Sheet 1: Instructions

 


Sheet 2: ASC CAR V2.2

	
	
	

		
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Part A – General Requirements
	
	

		
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1.   Scope
	
	

		
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Part A of the ASC’s Certification and Accreditation Requirements sets out the activities that all CABs shall undertake in carrying out certification audits of operations that wish to make a claim that the product(s) they are selling are certified to the ASC’s Standards, and/or to use the ASC logo to promote a product.
	
	

		
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Normative References
	
	

		
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The documents listed below are part of the ASC Certification Requirements. 
	
	

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

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

		
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a)   Endorsed ASC Standards: See www.asc-aqua.org
	
	

		
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b)   ISO 17065 Conformity Assessment – Requirements for bodies certifying products, processes and services;
	
	

		
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c)    ISO 19011 Guidelines for auditing management systems;
	
	

		
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3.                        Terms and Definitions
	
	

		
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3.1                    All definitions are in Annex A.
	
	

		
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4.                        General Requirements
	
	

		
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4.1                    Requirement of accreditation
	
	

		
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4.1.1                A CAB shall have had its application to the ASC appointed accreditation body for accreditation to the scope of the certification it wishes to provide, accepted before starting to sell certification services.
	
	

		
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4.1.2                A CAB shall only award certificates once it is accredited and only within the scope of its accreditation.
	
	

		
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4.1.3                A CAB shall recognise that certificate holders that have been certified by other accredited CABs conform to relevant ASC standards.
	
	

		
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4.1.4                A CAB shall authorize the ASC appointed accreditation body to publish the CAB’s company name, full address and contact persons’ details.
	
	

		
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4.1.5                A CAB shall authorize the ASC appointed accreditation body to publish, including on its website, witness assessment reports, surveillance reports, and final assessment reports.
	
	

		
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4.2                    Conformity to ISO 17065 and the ASC requirements
	
	

		
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4.2.1                All CABs shall conform to the requirements of ISO 17065 and all other ASC requirements relevant to the scope of accreditation applied for or held. 
	
	

		
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4.2.2                CABs shall conform to the ASC requirements in the case of a conflict with ISO 17065. 
	
	

		
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4.3                    Normative annexes
	
	

		
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4.3.1               CABs shall follow in full all normative annexes to the ASC Certification Requirements if they are used.
	
	

		
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4.4                     ISO 19011
	
	

		
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4.5                    Compliance with legal requirements
	
	

		
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4.5.1                CABs shall comply with the legal requirements in the countries in which they operate.
	
	

		
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4.5.2                Key personnel shall show understanding of applicable legislation and regulations.
	
	

		
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4.6                    Certification Decision-Making Entity
	
	

		
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4.6.1                The CAB’s decision-making entity shall authorise any changes to the terms of certification.
	
	

		
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4.7                    Communication with the ASC
	
	

		
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4.7.1                CABs shall follow the communication requirements in Annex D.
	
	

		
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4.8                    The ASC CAB calibration workshops
	
	

		
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4.8.1               CABs shall participate in calibration workshops organised by the ASC and annual CAB calibration sessions.
	
	

		
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4.9                    Contract
	
	

		
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4.9.1                The CAB shall have a written contract with the farm, company or other entity seeking certification.
	
	

		
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4.9.2                Prior to signing a contract, the CAB shall verify:
	
	

		
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4.9.2.1            That the applicant is not already certified.
	
	

		
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a)     If the applicant is currently certified the CAB shall follow the certificate transfer requirements in Section 4.11 below.
	
	

		
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4.9.2.2            That the applicant has not had an ASC certificate withdrawn or has failed an ASC certification audit within the previous twelve (12) months.
	
	

		
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4.9.3                The contract shall be signed prior to the commencement of the audit.
	
	

		
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4.9.4                The contract shall specify:
	
	

		
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4.9.4.1            The deliverables that the CAB will produce.
	
	

		
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4.9.4.2            The certification timeline, including reporting timeline as specified in the Annex C, that the CAB will meet.
	
	

		
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4.9.4.3            That ASC retains the right to change the ASC standards and certification requirements and that certification is conditional on conforming to new or revised standards and new or revised certification requirements within the timeframes established by the ASC.
	
	

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

		
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a)     This shall include confidential information.
	
	

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

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

		
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4.9.4.7            That the CAB be informed of any previous ASC audits conducted within the previous 12 months.
	
	

		
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a)     The CAB shall be provided with audit reports.
	
