have knowledge of local labour and human rights legislation for the country of the sector under assessment
Demonstrate a good understanding of how to identify forced and child labour
Specific for social risks at fisheries: The individual shall attend a training on fisheries social risk assessment or training in a fisheries social programme.

Table 10

Feed Mill Internal Auditor qualifications and competencies (as referenced in Criterion 1.2)

Internal Auditors evaluating the UoC’s compliance against the ASC Requirements through annually scheduled internal audits shall possess the following qualifications and competencies.

Qualification / Competency

Requirements

Education

The individual shall have at least a post-high school diploma AND
The individual shall have a general knowledge of management systems standards (such as ISO 9001), applicable procedures or other management systems documents used as audit criteria AND
The individual shall understand the social, economic and cultural relationships in employee communities.

Work Experience

The individual shall have experience relevant to the scope of certification, e.g., feed manufacturing / milling / animal nutrition.

Training

The individual shall have successfully completed an Internal Auditor training course based on ISO 19011 principles that has a minimum duration of sixteen (16) hours. The course provider shall be accredited by the International Register of Certified Auditors (IRCA), Exemplar Global or demonstrable equivalent AND
The individual(s) shall have completed the ASC Feed standard training module provided by the ASC (once available) AND
The individual shall have successfully completed a training course for auditing social requirements provided by a certification body or professional training institution specialised in social auditing (only applicable to internal auditors auditing social requirements).

Audit Experience

The individual shall have observed at least three (3) management system audits.

Table 11

Feed Mill Health and Safety qualifications and competencies for staff implementing Criterion 1.7

Staff responsible for health and safety of employees at feed mills shall collectively possess the following qualifications.

Qualification / Competency

Requirements

Education

The individual shall fulfill local regulations related to minimum education required depending on the number of employees and the level of risk of the organisation.
If the country does not have a local regulation related to minimum education based on the number of employees and level of risk, the individual shall fulfill the following education qualifications:

10 to 49 employees: post high school diploma.
50 to 99 employees: post high school diploma and a postgraduate degree in labour health and safety.
≥100 employees: post high school diploma and a postgraduate degree in health and safety.

Work Experience

The individual shall have experience managing health and safety systems at industrial facilities for at least two (2) years.

Health and Safety training

The individual shall have experience managing health and safety systems at industrial facilities for at least two (2) years.
The individual shall fulfill local regulations related to minimum specific health and safety training hours required depending on the number of workers and the level of risk of the organization.
If the country does not have a local regulation related to minimum specific health and safety training hours based in the number of employees and the level of risk, the individual shall fulfill the following training qualifications:

10 to 49 employees: ≥ 50 hours.
50 to 99 employees: ≥ 100 hours.
≥100 employees: ≥ 200 hours.

Appendix 11 – Ingredient Approval Process

Ingredient Approval Process

The UoC shall implement documented procedures with clearly defined responsibilities for processes specific to its ingredient supply chains and their risks. The procedures shall include but not be limited to the following:

Processes to maintain up-to-date Supply Chain mapping for all ingredients that represent >1% of the total annual ingredient-weight (volume) received by the UoC for use in aquafeeds.

Processes to maintain traceability records/information of all ingredients.

Processes used to determine:

Risk levels of Ingredient Manufacturers and Primary Raw Materials Production and

Pathway(s) chosen for each respective risk factor.

Processes and pathway(s) used to determine risk levels of plant based Primary Raw Materials for legal deforestation/conversion risk factor.

Processes to verify approval status and classification of incoming ingredients as: Eligible Ingredient, Non-eligible Ingredient, Non-Aquafeed Ingredient or Non-Permitted Ingredients.

Processes to determine the sustainability category for whole fish marine ingredients.

Processes to restrict sourcing of relevant ingredients to Ingredient Manufacturers, approved as required, by indicators 2.2.8 and 2.2.9.

Processes to assess and mitigate the risks of substitution or uncontrolled mixing between Eligible Ingredients and Non-eligible Ingredients where the Segregation Production Model is operated and where ASC-product and non-ASC product are produced.

