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Introduction to this document

The purposes of the ASC Certification Requirements for Unit of Certification [RUoC – this document] are:

1. To provide Applicants seeking for ASC certification with a description of the scheme certification requirements that apply to Applicants and ASC Certificate Holders.

2. To describe the requirements for those certified entities who wish to make a claim about or use the ASC logo and trademarks for certified facilities or products.

3. To provide transparency so the ASC standard system has credibility with stakeholders.

This document contains administrative and process requirements that Applicants and ASC certified feed mills need to conform to in addition to the performance requirements specified in ASC Standards.

Conformity Assessment Bodies (CABs) shall use this document in conjunction with ASC Certification and Accreditation Requirements (CAR), which further details requirements for the CAB.

NOTE: This document has been developed for technical use by Applicants and ASC Certificate Holders and by accredited and Applicant Conformity Assessment Bodies (CABs), therefore casual readers may find that it is not easy to read. For general readers, it is recommended that the ASC website be reviewed prior to this document.

1Scope

This document comprises all administrative and process requirements that Applicants for certification and Certificate Holders shall conform to in addition to the requirements in the ASC Feed Standard.

2Normative references

The documents listed below and the Variance Request & Interpretation Platform are part of the ASC Certification Requirements.

For references which have a specific date or version number, later amendments or revisions do not apply. CABs and Certificate Holders are encouraged to review the most recent editions and any guidance documents available to gain further insight.

For document references without dates or version numbers, the latest edition of the document applies.

The following apply directly to the Applicants and Certificate Holders:

ASC Feed Standard; See www.asc-aqua.org
The ASC data retention and data ownership policies; See www.asc-aqua.org
All applicable laws and regulations of governmental or other competent authorities, related to the scope of the Standard and ASC Requirements.

3Terms and Definitions

All definitions are published in the ASC Vocabulary Portal.

4Process and Preparation Requirements for Feed Mills

4.1 Feed Mill staff competency requirements

4.1.1. Only competent person(s), team(s) or organisation shall conduct Due Diligence and risk assessments as required in the ASC Feed Standard.

4.1.1.1 Individual(s) conducting Due Diligence and Primary Raw Material Production risk assessments shall collectively possess the required competencies in Annex C.

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

4.1.2 .The Client’s designated member of management (as per ASC feed standard indicator 1.2.4), shall have authority over the implementation and compliance with the below requirements ^[4]:

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:
1. It was conducted according to the Client’s Due Diligence / assessment process
2. 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 Client may accept this as evidence in place of conducting their own assessment provided:
1. the report is reviewed to assess whether it was conducted by qualified person(s) and
2. the evidence provided to justify the outcome of the assessment is acceptable.

4.2. Ingredient Approval Process

4.2.1. The Client shall implement documented procedures with clearly defined responsibilities for processes specific to its Supply Chains and their risks. The procedures shall include but not be limited to the following:

4.2.1.1. 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 Applicant/Certificate Holder for use in aqua feeds.

4.2.1.2. Processes to maintain traceability records/information of all Ingredients.

4.2.1.3. Processes used to determine:

Risk levels of Ingredient Manufacturers and Primary Raw Materials Production and
Pathway(s) chosen for each respective risk factor as specified in the ASC Feed Standard.

4.2.1.4. Processes and pathway(s) used to determine risk levels of plant based Primary Raw Materials for legal deforestation/conversion risk factor as specified in the ASC Feed Standard.

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

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

4.2.1.7. Processes to restrict sourcing of relevant ingredients to Ingredient Manufacturers, approved as required, by the ASC Feed Standard.^[5]

4.2.1.8. 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.

4.3. Ingredient Accounting System (IAS)

4.3.1. Clients using the Mass Balance Production Model shall operate an Ingredient Accounting System^[6] that:

4.3.1.1. Is operated by trained and authorised person(s).

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

4.3.1.3. Is updated on a continuous basis:

Upon receipt, and prior to entering into the IAS, the Client 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 Client 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.

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

4.3.1.5. In addition, where the Client 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.

4.4. Shared Ingredient Accounting System (IAS)

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

4.4.1.1. be owned and operated by the Client,

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

4.4.1.3. be certified by the same CAB,

4.4.1.4. be located within the same country,

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

4.4.1.6. share or use the same ingredient approval process as described in Section 4.2.,

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

4.4.1.8. acknowledge in writing that non-conformities raised^[7] against the Shared IAS of any one participating site may have an impact on eligible volume for all sites involved in the Shared IAS.

4.4.2. 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.

4.4.3. All requirements of the Shared IAS shall be applied in addition to the requirements as described within section 4.3 Ingredient Accounting System.

4.5. The Mass Balance and Segregation Production Model

4.5.1. Making changes to Production Models in operation

4.5.1.1. The Client shall request a CAB evaluation to determine if an on-site audit is required in the following situations:

Change from one Production Model (Segregation or Mass Balance) to another, or
Addition of a Production Model.

4.5.1.2. The evaluation may be conducted during a surveillance audit or at any convenient time and cost as agreed by the Client and the CAB.

4.5.1.3. The Client shall only change the Production Model upon receipt of the CAB approval.

4.5.1.4. Prior to moving from the Mass Balance Production Model to using solely the Segregation Production Model, any eligible volume already allocated to Mass Balance Production Model product shall be run out/deducted from the IAS.

4.5.2. Mass Balance Production Model

4.5.2.1. Balancing of Mass Balance Accounting Period.

The Client 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:
1. Eligible Volume (in MT) carried over from the previous Accounting Period (if applicable)
2. Eligible Volume (in MT) received within the Accounting Period
3. Eligible Volume (in MT) (i.e., ASC product) dispatched within the Accounting Period and
4. 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 twenty-four (24) months from the date of entry into the IAS (see 4.3.1.3), the volume shall expire and shall be deducted from the IAS.

4.5.3. Mass Balance

Accounting Period: January to December

4.5.3.1. 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.

4.5.3.2. 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).

4.5.3.3. The Client 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 Period^[8].

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

4.5.3.5. 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.

4.5.4. Segregation Production Model

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

4.5.4.2. 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
1. prevent mixing of Eligible Ingredients with Non-eligible Ingredients and Non-aquafeed Ingredients (e.g., Livestock)
2. 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

4.5.4.3. The Client 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.

4.5.4.4. 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 forward’s 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.