	

		
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4.9.4.8            The complaint procedures of the CAB by including a copy or by reference to  available documents.
	
	

		
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4.9.4.9            An explanation of when and how the ASC appointed accreditation body and the ASC may be engaged in case the complaint process escalates beyond the CAB authority 
	
	

		
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4.9.4.10        That the applicant has the right to raise their concerns or object to any of the proposed audit team members.
	
	

		
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4.9.4.11        The applicant’s responsibility to make known to the public of any upcoming ASC audit at their premises (e.g. initial, surveillance, extension or recertification) to allow for interested parties and stakeholders to provide their input to and comment during the audit process.
	
	

		
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4.9.4.12        That the client has the responsibility to inform the CAB if any changes are made in the operation that may require oversight from the CAB. This can include but is not limited to:
	
	

		
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a)     Changes in species farmed.
	
	

		
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b)     Changes in the number of sites.
	
	

		
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c)     Administration of medication to some or all sites.
	
	

		
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d)     Changes that may impact the start of the chain of custody.
	
	

		
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4.10                 Use of the ASC and CAB trademarks
	
	

		
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4.10.1             All uses of the ASC trademark(s) by a CAB shall be subject to an ASC logo licence agreement.
	
	

		
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4.10.2             The CAB shall have documented procedures for the issue and use of any logo or trademark of the CAB (ISO 17065 4.1.3.1) for the ASC program, including procedures for pre-publication review and authorisation by the CAB of all uses of the CAB's logo by ASC certificate holders.
	
	

		
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4.11                 Transfer of Certificates
	
	

		
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4.11.1             A decision to transfer a certificate shall be voluntary by the certificate holder.
	
	

		
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4.11.2             Issuing of a certificate to a former certificate holder after expiry or termination of the certificate 
	
	

		
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4.11.2.1        An ASC-accredited CAB may issue an ASC certificate to a new client at any time after the expiry or termination of the client’s existing certificate with another CAB, based on a full assessment according to ASC certification requirements. 
	
	

		
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4.11.2.2        If the audit for this client is conducted within a period of twelve (12) months from the expiry or termination of the former certificate, the succeeding CAB shall consider any major or minor non-conformity(s) which have not been closed at the time of expiry / termination. 
	
	

		
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a)     The CAB that issued the existing certificate shall send these non-conformities to the succeeding CAB within ten (10) days of the transfer upon request made using FORM 2. 
	
	

		
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4.11.3             Principles for a transfer of certificates 
	
	

		
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4.11.3.1        ASC certificates shall only be transferred once within the period of validity of a certificate. 
	
	

		
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a)     If a certificate holder wishes to change CAB more than once within the period of validity, the second and all other succeeding CABs shall conduct full ASC audits. 
	
	

		
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4.11.3.2        ASC certificates shall not be transferred in any of the following situations: 
	
	

		
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a)     The certificate is suspended.
	
	

		
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b)     Major non-conformities have not been closed.
	
	

		
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i.     All major non-conformities shall be closed to the satisfaction of the preceding CAB before the certificate may be transferred.
	
	

		
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c)     The parties involved in the transfer cannot agree on the transfer date.
	
	

		
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d)     Relevant documentation about the certificate holder (all records, including reports and history of non-conformities) is not being made available to the succeeding CAB by the preceding CAB. 
	
	

		
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i.     In cases where the succeeding CAB is able to receive all relevant documentation from the certificate holder directly, a transfer of documentation according to 4.11.3.2 d) is not required.  
	
	

		
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4.11.4             Certificate Transfer procedure 
	
	

		
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4.11.4.1        Once the holder of an active valid certificate has informed the current CAB that they are applying for a certificate transfer with another CAB; the transfer of the certificate shall be conducted as follows: 
	
	

		
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a)     The expiry date of the succeeding certificate shall be the same as the expiry date of the preceding certificate.
	
	

		
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b)     The scope of the succeeding certificate shall be the same as the scope of the preceding certificate. If the certificate holder is requesting a change in scope, the succeeding CAB shall evaluate this request in line with relevant ASC requirements.
	
	

		
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c)     All minor non-conformities and associated actions together with timelines that are applicable to the preceding certificate shall remain applicable to the succeeding certificate.
	
	

		
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d)     The results of any accreditation body assessment regarding the compliance of the certificate holder to certification requirements shall be applicable to the succeeding CAB.
	