Appendix 12 – Non-Conforming Product

Non-Conforming Product

The UoC shall have a documented procedure for managing non-conforming ASC product that includes the following requirements:

Staff awareness to identify and report potential non-conforming product.

Secure storage and clear identification of non-conforming product still on site (e.g., via physical label and / or IT system).

Defined responsibilities for decision making on the use of products appropriate to the issue (e.g., down grading to Mass Balance Production Model product, downgrading to non-ASC status, use in non-aquafeed production, return to the supplier).

In the event of detecting non-conforming product, the UoC shall:

Immediately cease to sell or dispatch any implicated non-conforming product as Segregation Production Model product and, where relevant, Mass Balance Production Model product

Assess and take necessary action for implicated ingredients or product still on site

Place further deliveries of implicated ingredient(s) in quarantine until necessary action has been taken

If warranted, recall affected product.

The UoC identifies and where applicable, downgrades the non-conforming product (e.g., from ASC to non-ASC product, from Segregation Production Model to Mass Balance Production Model product or from Eligible to non-eligible Ingredients) and relabels or re-identify as such prior to sale or other activities.

The UoC shall notify their CAB within two (2) days of detecting the non-conforming product and inform the CAB of the implicated lots/batches of non-conforming product and actions taken to resolve the situation

The UoC shall notify any customers confirmed as having received non-conforming ASC product within two (2) days of detecting the non-conformity and inform the customer of potential impacts on any claims associated with this product.

The UoC shall identify the reason the product is non-conforming and implement measures to prevent recurrence where necessary.

Records of decisions and actions taken shall be maintained and where relevant, the Ingredient Accounting System updated accordingly.

Appendix 13 – Ingredient Accounting System (IAS)

Ingredient Accounting System (IAS)

UoCs using the Mass Balance Production Model shall operate an Ingredient Accounting System125125Where only the Segregation Production Model is in use, an IAS is not required as eligible volume is linked to the physical product. that:

Is operated by trained and authorised person(s).

Is protected from deliberate and/or accidental altering of data.

Is updated on a continuous basis:

Upon receipt, and prior to entering into the IAS, the UoC shall determine whether the ingredient is destined for use in aquafeed or non-aquafeed. Only Volume destined for use in aquafeed shall be entered into the IAS

Upon receipt, and prior to entering into the IAS, the UoC shall determine, whether the ingredient is eligible. Only Volume which is eligible shall be entered into the IAS

In exceptional cases where Eligible Volume entered into the IAS is later re-assigned for non-aquafeed (e.g., livestock), this volume must be immediately deducted from the IAS

In exceptional cases where an ingredient previously classified as non-eligible is retrospectively determined to be eligible, this volume shall be entered into the IAS as eligible but only after evidence is available to demonstrate its eligibility and it was received within the Accounting Period

Upon dispatch, the volume of ASC product produced under the Mass Balance Production Model, is deducted from the IAS.

Records any changes (yield) in weight/volumes, in kg and %, of each blend/batch from receiving to dispatching the final products.

In addition, where the UoC is producing product under both the Mass Balance Production Model and Segregation Production Model, the IAS shall deduct outgoing product, indicating whether the product was dispatched under the Mass Balance Production Model or Segregation Production Model.

When a Shared IAS is used, each participating production site shall meet all the following conditions:

be owned and operated by the UoC,

be certified individually or as a Multi-site under the ASC Feed Standard,

be certified by the same CAB,

be located within the same country,

be listed (name, location) in the Shared IAS,

share or use the same ingredient approval process as described in Appendix11.,

have authority to enter into and deduct eligible volume from the Shared IAS,

acknowledge in writing that non-conformities raised126126This can be non-conformities raised via the UoC’s own Internal audit or the ASC Feed Standard audit. against the Shared IAS of any one participating site may have an impact on eligible volume for all sites involved in the Shared IAS.

In the Shared IAS, the output of ASC product produced by all participating sites shall not exceed the input of eligible volume received by all participating sites within the Accounting Period.

All requirements of the Shared IAS shall be applied in addition to the requirements as described within the Ingredient Accounting System above.

Appendix 14 – The Mass Balance and Segregation Production Model

The Mass Balance and Segregation Production Model

Balancing of Mass Balance Accounting Period.