4.5.4.5. Traceability test results should be achievable within 4 hours.

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

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

4.5.4.8. 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

4.6. Identification

4.6.1. The Client shall clearly identify all ASC products, both physically for sealed feed bags, as well as on associated sales documents for all feed, indicating the Production Model applied. (i.e., Segregation or Mass Balance).

4.6.2. The Client shall identify ASC product which is sold under the Segregation Production Model by using a distinct feed name.

5Application

5.1 The Applicant shall contact accredited or applicant CABs to start an ASC certification process. The Accredited and applicant CABs list is available on the ASC and ASC appointed accreditation body website.

5.2 The applicant shall complete CABs’ application forms with truthful information and provide all the additional information the CAB may request in relation to the UoC and violations to environmental or social compliance.

5.3 When applying for certification, the Applicant shall specify the ASC Production Models they intend to use:

Segregation Model
Mass Balance Model
Both.

5.4 The Applicant shall declare:

5.4.1 Outsourcing of any activities to third parties (e.g., subcontractors for storage, transport or other activities).

5.4.2 Production of other non-aquafeed products (e.g., livestock or poultry feed).

5.5 A Certificate Holder which had an ASC certificate withdrawn may only apply for a new ASC certification twelve (12) months after the date of the certificate withdrawal.

5.5.1 An Applicant which failed an ASC audit may apply again for certification in less than twelve (12) months, only with the same CAB with which it failed the audit.

5.6 An Applicant successfully prosecuted for the following situations shall not apply in less than 24 months:

Carrying out fraudulent activities confirmed by the statutory authority.
Use or involvement of Child labour, slavery, human trafficking or forced labour.

5.7 The Applicant should review all the information sent by the CAB related to the ASC Requirements and the certification process.

6Prerequisites for initial audit

Prior to scheduling an initial audit, the Applicant shall comply with the following conditions:

6.1. The Applicant shall have a functioning Ingredient Accounting System (IAS) in place that can monitor the volumes of incoming Eligible Ingredients and account for the volumes of outgoing ASC feed produced under the Mass Balance Production Model.

6.2. The Applicant shall have conducted at least one Ingredient Accounting System balancing exercise resulting in accurate calculation prior to the initial audit. Records of the exercise shall be maintained.

6.2.1. This also applies where the Shared Ingredient Accounting System is in operation.

6.3. The Applicant shall have implemented Code of Conduct requirements i.e., the Applicant only sources from Ingredient Manufacturers which have declared that they meet the Code of Conduct.

6.4. The Applicant shall have completed Due Diligence processes for both Ingredient Manufacturers and Primary Raw Material Production as required by the standard in the last twelve (12) months.

6.5. The Applicant shall have calculated its Majority Sustainability Level (MSL) Entry Level.

6.6. The Applicant shall have conducted at least one internal audit in the last six (6) months against the ASC Requirements with corrective action plans implemented as required.

7Scope of Certification

7.1. The Applicant shall provide the CAB with all the required information to define the Scope of Certification including:

Applicable certification type (i.e., Single site or Multi-site)
Activities and facilities under scope of the UoC before the product changes ownership. This includes but is not limited to production, storage, transport.
Production Model in use i.e., Mass Balance Production Model / Segregation Production Model or both.

7.2. The Certification Type may be either:

7.2.1. Single site Certification which shall have all the following elements:

The UoC is formed by one (1) production site and any associated facilities which has defined location(s) and area
The Client is capable of signing a binding contract that is legally enforceable.
The Client is the owner of the ASC product
The Client is the only entity authorised to sell ASC product.

7.2.2. Multi-site certification which shall have all of the following elements:

The UoC consists of more than one site
The Client has an identified central function in charge of assuring the compliance against the ASC Requirements of all sites within the UoC and sites are either owned or subcontracted by the Client.
The Client is responsible for compliance to ASC Requirements at all sites.
The Client is capable of signing a binding contract that is legally enforceable.
The Client is the only entity authorised to sell ASC products from all sites.
All sites are located within the same country.
All individual sites and associated facilities shall be audited.

8Contract

8.1. If the Applicant and the CAB agree to start the certification process, both shall sign a contract including the following elements:

8.1.1. That ASC retains the right to change the ASC Feed Standard and certification Requirements and that certification is conditional on conforming to a new or revised standard and new or revised Certification Requirements within the timeframes established by the ASC.

8.1.2. That the ASC shall have full access to all audit products including audit evidence, audit findings and audit reports including confidential annexes.

8.1.3. That the Client shall submit to ASC accurate production and sales data using the form and manner specified by the ASC.

8.1.4 That the Client shall allow the ASC to process and publish, excluding confidential annexes, UoC’s data and information collected from the certification process for the purpose of transparency as an integral part of the ASC certification programme.

8.1.5. That upon request, the CAB Auditor, ASC and the ASC appointed accreditation body shall have unrestricted access to data (except financial) in the Ingredient Accounting System.

8.1.6. That ASC and the ASC appointed accreditation body shall have the right to observe audits conducted by the CAB.

8.1.7. That ASC, ASC designated agent and ASC appointed accreditation body shall have the right to visit the Certificate Holders site(s) and any associated facilities within the scope of certification, including visits without prior notice for the purpose of verification of the integrity of ASC certification.

8.1.8. That the ASC appointed accreditation body shall have the right to conduct audits of the UoC, including unannounced audits, for the purpose of monitoring CAB conformity.

8.1.9. That ASC, ASC designated agents, ASC appointed accreditation body and the CAB shall have the right to collect product samples or other supporting samples (e.g., raw material ingredients) as evidence to confirm the Clients compliance against ASC Requirements (e.g., antibiotic or non-GM declarations) including products stored at subcontractor facilities, if applicable.

8.1.9.1. This sampling may be conducted unannounced during ASC audits or at any other time.

8.1.9.2. Costs incurred in testing shall be covered by the Client for samples taken and decided by the CAB during ASC audits.

8.1.10. That the CAB shall have access to all audit products of the latest third-party social audit, if any. This includes, but is not limited to audit reports, non-conformity reports, evidence of closure of non-conformities, and relevant confidential information.