	

		
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e)     The succeeding CAB shall propose a transfer date to the preceding CAB and the certificate holder on which all rights and obligations for maintaining the certificate shall be passed from the preceding to the succeeding CAB. 
	
	

		
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i.     Both CABs shall keep a record of the agreed date.
	
	

		
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f)      The succeeding CAB shall carry out an on-site transfer audit within three (3) months of the agreed transfer date according to the requirements for a surveillance evaluation. 
	
	

		
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i.     This audit shall include a review of all pending minor non-conformities which were issued by the preceding CAB. 
	
	

		
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ii.   If the audit is conducted in a way that satisfies all the formal requirements for a main evaluation, a new certificate may be issued.
	
	

		
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g)     The preceding and succeeding CABs shall update the ASC database according to the instructions issued by the ASC.
	
	

		
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4.11.5             Certificate Transfer when the issuing CAB is losing or terminating its accreditation
	
	

		
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4.11.5.1        The procedure in 4.11.4 above shall be followed with the following changes:
	
	

		
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a)     Suspended certificates may be transferred.
	
	

		
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b)     Certificates with open major non-conformities may be transferred, and non-conformities shall be closed in accordance with requirements as set out in this document.
	
	

		
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c)     Section 4.11.4 f shall be conducted as a desk audit unless it is determined by the succeeding CAB that results will not deliver the required level of confidence for the succeeding CAB to issue their certificate.
	
	

		
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d)     Section 4.11.4.f.i shall include major non-conformities.
	
	

		
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e)     Section 4.11.4 f ii shall not apply unless an on-site audit is conducted.
	
	

		
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5.                        Structural Requirements
	
	

		
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5.1                    Mechanism for safeguarding impartiality 
	
	

		
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5.1.1                The CAB shall have a documented impartiality structure which safeguards impartiality within the CAB and its operations.
	
	

		
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5.1.2                The structure shall be described in the documents that establish the CABs legal status or by some other means that prevents change which could compromise the function of the structure to safeguard impartiality.
	
	

		
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5.1.3                This may be through vesting authority to the impartiality structure for approval of policies and some significant procedures such as the rules of procedure for the operation of the impartiality structure itself.
	
	

		
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5.1.4                The impartiality structure may be an impartiality committee or equivalent structure.
	
	

		
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5.1.5                The structure may be independent of management or combined with management function. 
	
	

		
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5.1.6                The CAB shall be responsible for: 
	
	

		
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5.1.6.1           The adequacy of the process for identifying and involving the relevant interested parties and 
	
	

		
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5.1.6.2            The impartiality structure itself to demonstrate the adequacy of their participation.
	
	

		
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5.1.6.3           Providing all the information required for the impartiality structure to perform their job, including, but not limited to, the reasons for:
	
	

		
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a)     all significant decisions and actions, and
	
	

		
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b)     the selection of persons responsible for particular activities in respect to certification.
	
	

		
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5.1.7                The impartiality structure shall involve all parties concerned with the development of principles and policies for the functioning of the CABs certification system.
	
	

		
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5.1.7.1            This shall include interested and affected parties throughout the supply chain.
	
	

		
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a)     These may include, but not limited to, the CAB itself, regulatory authorities, NGOs, consultants, academics, primary producers, processors, wholesalers, retailers, food service providers, restaurants and consumers.
	
	

		
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5.1.7.2            This should be a high-level group with the responsibility for ensuring impartiality and not predominantly a technical or sector-based group.
	
	

		
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5.1.7.3            The membership shall not be selected to reflect the technical expertise of the CAB.
	
	

		
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a)     When necessary it can be supported by technical experts as required.
	
	

		
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b)     No single interest shall predominate.
	
	

		
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5.1.8                Documentation for the mechanism for safeguarding impartiality shall include:
	
	

		
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5.1.8.1            Rules of procedure that establish the duties and rights of members (e.g. rule for attendance, quorum and voting)
	
	

		
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a)     Members shall sign declarations of confidentiality.
	
	

		
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b)     Members shall sign annual declarations of the absence of conflicts of interest.
	
	

		
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5.1.8.2            The principle that impartiality shall be established at three levels within the CAB:
	
	

		
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a)     Strategies and policies;
	
	

		
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b)     Decisions on certification; and
	
	

		
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c)     Auditing.
	
	

		
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5.1.9                The impartiality structure shall conduct annual reviews that include:
	
	

		
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5.1.9.1            The current and intended activities of the CAB;
	
	

		
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5.1.9.2            The competence of key personnel; and,
	
	

		
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5.1.9.3            The potential risks associated to the CAB’s operation.
	