The UoC shall produce a Mass Balance summary for all Mass Balance Production Model product dispatched during the defined Accounting Period.

The balancing summary shall be carried out annually at the end of each accounting period.

The balancing summary shall include the following:

Eligible Volume (in MT) carried over from the previous Accounting Period (if applicable)

Eligible Volume (in MT) received within the Accounting Period

Eligible Volume (in MT) (i.e., ASC product) dispatched within the Accounting Period and

Eligible Volume (in MT) to carry over to the next Accounting Period (if applicable).

If an available quantity of eligible volume is not used within 24 months from the date of entry into the IAS, the volume shall expire and shall be deducted from the IAS.

Mass Balance

Accounting Period: January to December

For initial audits, Eligible Volume can be added to the IAS from January of that calendar year onwards, however, this volume must be verified as accurate during the initial audit. Once verified as accurate, Eligible Volume, (i.e., ASC Product), may be deducted from the IAS from the date of initial certification onwards.

The volume of ASC product dispatched shall not exceed the Eligible Volume entered into the IAS within the Accounting Period (including, if relevant, eligible carry over from the previous Accounting Period).

The UoC may overdraw volume during the Accounting Period as long as overall quantities are monitored (via the IAS) and the volume is balanced by the end of the Accounting Period127127i.e., within the Accounting Period (January – December) the volume of incoming and outgoing eligible volume in the IAS does not need to be balanced. However, the IAS must be balanced by the end of the accounting period..

Unused eligible volume at the end of the Accounting Period may be carried over and recorded in the IAS for the following 12 month Accounting Period.

Only Eligible Volume which has been recorded in the IAS within the Accounting Period (including the carry-over from the previous Accounting Period) shall be allocated to outputs dispatched within the Accounting Period.

Segregation Production Model

For the Segregation Production Model, the UoC shall implement documented traceability procedures to maintain physical identification, traceability and segregation of Eligible Ingredients throughout all processes under the control of the UoC.

As a minimum, the procedures shall:

Include a clear description of the identification, segregation and traceability system

define relevant records required

define controls in place to

prevent mixing of Eligible Ingredients with Non-eligible Ingredients and Non-aquafeed Ingredients (e.g., Livestock)

ii.

prevent mixing of product produced under the Segregation Production Model with product produced under the Mass Balance Production Model and Non-ASC product

where rework or reworking operations are performed, segregation and traceability shall be maintained

The UoC shall conduct a verification test of their segregation and traceability system that is applicable for the range of products produced under the Segregation Production Model.

The test shall verify that:

Traceability of an Eligible Ingredient can be determined from the ingredient manufacturer to the finished product dispatched to immediate customer (i.e., a forwards trace check) and

Traceability can be determined from a finished product back to the ingredient manufacturer of each Eligible Ingredient used in the manufacture of that product produced under the Segregation Production Model (i.e., a backwards trace check).

Segregation can be maintained.

Traceability test results should be achievable within 4 hours.

The test shall occur at a predetermined frequency and at a minimum annually with no more than 12 months between tests.

Traceability test results shall be retained for internal audits and audits by the CAB.

Non-conformities raised during this internal verification test of the traceability system shall be documented and include:

corrective action plans

timescales for completion

assigned responsibility for verification of effectiveness of corrective action plans implemented

close out of the non-conformity.

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ASC Feed Standard v1.1

Introduction

About ASC

The Power of Seafood

Our Vision

Our Mission

Transforming Seafood Farming

ASC Certification

ISEAL Community Membership

Normative references

Supporting documents and tools

Certification Programme

Integrity Services Provider and Accreditation Body

Audit Process

Certificate

ASC Label and Claims

ASC Assurance Net

Document Structure and Vocabulary

Vocabulary use

Scope of Standard

Unit of Certification

Scope of Standard

Relationship between the Standard and applicable law

Principle 1

The UoC has a management system to implement the ASC Feed Standard, including operating legally, and in a socially and environmentally responsible manner.

Criterion 1.1

Rationale

Indicators

Indicators

Description

Criterion 1.2

Rationale

Indicators

Indicators

Description

Criterion 1.3

Rationale

Indicators

Indicators