8.1.11. That the Client shall have the right to raise their concerns or object to any of the proposed audit team members.

8.1.12. That the Client shall be responsible for informing the CAB, within fourteen (14) days of any changes made in the operation that may require oversight from the CAB. This can include, but is not limited to:

Inclusion of new products which introduce a significant new risk to the facility e.g., addition of non-aquaculture feed
Addition of new products under the Segregation Production Model, including the distinct feed name
Changes in the number of sites (if a Multi-site Client).

8.1.13. That the client shall be responsible for informing the CAB within fourteen (14) days of the occurrence of any of the following situation(s):

Fatal workplace accidents
Legal compliance violations confirmed by the statutory authority on issues related to the scope of ASC feed standard and Requirements
Recall of non-conforming ASC products due to incorrect ingredient formulation (e.g., Non-permitted substances, use of Non-eligible or Non-permitted Ingredients in an ASC product produced under the Segregation Production Model or, Non-permitted ingredients used in product produced under the Mass Balance Production Model).

9Audit Timing

9.1. The Client and the CAB shall plan to ensure that by the time the initial audit takes place:

The site shall have been in operation for no less than six (6) months, and
Has confirmed completion of the pre-requisite activities as defined in section 6 above.

9.2. The UoC shall have available records of performance data covering the periods of time specified in the ASC Feed standard.

9.3. The Client and CAB shall arrange the audit to occur at a time that the site is operational and in production.

9.4. The Client and the CAB should plan for audits in a way that ASC feed products are in production or Eligible Ingredients are stored in the UoC.

9.5. The Client shall:

Ensure that only product intended for sale (no trial or mock production) will be evaluated; AND
Allow the CAB to evaluate other activities within the scope of the UoC such as loading, even when they are implemented by subcontractors, or production of non-aquafeed, if applicable.

10Audit Announcement

10.1. The client shall cooperate with the CAB to agree an audit date which ensures that there are no lapses in audit timing and also enables the CAB to publicly announce the audit on the ASC website at least 42 days before the scheduled audit date.

10.1.1. Under exceptional circumstances the client may request a change to a scheduled audit date, the request should be made to the CAB at least 14 days before this scheduled date.

11Stakeholder Engagement

11.1. The client shall publish in a visible place for local communities and neighbours, the dates of the upcoming ASC audit with the CAB contact information in case they want to submit public comments.

11.2. The client may provide the CAB with contact information of stakeholders relevant to be contacted in the region where the UoC is located.

12Audit Preparation and Planning

12.1. The client shall provide the information requested by the CAB to conduct a desk review before the audit.

12.2. The client should agree with the CAB on a provisional audit plan with the following information:

Scope of the audit
Draft work schedule
Names and affiliation of proposed audit team members
Information about the audit process to facilitate appropriate preparations for the audit.

12.3. The client may object to any audit team members where sufficiently justified.

13Audit

13.1. The client shall arrange relevant personnel to attend different activities during the audit and make the necessary arrangements for the audit execution. This includes, but is not limited to:

Invite management of the UoC and key relevant personnel, including workers and/or trade union representatives to the audit opening meeting
Arrange transportation (where required) of the audit team members to the different premises within the UoC
Arrange interviews with management and technical staff
Provide the CAB access to all premises and facilities, including those that are subcontracted, within the scope of the UoC
Provide all the documents and records requested by the CAB auditors within requested timeline
Allow auditors to interview employees in private without the presence of management representatives or those in supervisory roles
Invite management of the UoC and key relevant personnel, including workers and/or trade union representatives to the closing meeting.

13.2. The Client shall provide the CAB, during the audit, with a scheme or map of the facilities and production areas in order to plan the site tour.

14Sampling and Testing

14.1. The Client shall allow the CAB, ASC, ASC appointed accreditation body or designated agents to collect samples of feed product or other substances (water, ingredients, additives) during ASC audits to verify UoC’s compliance against the ASC standards.

14.2. The Client shall assist the CAB auditor with equipment available at the site and staff to collect the samples.

14.3. The client may request the CAB for a second test of the duplicate sample by the same laboratory to confirm results of the first test.

14.3.1. The second test shall only be run for parameters being disputed

14.3.2. In case the second test produces a different result, the client shall accept results of a last (third) test.

15Remote Auditing

15.1. When remote audit is allowed, the Certificate Holder shall arrange with the CAB for audit activities that will occur remotely. Those activities may include, but are not limited to:

Witnessing production activities
Interviewing management staff
Reviewing data, documents and records
Conducting site tours
Reviewing video recording or photographs (i.e., audit sampling activities).

15.2. The Certificate Holder may allow the CAB to collect and evaluate evidence remotely as part of any audit through data, documents and records reviews and management interviews.

15.3. The Certificate Holder may request the CAB to conduct fully remote audit for:

Surveillance audits at single site or Multi-site UoC’s
In either case the UoC shall:
1. Possess a valid certificate (not suspended), AND
2. Have received no more than 5 major non-conformities in the previous audit.

15.4. The client shall agree with the CAB on the use of Information and Communication Technologies (ICTs) and measures to address issues related to confidentiality, security and data protection.

15.5. The client shall participate in tests in using ICTs required by the CAB prior to the actual remote audit to safeguard effective and secured remote audits or remote evidence collection.

16Audit Findings

16.1. During a CAB audit, and before the audit closing meeting, the client may request an opportunity to provide additional evidence to refute a non-conformity (minor, major or critical) raised by the CAB auditor.

16.2. Within a maximum of twenty-eight (28) days from the date of detection/closing meeting, the client shall provide to the CAB for each non-conformity:

A root cause analysis of why the non-conformity occurred
An expected action plan detailing correction(s) to solve the failure if possible, and corrective actions to address the root cause and prevent reoccurrence.

16.3. When the action plan is approved, the client shall submit to the CAB objective evidence of its effective implementation in the following timeframes from the detection date:

Non-conformity	Initial audit	During the validity of the certificate
Minor	Three (3) months	Three (3) months
Major	Three (3) months	Three (3) months
Critical	Three (3) months	Immediate suspensionThree (3) months

16.4. Non-conformities may be extended once, if the Client submits to the CAB evidence demonstrating that conformity was not possible due to circumstances beyond the control of the Client.