	

		
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5.1.10             The function of the structure shall ensure that:
	
	

		
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5.1.10.1        Commercial and other considerations do not prevent the objective provision of certification services.
	
	

		
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5.1.10.2        The period of time specified by the CAB for which personnel shall not be used to review or make a certification decision for a product for which they have provided consultancy time shall be no less than 2 years.
	
	

		
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5.1.10.3        No audit or certification services shall be provided to clients if any of the products or services provided by the CAB, related bodies or the CAB’s personnel are still in use by the client.
	
	

		
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5.2                    Confidentiality
	
	

		
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5.2.1               The CAB shall document arrangements to safeguard confidentiality (ISO 17065 4.5).
	
	

		
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6.                        Resource Requirements
	
	

		
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6.1                    CAB Personnel
	
	

		
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6.1.1                All personnel involved in delivering conformity assessment services shall be knowledgeable about the aims and objectives of the ASC.
	
	

		
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6.1.1.1            This shall include knowledge of international agreements, conventions and treaties relevant to the assessment of applicants for ASC certification as appropriate to the role and responsibilities of each individual.
	
	

		
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6.1.2                All auditors and technical experts including subcontracted staff and the staff of subcontracted companies, the CAB shall:
	
	

		
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6.1.2.1            Register all auditors working with the ASC scheme with the ASC and the appointed accreditation body.
	
	

		
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6.1.2.2            Ensure that all CAB personnel shall not participate in ASC conformity assessment services until they have the required experience, completed the required training and demonstrated the required competencies for their role as described in Annex B.
	
	

		
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6.1.2.3            Pay the relevant training fee. 
	
	

		
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6.1.3                Maintenance of Competency 
	
	

		
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6.1.3.1            The CAB shall have a written procedure to confirm annually that every auditor and all CAB personnel involved with conformity assessment services are qualified and competent as described in Annex B and registered with the ASC as required.
	
	

		
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a)     This procedure shall include: 
	
	

		
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i.    Regular performance evaluation of CAB personnel involved in the ASC conformity assessment activities
	
	

		
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ii.  Regular calibration sessions to ensure consistent practice among auditors and other CAB personnel.
	
	

		
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b)     The CAB shall keep records of all training and calibration sessions including a record of the individuals that participated.
	
	

		
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7.                        Process Requirements
	
	

		
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7.1                    Information for Applicants
	
	

		
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7.1.1                The CAB shall send the following to applicants:
	
	

		
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7.1.1.1            The current versions of all ASC standards and other requirements relevant to the scope of certification sought.
	
	

		
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a)     That shall include
	
	

		
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i.     A list of all those elements specified in the applicable standard(s) requiring records to be kept by the client and the length of time to be covered by those records; and
	
	

		
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ii.   All other prerequisites for certification
	
	

		
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b)     The CAB shall maintain a record identifying the document(s), including the version(s), sent to each applicant and certificate holder.
	
	

		
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7.1.1.2            The CAB shall send the following to applicants in a language appropriate to the applicant:
	
	

		
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a)     A copy of the CAB’s standard assessment and certification contract.
	
	

		
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b)     Information about the use of the ASC logo, including:
	
	

		
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i.     The website where the rules for the ASC logo may be found.
	
	

		
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ii.   An explanation that an ASC logo licence agreement will be required to be entered into with the ASC prior to the use of the logo.
	
	

		
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c)     Information about the ASC’s right to change the ASC standards and certification requirements and that certification is conditional on conforming to new or revised standards and new or revised certification requirements within the timeframes established by the ASC. 
	
	

		
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d)     A brief explanation of the responsibility of the auditor, how audits are conducted, how often and the rules that govern the CAB.
	
	

		
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e)     A copy of the CAB complaints procedure that includes information on when and how the ASC appointed accreditation body and the ASC may be engaged and reference to their dispute and complaints mechanism.
	
	

		
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7.1.1.3            In cases where documents are translated for the convenience of the client, any differences between original documents and translated versions the original version will prevail.
	
	

		
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7.2                    Audit Planning
	
	

		
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7.2.1  CAB shall ensure that before the end of the audit planning phase the applicant receives the following written information:
	
	

		
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7.2.1.1 Expected scope of audit
	
	

		
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7.2.1.2 Whether or not the expected scope of the audit will require the applicant to obtain a chain of custody certificate in addition to a primary production certificate.
	