16.4.1. Non-conformities may be extended from the detection date for a maximum period of: Link to Variance request VR0766_Feed_Feed RUoC v1.0.1_16.4.1.

Non-conformity	Initial audit	During the validity of the certificate
Minor	Twelve (12) months	Twelve (12) months
Major	No extension	Six (6) months
Critical	No extension	Fourteen (14) days

16.5. The client shall submit in a timely manner, the relevant information to allow the CAB to review the information before the non-conformity closure deadline.

16.5.1. The Client should agree with the CAB on the timelines for non-conformities closure.

16.6. The Client should accept additional evaluations (either on-site or remote) to verify the effective implementation of the action plan.

16.7. If non-conformities are not closed or extended in the timeframes above the Client shall be aware that the following actions would be taken by the CAB.

Non-conformity	Initial audit	During the validity of the certificate
Minor	Failed audit	Upgrade to Major
Major	Failed audit	Certificate Suspension
Critical	Failed audit	Certificate Withdrawal

17Non-Conforming Product

17.1. The Client shall have a documented procedure for managing non-conforming ASC product^[9] that includes the following requirements:

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

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

17.1.3. 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).

17.1.4. In the event of detecting non-conforming product, the Client 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.

17.1.5. The Client 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.

17.1.6. The Client 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.

17.1.7. The Client 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.

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

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

18Subcontracted Storage and Transport

18.1. A Client which subcontracts storage and transport activities relating to ingredients or products within the scope of the ASC Feed Standard shall:

18.1.1. Demonstrate that all subcontractors handling Ingredients or ASC product comply with the traceability^[10] requirements of this document.

18.1.2. Be able to request relevant records from the subcontracted storage and transport facilities.

18.1.3. Secure the CAB / the ASC or the ASC’s appointed accreditation body access to ASC Product at any time.

19Audit Report

19.1. The client shall accept that all audit reports and related information, except confidential annexes, are published on the ASC website. This includes reports of failed audits, reasons for suspension or withdrawal.

19.2. The client may agree with the CAB to keep commercially sensitive information in confidential annexes, submitted separately to the ASC in confidence.

19.2.1. Confidential annexes will not be public, however the ASC and ASC appointed accreditation body shall have access to them.

19.3. The client shall submit the root cause analysis and corrective action plan within the timelines as specified in 16.2 to ensure inclusion in the draft audit report before submission for publication.

19.4. The client may follow up with the CAB to ensure compliance with the following timeframes:

	Timeframe
Draft report submission	42 days after the audit closing meeting
Public consultation period	21 days after draft report publication on ASC website
Final report + Certification decision	28 days after end of public consultation
Surveillance audit reports	98 days after the audit closing meeting

20Certification Decision

20.1. When well justified, the client shall be aware that the CAB may need more time to take the certification decision.

20.1.1. The client shall agree with the CAB on arrangements for a full (repeat) audit in case the certification decision is not taken within six (6) months from the audit closing meeting.

20.2. The client shall confirm the certificate registration and publication on the ASC website before starting the sales of ASC products.

21Use of the ASC Logo, Trademarks and Claims

21.1. The Client holding a valid certificate (Certificate Holder) may claim that its operation is certified in accordance with the ASC Feed Standard subject to the scope of its certificate.

21.2. The Certificate Holder shall enter into an ASC Licensing Agreement to use the ASC logo, claims and other trademarks on ASC products in accordance with the License Agreement^[11].

21.3. A Certificate Holder shall only use the ASC Logo and trademarks if a License Agreement has been signed.

21.4. All use of the ASC logo and claims on promotional material and on product shall be submitted to ASC for approval prior to printing and a record of approval maintained.

21.5. The Client shall only make ASC related claims, including claims on the Production Model when it holds a valid certificate and where relevant, a valid Logo License Agreement.

21.6. The Client shall follow the ASC Claims User Guide.

21.7. The Client shall report to the CAB within two (2) days of discovering any incorrect use of the claim (See Non-Conforming Product section 17 above).

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

21.8.1. Shall pack ASC product with tamper proof & traceable labels or seals (i.e., a label or seal with a traceable identification which is destroyed when the container or bag is opened).

21.8.2. Shall have a mechanism to prevent the entity from misusing the Client’s name or re-use of the Client’s packaging.

21.8.3. Should obtain written commitment from the entity that they will not permit misuse or tampering of the ASC product while in their ownership.

22Surveillance Audits

22.1. The Client and the CAB shall plan at least 2 surveillance audits during the three (3) year certification cycle.

22.1.1. Surveillance audits shall be conducted annually with a window of three (3) months before or after the anniversary of the initial certification decision.

22.1.2. Two surveillance audits should not be carried out with less than six (6) months between them.

23Unannounced Audits

23.1. The Client shall accept unannounced audits by the CAB with no more than 48 hours’ notification.

23.2. The Client’s certificate shall be suspended where the Client does not accept the second attempt of an unannounced audit by the CAB.

23.2.1. The suspension shall only be lifted when another unannounced audit is accepted and completed, and any major or critical non-conformities are closed.

24Re-Certification Audits

24.1. The Certificate Holder should start applying for re-certification six (6) months before the expiry date of the certificate to avoid a gap in certification validity.

25Extension of Certificate Validity

25.1. The Certificate Holder may request the CAB to extend the validity of the certificate once, by up to three (3) months, only in cases when there are conditions outside the control of the Certificate Holder that prevents the execution of the audit.

25.2. To request an extension, the Certificate Holder shall apply to the CAB for re-certification and the application shall have been accepted by the CAB at or before the end of the period of validity of the certificate.

26Transfer of Certificates

26.1. A decision to transfer a certificate from one CAB (preceding CAB) to another CAB (succeeding CAB) shall be voluntary by the Certificate Holder.

26.2. The Certificate Holder may request a certificate transfer only once within the period of validity of a certificate.

26.2.1. If the Certificate Holder wishes to change CABs more than once within the period of the certificate validity, the Certificate Holder shall accept full ASC initial audits by the second and all other succeeding CABs.

26.3. The Certificate Holder may not request a transfer if:

The certificate is suspended.
Critical and major non-conformities have not been closed to the satisfaction of the succeeding CAB.

26.4. The Certificate Holder may agree with the succeeding CAB:

To carry out a transfer audit within three (3) months after the agreed transfer date according to the requirements for a surveillance audit, OR
Follow the Certificate Holder’s surveillance audit planning.

27Changes in the Scope

27.1. The client shall inform the CAB within fourteen (14) days about any change that might affect the scope of the UoC or scope of the certificate. This includes:

Reporting conditions described in contractual requirements.
Any other change to the certified operation determined by the CAB as requiring an onsite audit.

28Suspension, Withdrawal or Cancellation of Certification

28.1. The client may decide to cancel its certificate at any time.

28.1.1. The client shall inform the CAB of its decision and reason(s) to cancel a certificate.

28.2. The Certificate Holder shall follow the actions requested by the CAB to lift the suspension in a situation where the certificate is suspended.

28.3. If the Certificate Holder does not address the reasons of the suspension in the timeframe set by the CAB, its certificate shall be withdrawn.

28.4. The client shall accept that its cancellation/suspension/withdrawal status and reasons are published on the ASC website.

28.5. The client, whose certificate is suspended, withdrawn, or cancelled shall:

Immediately stop selling and/or promoting any product produced from the date of suspension, withdrawal or cancellation as ASC compliant or with the ASC logo, Trademarks or claims
Advise existing and potential customers in writing of the suspension, withdrawal or cancellation within four (4) days of the suspension, withdrawal or cancellation date.

28.6. The Client whose certificate was withdrawn may only apply for ASC certification again after a minimum of twelve (12) months from the date of withdrawal.

28.7. The Client found not following the above requirements in 28.5 a or b shall not re-apply to the programme within thirty-six (36) months from the date of discovery or disclosure to the CAB.

29Complaints, Appeals and Feedback

29.1. Clients are encouraged to submit to ASC in confidence, its feedback of each audit process within twenty-eight (28) days after the last day of the audit.

29.1.1. ASC shall keep clients’ feedback confidential and only use in an aggregated manner for analysis and improvement of the programme.

29.2. The client may appeal to a certification decision by a CAB if it is evident that:

The CAB personnel have not taken all submitted evidence into account when taking the certification decision, OR
The CAB personnel have not followed requirements laid out in the ASC CAR or other normative references for the certification process (e.g., auditor competence, conflict of interests, response timelines), OR
The CAB have misinterpreted ASC standard indicators or other applicable requirements.

29.2.1. The client shall follow the CAB’s appeal procedure for such objection.

29.3. Clients may file a complaint with the CAB, following their complaints procedure if dissatisfied with the performance of the CAB.

29.3.1. Clients are encouraged to send a copy of the complaint to ASC and the ASC appointed accreditation body (ASI).

29.3.2. A copy of the complaint can be sent to ASC at:
Email: complaints@asc-aqua.org

Mailing Address:
Aquaculture Stewardship Council
Daalseplein 101,
3511 SX Utrecht
The Netherlands

29.4. If clients are dissatisfied with the CAB’s complaint resolution mechanism, they may escalate to the ASC appointed accreditation body, following their complaint procedure (https://www.asi-assurance.org/s/quality)

30Data Publication

30.1. The Applicant and/or Certificate Holder shall allow information such as, but not limited to, site locations and audit reports to be published on the ASC website.

30.2. Any data submitted by the Client and the CAB during the certification process shall be held and processed in line with the ASC data retention and data ownership policies. The policies can be found on the ASC website.

31Reporting to the ASC

31.1. The Certificate Holder shall provide required data to the ASC in the form, manner and frequency as specified in ASC Standards and other ASC Requirements.

Annex AASC Vocabulary

Follow this link to the ASC Vocabulary Portal.

Annex BASC Requirements for Multi-Site Certification

All requirements in the ASC Feed Certification and Accreditation Requirements and this document also apply to clients applying for Multi-site certification unless specifically stated otherwise in this annex.

B1. Requirements for Multi-site certification

B.1.1. All sites in the UoC shall:

Maintain a legally binding link (i.e., direct ownership, lease or contract) with the Client.
Operate within the same country.

B.1.2. The Client shall have a designated central office that has the responsibility and authority to manage the Multi-site UoC´s conformity to the ASC Requirements.

B.1.3. The central office is responsible for the oversight and implementation of the complaints procedures for managing complaints submitted by stakeholders and staff members as specified in the ASC Feed standard.

B.1.4. The central office shall notify the CAB if they wish to add a new site to the Multi-site. In this case the new site shall:

B.1.4.1. Receive an Initial audit by the CAB.

B.1.4.2. Show compliance to all ASC Requirements before being included in the scope of the certificate.

B.1.4.3. The new site may be included in the scope of the Multi-site certificate without an audit if it has a valid ASC single site or Multi-site certificate, received a CAB audit in the last 12 months and there are no open major or critical non-conformities. In this case the Multi-site Certificate Holder shall:

Inform the CAB about the proposed certified site addition
If the site is certified with a different CAB, the client shall start a certificate transfer process to the CAB maintaining the Multi-site certificate.
The CAB may decide to conduct an onsite audit based on the review of the latest audit reports and other information.

Annex CCompetency Requirements

Note: requirements for qualifications and competencies detailed in Table A,B and C below, apply only when pathway 2 Sectoral Assessment or pathway 3 Ingredient Manufacturer Assessments are used for Due Diligence.

Table A

Qualifications and competencies for ALL individuals conducting Due Diligence.

Individual(s) conducting Ingredient Risk 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	a) The individual shall have at least a post-high school diploma or equivalent (minimum course duration of two (2) years).
Work Experience	a) The individual shall have 3 years of experience in the relevant sector under assessment (e.g., industrial processes, agriculture, aquaculture, fisheries, forestry) b) The individual(s) shall have experience conducting Supply Chain Risk Assessment, Risk Management or Other Due Diligence assessments in a similar sector.
Training	a) The individual(s) shall have completed the ASC Feed Standard training module provided by the ASC (once available).