	

		
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7.2.1.3 Draft work schedule
	
	

		
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7.2.1.4 Names and affiliations of proposed team members
	
	

		
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7.2.1.5 Sufficient information about the audit process so that the applicant can make proper preparations for the audit. This shall include: 
	
	

		
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a)    A summary list of the objective evidence, including actual performance data that may be required by the team 
	
	

		
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b)    An explanation of the requirement(s) for and process of stakeholder consultation. 
	
	

		
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7.2.2 The CAB shall have a documented procedure for dealing with an applicant’s concern about a member of the team proposed to carry out the audit; this procedure shall include the following elements:
	
	

		
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7.2.2.1 Consider the merits of each concern raised by an applicant
	
	

		
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7.2.2.2 Take appropriate action(s), which may include leaving the team unchanged if warranted
	
	

		
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7.2.3 Maintain records of the justification for its action(s).
	
	

		
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7.3                    Decision on Certification
	
	

		
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7.3.1 A certificate shall only be issued after a positive certification decision has been taken by the CAB’s certification decision-making entity.
	
	

		
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7.3.2 The CAB shall not issue or re-issue a certificate if there are outstanding major non-conformities.
	
	

		
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7.3.3 Audit evidence shall be no more than six (6) months old.
	
	

		
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7.3.4 The final audit report shall indicate if any or all of the client’s operation has been re-audited.
	
	

		
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7.3.5 The CAB shall retain the right to delay or postpone its decision on certification in order to take proper account of new or additional information, which has become available to the CAB and which has not already been considered in its evaluation report and which, in the opinion of the CAB, could affect the outcome of its evaluation. 
	
	

		
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7.3.5.1 Additional information includes but not limited to inputs provided by stakeholders and interested parties.
	
	

		
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7.3.5.2 Any delays in the proposed timeline for the decision on certification due to the consideration of new or additional information shall be explained in the final report.
	
	

		
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7.3.5.3 Delays of more than seven (7) days shall be publicly communicated no later than the planned date of determination.
	
	

		
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7.3.6 The CAB shall register a certificate in the ASC database before it is issued or re-issued.
	
	

		
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7.3.6.1 Registration shall include the entry of all specified data.
	
	

		
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7.3.6.2 In the case of a malfunction of the on-line registration service, the ASC shall be informed that a certificate has been issued or re-issued within ten (10) days of its issue or re-issue.
	
	

		
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7.3.6.3 Certificates, which are not registered with the ASC, shall not be valid.
	
	

		
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7.4 Certification Information on the ASC database 
	
	

		
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7.4.1 CABs shall be responsible for keeping their data entries on the ASC database up to date.
	
	

		
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7.4.2                 Until the ASC database is live, CABs shall submit all required information in pdf format until otherwise instructed. 
	
	

		
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7.5 Changes in Scope 
	
	

		
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7.5.1 On-site audits shall be conducted for any major changes in scope that include:
	
	

		
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7.5.1.1 Addition of a new standard
	
	

		
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a)      A single certificate may only include one (species) standard 
	
	

		
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b)      Audits may be combined to cover more than one species standard.  
	
	

		
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7.5.1.2 Change to impacts on receiving water bodies including the addition of new receiving water bodies.
	
	

		
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7.5.1.3 Any other change to the certified operation determined by the CAB as requiring an onsite audit.
	
	

		
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7.5.2 The CAB shall be responsible for determining whether or not a proposed change in scope requires an on-site audit.
	
	

		
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7.5.3 All on-site audits for changes of scope shall conform to Part B of this document.
	
	

		
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7.5.4                 If no on-site audit is required, the updated certificate shall be accompanied with an annex explaining the scope changes and justification for not conducting an on-site audit. 
	
	

		
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7.5.5 The CAB shall register any changes in scope to an existing certificate in the ASC database before the change in scope is issued.
	
	

		
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7.6                     Suspension, Cancelation or Withdrawal of Certification
	
	

		
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7.6.1 A CAB may suspend or withdraw a certificate for a contractual or administrative reason.
	
	

		
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7.6.2 The CAB shall inform the ASC of any suspensions or withdrawals of certificates within five (5) days of the decision using FORM 5. 
	
	

		
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7.6.3 Suspended/ withdrawn cancelled certificates and related information will be updated on the ASC website.
	
	

		
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7.6.4 The date of the suspension or withdrawal shall be the date the decision was taken by the CAB, whereas the date of cancellation shall be the date that the certificate holder informs the CAB and/or the ASC of its decision on cancellation.
	