Table B

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

In addition to table A, individual(s) conducting Due Diligence relating to fisheries 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	a) The individual shall have a university degree in fisheries, marine conservation biology, natural resources, environmental management, or another relevant field.
Work Experience	a) The individual shall have worked in: i. Fishery management and operations: at least 3 years of experience as a practicing fishery manager and/or fishery policy analyst, OR ii. Fish stock assessment: at least 3 years of experience as a leader in the production of peer reviewed stock assessments, OR iii. Fish stock biology/ecology: at least 3 years of experience working in fisheries biology and population dynamics, OR iv. 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	a) 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 b) Demonstrate a good understanding of the types of management system(s) and laws applicable to the fishery under assessment c) Demonstrate a good understanding of CITES and IUCN d) Demonstrate a good understanding of how to identify Illegal, Unregulated and Unreported fishing.

Table C

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

In addition to table A, individual(s) conducting Due Diligence of social risks 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	a) The individual shall have a university or post graduate degree in Social Science, or another relevant field related to social impacts.
Work Experience	a) The individual shall have experience conducting Due Diligence or social risk assessments b) Specific for social risks at fisheries: The individual shall demonstrate experience working to address social issues in fisheries or fishing communities.
Training	a) The individual shall have knowledge of local labour and human rights legislation for the country of the sector under assessment b) Demonstrate a good understanding of how to identify forced and child labour c) Specific for social risks at fisheries: The individual shall attend a training on fisheries social risk assessment or training in a recognised fisheries social programme. (See the ASC website for recognised schemes).

Table D

Feed Mill Internal Auditor qualifications and competencies (as referenced in Criterion 1.2 of the ASC Feed Standard)

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	a) The individual shall have at least a post-high school diploma AND b) 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 c) The individual shall understand the social, economic and cultural relationships in employee communities.
Work Experience	a) The individual shall have experience relevant to the scope of certification, e.g., feed manufacturing / milling / animal nutrition.
Training	a) 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 b) The individual(s) shall have completed the ASC Feed standard training module provided by the ASC (once available) AND c) 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	a) The individual shall have observed at least three (3) management system audits.

Table E

Feed Mill Health and Safety qualifications and competencies for staff implementing ASC Feed Standard criterion 1.7

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

Qualification / Competency	Requirements
Education	a) 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. b) 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: i. 10 to 49 employees: post high school diploma. ii. 50 to 99 employees: post high school diploma and a postgraduate degree in labour health and safety. iii. ≥100 employees: post high school diploma and a postgraduate degree in health and safety.
Work Experience	a) The individual shall have experience managing health and safety systems at industrial facilities for at least two (2) years.
Health and Safety training	a) The individual shall have experience managing health and safety systems at industrial facilities for at least two (2) years. b) 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. c) 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: i. 10 to 49 employees: ≥ 50 hours. ii. 50 to 99 employees: ≥ 100 hours. iii. ≥100 employees: ≥ 200 hours.

Responsibility for these Requirements

The Aquaculture Stewardship Council holds responsibility for this document.

Document ID: ASC-RUOC-002

Version No.	Release Date	Effective Date	Description of Amendment
1.0	14 Jul 2022	14 Jan 2023	N/A
1.0.1	14 Jul 2023	14 Oct 2023	Minor updates to requirements: 4.5.4.4, 7.2.2, 15.3, 16.1., B1.4, Annex B Table D Point 3 training, Updated requirement for Client to cooperate with CAB to agree CAB audit dates 10.1. & 10.1.1 Multi-site Certification: B1.4.3 Extension of period between certified sites receiving a CAB audit and inclusion in a valid Multi-site certificate, period has been extended from 6 months to 12 months.

Effective Date: Version 1.0.1 of this document is effective from 14 October 2023.

Copyright notice

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

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

Postal address:

Aquaculture Stewardship Council

Daalseplein 101,

3511 SX Utrecht

The Netherlands

Trade register number 34389683

3.1The UoC implements an ingredient in-coming and out-going accounting system

Link to Interpretation

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 Feed standard is released, it is most unlikely that there are sufficient volumes of sustainably certified raw materials to produce ASC certified feed. Until then and as the first step, feed mills can use one or both of the two ASC accepted models and ASC feed may come in two forms – according to the mass balance production model^[146] (containing both eligible^[147] and non-eligible ingredients^[148]) or according to the segregation production model^[149] (containing only eligible ingredients). However, feed mills are encouraged to source increasingly more eligible ingredients for ASC 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.

Scope Indicators 3.1.1 – 3.1.2 – Every UoC

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^[150], 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

Scope Indicators 3.1.3 and 3.1.4 – Only UoCs using the Segregation production model

3.1.3	The UoC shall have a documented traceability system in place 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.
3.1.4	The UoC shall have in place systems 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.

3.2The UoC determines eligible ingredients and calculates its mass-balance eligible volume

Link to Interpretation

Scope Indicator 3.2.1 – 3.2.4 – Only UoCs using the Mass balance production model

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
3.2.1	The UoC shall determine which ingredients are eligible ingredients, and calculate the mass balance eligible volume following the instructions in Annex 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 December^[151].
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 change^[152] 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 annually report the total volume of product sold under the mass balance production model by using the template provided on the ASC website.

Scope Indicator 3.2.5 – Only UoCs using the Segregation production model

Indicators
3.2.5	The UoC shall annually report the total volume of product sold under the segregation production model by using the template provided on the ASC website.

3.3The UoC labels products correctly

Link to Interpretation

Scope Indicator 3.3.1 – Only UoCs using the Mass balance production model

Rationale

To encourage uptake of the ASC Feed Standard, the UoC may only sell a portion of its output as ASC compliant feed. This initial version of the Standard permits manufacturers to choose between two 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 model used.

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

Indicators
3.3.1	The UoC shall identify product which is sold under the mass balance production model by using the allowable feed claim, including the model applied (i.e. mass balance). The ASC logo shall not be used.

Scope Indicator 3.3.2 – Only UoCs using the Segregation production model

Indicators
3.3.2	The UoC shall identify product 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 claim, including the model applied (i.e. segregation). The ASC trademarks can be used, subject to conditions.