	

		
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7.6.4.1            If a certificate is suspended or withdrawn or cancelled, the CAB shall immediately instruct the certificate holder:
	
	

		
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a)    Not to sell any product harvested from the date of suspension or withdrawal or cancelled as ASC certified or with the ASC logo
	
	

		
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b)    To advise existing or potential customers in writing of the suspension/ withdrawal/ cancellation within four (4) calendar days of the suspension or withdrawal or cancellation date
	
	

		
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7.7                     Complaints and Appeals
	
	

		
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7.7.1 The CAB shall have a documented procedure for handling complaints and appeals that includes:
	
	

		
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7.7.1.1 A requirement that all formal and informal complaints, appeals, concerns or objections related to the activities of the CAB, a certificate holder or a certification applicant be kept on file and logged (ISO 17065 section 7.13.1).
	
	

		
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7.7.1.2 A description of involvement of the ASC appointed accreditation body and the ASC in case of appeals.
	
	

		
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7.7.1.3 Reference to the ASC appointed accreditation body’s dispute mechanism, including incidents, complaints and appeals handling processes.
	
	

		
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7.7.1.4 CABs shall report all logged issues using FORM 4 submitted annually no less than thirty (30) days prior to the annual surveillance by the ASC appointed accreditation body’s visit with copies sent to the ASC and the ASC appointed accreditation body.
	
	

		
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7.7.1.5 In case of suspension or withdrawal of the ASC accreditation of the CAB, all logged issues shall be sent to the ASC appointed accreditation body and ASC as part of the suspension or withdrawal process using FORM 4 no later than the final date of accreditation.
	
	

		
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7.7.1.6 Determining whether the complaint or appeal relates to certification activities for which the CAB is responsible.
	
	

		
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7.7.1.7 The appointment of an independent member of the CAB management who shall:
	
	

		
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a)    Report to top management 
	
	

		
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b)    Be responsible for ensuring that procedures (ISO 17065 7.13) are followed. 
	
	

		
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7.7.1.8  A procedure for reviewing all complaints and forwarding them to the responsible body as appropriate. 
	
	

		
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7.7.1.9  Encouragement for the complainants to submit copies of their complaints to directly to the ASC at:
	
	

		
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a)     Email: disputes@asc-aqua.org 
	
	

		
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b)     Mailing Address:
	
	

		
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P.O. Box 19107
	
	

		
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3501 DC Utrecht
	
	

		
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The Netherlands
	
	

		
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c)     Office Address:
	
	

		
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HNK Utrecht Centraal, Arthur van Schendelstraat 650
	
	

		
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3511 MJ  Utrecht
	
	

		
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The Netherlands
	
	

		
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8        Management System Requirements for CABs
	
	

		
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8.1                     Internal Audits
	
	

		
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8.1.1     Internal audits shall be performed at least once every twelve (12) months or completed within a twelve (12) month time frame for segmented (or rolling) internal audits.
	
	

		
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8.1.2     Internal audits shall cover all ASC requirements in a planned and systemic manner.
	
	

		
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9 Heading not used at this time
	
	

		
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10 Heading not used at this time
	
	

		
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Part B – Operational Certification Requirements
	
	

		
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11 Scope
	
	

		
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11.1                  Part B of the ASC Certification and Accreditation Requirements is for CAB use when auditing operations against ASC Standards.
	
	

		
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12.                    Normative References
	
	

		
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12.1                 The normative documents in Section 2 also apply to Part B
	
	

		
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13.                    Terms and Definitions
	
	

		
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13.1                 No additional requirements
	
	

		
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14.                    General Requirements
	
	

		
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17.18                  
	
	

		
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14.1                 No additional requirements
	
	

		
255
		
15.                    Structural Requirements
	
	

		
256
		
15.1                 No additional requirements
	
	

		
257
		
16.                    Resource Requirements
	
	

		
258
		
16.1                 Audit teams
	
	

		
259
		
16.1.1             Audit teams shall include an ASC lead auditor.
	
	

		
260
		
16.1.2             Audit teams shall include member(s) that have the following experience, expertise:
	
	

		
261
		
16.1.2.1        Relevant knowledge of national and local laws that apply to the organisation being audited that includes but is not limited to:
	
	

		
262
		
a)  Environmental laws;
	
	

		
263
		
b)  Workplace safety laws;
	