3.4The UoC is transparent on product characteristics

Link to Interpretation

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:
3.4.1	The UoC shall disclose, with verifiable and supporting documentation upon request, the nitrogen (N) and phosphorus (P) content (in kilogram/tonne product or gram/kilogram product) of each feed product to all^[153] buyers of the product.
3.4.2	The UoC shall disclose the presence^[154] of Genetically Modified Organisms^[155] (GMO), or ingredients^[156] produced from GMO of each product to all^[157] buyers of the product.
3.4.3	The UoC shall disclose the active compound and inclusion levels (in mg or g/kilogram product) of added antibiotics or other added medicinal feed additives for each product to all^[158] buyers of the product.
3.4.4	The UoC shall disclose relevant information regarding the inclusion level of whole-fish marine ingredients of each feed product^[159] to ASC certified farms and farm applicants for ASC certification.

1.1The UoC is in possession of all necessary legal licenses and permits.

Link to Interpretation

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 illegal^[17] 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:
1.1.1	The UoC shall be in possession of all required legal licenses and permits.

1.2The UoC implements an effective management system to maintain compliance with the ASC requirements.

Link to Interpretation

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)-cycle^[18]^[19].

Indicators:
1.2.1	The UoC shall have a management system^[20] in place covering the entire UoC, signed off by responsible management, to ensure continuous implementation^[21] of all ASC requirements: ASC Feed Standard and ASC Requirements for the Unit of Certification (RUoC).
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^[22] have the required competencies to implement the ASC requirements. Link to Variance request VR0755_Feed _v.1.01_2.2.5
1.2.6	The UoC shall monitor compliance against the ASC requirements through, as a minimum, annually scheduled internal audits 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.

1.3The UoC complies with applicable labour laws and regulations.

Link to Interpretation

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:
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.

1.4The UoC does not engage in – nor support – forced, bonded, compulsory labour or human trafficking.

Link to Interpretation

Rationale

Within the United Nations (UN) Universal Declaration of Human Rights (UDHR) it is recognised that forced, bonded, compulsory labour^[23] and human trafficking^[24] is a persistent problem in many industries^[25] and regions of the world^[26]. The fishing and aquaculture industries are no exception to this^,^[27]^[28].

According to recent estimates^[29], 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:
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 penalty^[32]; work for which the person has not offered himself or herself voluntarily^[33]; 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 possession^[34] 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 recruitment^[35] or during employment. This includes any costs, or deposits, associated with the processing of official documents including work visas. For migrant workers^[36], 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.

1.5The UoC protects children and young workers.

Link to Interpretation

Rationale

Children^[37] and young workers^[38] 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 workers occurs globally and in many (if not all) industries^[39]. The aquaculture sector is, unfortunately, no exception to this^[40].

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 life^[41].

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 Child^[42].

Indicators:
1.5.1	The UoC shall not (be) engage(d) in child labour^[43]. This includes work that: is mentally, physically, socially or morally dangerous and harmful to children^[44]; or interferes with their schooling^[45]
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 UoC may^[46] employ children as of the age of 15^[47], or above the age of completion of mandatory schooling^[48] (whichever is higher), to conduct non-hazardous work^[49]^[50].
1.5.5	The UoC may employ children as of the age of 13^[51]^[52] to conduct light work^[53] if: The child received appropriate training prior to work; The child receives appropriate supervision.
1.5.6	The UoC shall ensure that any children^[54], including young employees^[55], 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, Annex 7).
1.5.7	The UoC shall encourage, and shall not prevent, children of employees living on-site to attend mandatory schooling.

Footnotes

37. Child: see Definition List.

38. Young worker: see Definition List.

39. https://www.ilo.org/ipec/areas/Agriculture/WCMS_172348/lang–en/index.htm

40. ILO. 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

41. https://www.ilo.org/ipec/facts/lang–en/index.htm

42. https://www.ohchr.org/Documents/ProfessionalInterest/crc.pdf

43. Child labour: see Definition List.

44. Mentally 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.

45. As 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.

46. May: see definition for “requirement”

47. ILO 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.

48. National 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 requirements not likely to be harmful to their health or development; and not 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.

49. Hazardous work: see Definition List.

50. See Tables 4 and 5 in Annex 7.

51. ILO Convention 138 allows for 12 years as exception in certain developing countries. ASC follows ILOConvention 138 and equally allows employment from 12 years in these countries.

52. This indicator and the scope of the Standard does not apply 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,

53. Light work: see Definition List

54. Child: see Definition List.

55. Young employee: see Definition List

1.6The UoC does not discriminate against its employees.

Link to Interpretation

Rationale

Discrimination^[56] 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 instability^[57].

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:
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, Annex 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 communication^[58], procedures, and monitoring in place to ensure harassment^[59], abusive or exploitative behaviour does not occur in the workplace.

1.7The UoC provides a safe and healthy work environment.

Link to Interpretation

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 estimates^[60] 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.

Health and safety within the global aquaculture industry, including processing, is still widely overlooked, according to the UN Food and Agriculture Organization (FAO)^[61]. The world’s estimated 19 million aquaculture workers regularly contend with hazardous^[62] 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:
1.7.1	The UoC shall maintain a health & safety risk assessment^[63].
1.7.2	The UoC shall include at least the following risk factors (step 2 Figure 4, Annex 7) in the health and safety risk assessment (see 1.7.1): Risk of physical injuries, acute or chronic, in the workplace^[64] Risk of mental injuries, acute or chronic, in the working environment^[65]
1.7.3	The UoC shall implement appropriate measures (step 4 Figure 4, Annex 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 training^[66] 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^[67] 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.
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^[68], physical or verbal abuse, or any other form of harassment^[69].
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.

1.8The UoC respects the right to associate and the right for collective bargaining

Link to Interpretation

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^[70] 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:
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, functioning^[71]^[72] 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.

1.9The UoC contracts employees in a transparent manner

Link to Interpretation

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:
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^[73], sub-contracting, family contracting^[74], home-working, false-apprenticeships^[75], exclusive use of fixed-term contracts – to avoid any social or labour rights towards their employees.

1.10The UoC pays employees at or above the legal minimum wage

Link to Interpretation

Rationale

Within the Universal Declaration of Human Rights^[76], 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).

Indicators:
1.10.1	The UoC shall set wages (before overtime and bonuses) at or above the legal minimum wage^[77]; if a minimum wage has not been established by law, the UOC calculates basic needs^[78] wages, in consultation with workers or their representative worker organisations.
1.10.2	The UoC shall pay wages in legal tender^[79] 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 183^[80], whichever is greater.

Note: Given the complexities related to determining an applicable Living Wage^[81], 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.

1.11The UoC prevents excessive working hours

Link to Interpretation

Rationale

Despite the regulation of working time being one of the oldest concerns of labour legislation^[82], 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^[83] aged 18, or higher:

Indicators:
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)^[84]^[85]. Link to Variance request VR0784_Feed _v.1.01_1.11.1
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^[86] 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 leave^[87].
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.

For young employees:^[88]

Indicators:
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 day^[89] and 40 hours in a week (excluding breaks)^[90].
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 leave^[91].
1.11.18	The UoC shall not allow young employees, to work between 10pm and 6am.

For children^[92] conducting light work not yet classified as young employee:

Indicators:
1.11.19	The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on working hours, but shall not exceed 3 hours per day^[93] and 14 hours in a week (excluding breaks)^[94].
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	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.
1.11.25	The UoC shall comply with collective bargaining agreements (if applicable) and industry standards on annual leave^[95].
1.11.26	The UoC shall not allow children, not yet classified as young employee, to work between 8pm and 6am.

1.12The UoC has disciplinary practices that respect the dignity and health of the employee

Link to Interpretation

Rationale

Disciplinary practices^[96] 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:
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.

1.13The UoC provides effective worker grievance mechanisms

Link to Interpretation

Rationale

Grievances^[97] and conflicts are an inevitable part of employment relationships. Worker grievance mechanisms^[98] 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^[99]. 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:
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.

1.14The UoC provides safe, decent and hygienic worker accommodation

Link to Interpretation

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:
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^[100], 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.

1.15The UoC contributes to maintaining or enhancing the social and economic well-being of local communities

Link to Interpretation

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:
1.15.1	The UoC shall proactively^[101] engage with the local community to periodically identify, avoid or mitigate significant negative social impacts^[102] 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 possible^[103], source goods and services, including employment, from the local communities.

1.16The UoC respects Indigenous and tribal people’s rights, cultures and traditional territories

Link to Interpretation

Rationale

Many of the world’s resources are located on land owned or controlled by Indigenous and tribal peoples^[104]. The UN estimates that there are over 370 million Indigenous and tribal peoples living in over 90 countries^[105]. 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 poor^[106]. In many areas, their average life expectancy is shorter than non-Indigenous people^[107]. Facing these realities, Indigenous and tribal peoples are often particularly vulnerable to the negative impacts of commercial development and business activities^[108].

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)

Indicators:
1.16.1	The UoC shall proactively engage^[109] with the Indigenous and tribal peoples to identify, avoid and mitigate significant social impacts 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^[111].
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 possible^[112], source goods and services, including employment, from local Indigenous and tribal peoples.

Note: ASC intents to implement Free, Prior and Informed Consent^[113] (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.

1.17The UoC is in compliance with applicable environmental laws and regulations

Link to Interpretation

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

1.18The UoC uses water responsibly

Link to Interpretation

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:
1.18.1	The UoC shall identify all sources of water used, e.g., municipal water supplies, surface water sources, ground water sources, seawater, produced water^[114], separated into “freshwater” and “other water”^[115].
1.18.2	The UoC shall calculate, record and, using the template provided on the ASC website, annually report to ASC its water consumption per water source in megalitres/t (total) product produced/year (using the methodology as outlined in Annex 2, section A1).
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)^[116] 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	Using the template provided on the ASC website, the UoC shall annually report to ASC whether the UoC is operating in a region of “high” or “extremely high” water stress, according to the Aqueduct Water Risk Atlas https://www.wri.org/aqueduct
1.18.6	In areas of “high” and “extremely high” water stress according to the Aqueduct Water Risk Atlas https://www.wri.org/aqueduct, the UoC shall annually perform a risk assessment^[117] 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.

1.19The UoC handles waste responsibly.

Link to Interpretation

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:
1.19.1	The UoC shall identify all types of waste^[118] generated, separated into hazardous and non-hazardous waste, and method of disposal, as well as what level of recovery is carried out on-site.
1.19.2	The UoC shall calculate, record and, using the template provided on the ASC website, annually report to ASC its waste in tonne (t) per year per method of disposal (using the methodology as outlined in Annex 2, section A4).
1.19.3	The UoC shall develop and implement a documented Waste Management Plan (WMP)^[119] 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^[120] 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.

1.20The UoC handles effluent responsibly

Link to Interpretation

Rationale

Effluents^[121] 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:
1.20.1	The UoC shall identify all effluents (including from production, site runoff, offices and any on-site accommodation) and destination of the discharge (e.g. to surface water, groundwater, seawater, municipal treatment facilities, separated into discharge by “freshwater” and “other water”), and what level of treatment is carried out on-site.
1.20.2	The UoC shall calculate and, using the template provided on the ASC website, annually report to ASC its effluent discharge in megalitres (ML) per year per destination (using the methodology as outlined in Annex 2, section A2); the recording shall include all incidences of spills or accidental discharges
1.20.3	The UoC shall develop and implement an Effluent Management Plan (EMP)^[122] 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.

1.21The UoC uses energy responsibly and monitors Greenhouse Gases (GHG) emissions

Link to Interpretation

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:
1.21.1	The UoC shall identify all energy sources (e.g. diesel, petrol, natural gas, electricity, and other sources; specifying electricity from the national/regional grid and electricity coming from other renewable and non-renewable sources).
1.21.2	The UoC shall calculate, record and, using the template provided on the ASC website, annually report to ASC its energy consumption in megajoules (MJ) per tonne of (total) product produced in the assessed year (using the methodology as outlined in Annex 2, section A3).
1.21.3	The UoC shall develop and implement an Energy Efficiency Management Plan (EEMP)^[123] with the intent to improve energy efficiency and to increase the proportion of energy coming from renewable energy sources^[124]. 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, record and, using the template provided on the ASC website, report (publicly^[125]and to ASC) its Greenhouse Gas (GHG) emissions in kg CO₂ equivalents per tonne of (total) product produced/year (using the methodology as outlined in Annex 2, section B).