	

		
264
		
c)   Labour laws;
	
	

		
265
		
d)   Health and safety laws;
	
	

		
266
		
e)  Laws governing ownership and use of land and water;
	
	

		
267
		
f)    Licenses and permits;
	
	

		
268
		
16.1.2.2        Environmental science and technology, environmental management methods and aspects of operations that includes but is not limited to:
	
	

		
269
		
a)      Knowledge and experience in the species or other subject of the standard being audited;
	
	

		
270
		
b)      Environmental issues in the area of the operation;
	
	

		
271
		
c)      The management of natural resources;
	
	

		
272
		
d)            Environmental protection;
	
	

		
273
		
e)            Environmental monitoring tools and technologies;
	
	

		
274
		
f)               The interaction of the activities, products, services, and operations with the environment;
	
	

		
275
		
g)            Sector specific terminology;
	
	

		
276
		
h)            Environmental aspects and impacts;
	
	

		
277
		
i)               Methods for evaluating the significance of environmental aspects;
	
	

		
278
		
j)               Critical aspects of operational processes, products and services;
	
	

		
279
		
k)             Monitoring and measurement techniques;
	
	

		
280
		
l)        Technologies and methods for the prevention of pollution;
	
	

		
281
		
m)    Social aspects of applicant operations and their surrounding communities.
	
	

		
282
		
16.1.2.3          Translators
	
	

		
283
		
a)     When translation services are needed to conduct the audit, the CAB shall retain translators that are independent of the client and skilled in translation from the national or local language into the operating language of the audit team. 
	
	

		
284
		
17.                    Process Requirements
	
	

		
285
		
17.1                 Unit of Certification (UoC)
	
	

		
286
		
17.1.1             The UoC shall be limited to a single ASC (species) standard.
	
	

		
287
		
17.1.1.1        A client may hold multiple certificates, each for a different ASC species standard.
	
	

		
288
		
a)     No farm or site may have more than one valid certificate at the same time for the same ASC standard.
	
	

		
289
		
17.1.1.2        The CAB may combine audits for more than one ASC species standard.
	
	

		
290
		
a)        The CAB may combine initial certification audit(s) with surveillance or re-certification audits(s).
	
	

		
291
		
17.1.2             Organisations seeking certification shall have been in operation for no less than eighteen months (18) or one harvest cycle as defined in the standard(s), whichever is less.
	
	

		
292
		
17.1.2.1        All clients seeking certification shall have available records of performance data covering the periods of time specified in the standard(s) against which the audit(s) is to be conducted.
	
	

		
293
		
17.1.3             The CAB shall determine the unit of certification as either:
	
	

		
294
		
17.1.3.1        A single site operation that has all of the following elements:
	
	

		
295
		
a)     The applicant is capable of signing a binding contract that is legally enforceable;
	
	

		
296
		
b)     A single site may include multiple pens, cages, ponds, raceway systems or beds.
	
	

		
297
		
17.1.3.2        A multi-site client shall have all of the following elements:
	
	

		
298
		
a)     The applicant is a legal entity.
	
	

		
299
		
b)     The applicant has a central office that:
	
	

		
300
		
i.     Is designated as the central office by the client;
	
	

		
301
		
ii.   Is responsible for the management of and conformity to ASC requirements for the unit of certification;
	
	

		
302
		
iii. Is responsible for the oversight and implementation of the organisation’s internal management system which shall include written procedures that ensure conformity to ASC requirements including:
	
	

		
303
		
A.  Document control procedure;
	
	

		
304
		
B.  Record keeping and retention procedure;
	
	

		
305
		
C.   Procedure for managing changes to ASC requirements;
	
	

		
306
		
D.  Procedure for conducting annual management reviews;
	
	

		
307
		
E.   Procedure for managing complaints submitted to Management by stakeholders and staff members as per specified in the applicable (farm) standard;
	
	

		
308
		
F.   Procedure for the evaluation and implementation of corrective and preventive actions;
	
	

		
309
		
G.  Procedure for conducting root cause analyses for non-conformities, and for addressing identified root causes;
	
	

		
310
		
H.  Procedures to ensure compliance with legal requirements;
	
	

		
311
		
I.    Procedures for conducting an annual internal audit, covering ASC requirements;
	
	

		
312
		
J.    Procedures for planning for and evaluation of the results of internal audits;
	
	

		
313
		
K.  Procedures for the scheduled reporting of performance of management systems and sites;
	
	

		
314
		
L.   Procedures for identifying and segregating all products within each site, among sites within the unit of certification, and products that are not included in the unit of certification. 
	
	

		
315
		
1.   The procedures shall describe how certified products are identified and segregated to prevent mixing with non-certified before the start of the MSC/ASC certified chain of custody.
	
	

		
316
		
2.   The procedures shall describe the conditions under which products must be segregated, and measure to prevent mixing directly or indirectly.
	
	

		
317
		
3.   The procedures and associate records shall allow products to be traced back from the start of the MSC/ASC certified chain of custody back to the production unit (i.e. cage/net/pen/pond/tank/ raceway).
	
	

		
318
		
4.   If the unit of certification has a separate MSC/ASC Chain of Custody (CoC) certificate[1], these requirements (17.1.3.2.b.iii.L and 17.1.3.2.b.iii.L.2-3) shall not apply.
	
	

		
319
		
M. Procedures for traceability of inputs used for each site as specified in the standard being audited to.
	
	

		
320
		
iv.  Is subject to an annual management review
	
	

		
321
		
v.   Is subject to and included in an annual internal audit.
	
	

		
322
		
A.    A full internal audit shall have been completed before an external ASC onsite audit may begin.
	
	

		
323
		
1.                The internal audit shall include all relevant ASC requirements at all sites and the central office.
	
	

		
324
		
1)    Some social requirements may be excluded from internal audits to maintain worker confidentiality.
	
	

		
325
		
2)    The exclusions shall be accepted by the CAB and documented in the audit report.  
	
	

		
326
		
2.       Classification and treatment of internal audit findings may follow the rules for external audit findings (see 17.10).
	
	

		
327
		
3.       Internal auditors shall be competent in ASC requirements as described in Annex B. 
	
	

		
328
		
vi.  Has the authority to require compliance of all sites and operations included in the unit of certification.
	
	

		
329
		
A.    All sites shall have a legally binding link (i.e. direct ownership, or contract) with the multi-site certificate holder or multi-site applicant.
	
	

		
330
		
B.    Subcontracted farms may be included in the unit of certification if all the following apply:
	
	

		
331
		
1.      All of the operations of the farm are subject to the same procedures as the rest of the unit of certification;
	
	

		
332
		
2.      The product produced by the subcontractor is owned by the certificate holder; and,
	
	

		
333
		
3.      The central office has the same oversight and right to control over the operations of subcontractors as it has for the client’s own operations.
	
	

		
334
		
4.      All of the operations of the subcontracted farms shall be included in the multi-site certificate.
	
	

		
335
		
5.      The contract shall be transparent, mutually accepted by both parties and include the above provisions (17.1.3.2.b.vi.B.1-4).
	
	

		
336
		
1)    Contract farming arrangements with subcontracted farms should follow the FAO “Guiding principles for responsible contract farming operations”[2].
	
	

		
337
		
2)    If the (farm) standard being audited to contains indicator(s) for contract farming, this requirement (17.1.3.2.b.vi.B.5) shall not apply.
	
	

		
338
		
vii.   Can demonstrate its ability to collect and analyse data from all sites, operations and the central office included, in the unit of certification including:
	
	

		
339
		
A.    Data required to demonstrate conformity with ASC requirements, and
	
	

		
340
		
B.    Implementation of corrective and preventive actions.
	
	

		
341
		
viii.  Can demonstrate its ability to implement organisational change if required.
	
	

		
342
		
ix.  Monitors compliance to all relevant ASC requirements of all sites within the unit of certification.
	
	

		
343
		
x.   Notifies the CAB of any non-conformities against applicable local regulations that are relevant to the ASC scope of certification within three (3) days of detection.
	
	

		
344
		
c)     All sites in the unit of certification shall operate within the same jurisdiction or within neighbouring jurisdictions that share the same relevant regulations. 
	
	

		
345
		
d)    All sites shall:
	
	

		
346
		
                                  i.         Be subject to the same (farm) standard; 
	
	

		
347
		
                                ii.         Comply with the (farm) standard individually; and
	
	

		
348
		
                               iii.         Have the same or similar production system[3].
	
	

		
349
		
A.     If different production systems are used, each production system shall be evaluated separately using the sampling methods described in Annex E.
	
	

		
350
		
e)    All conformity assessment services shall conform to the requirements in this document as specified in Annex E.
	
	

		
351
		
17.1.3.3        A multi-site client may opt to have all sites in the unit of certification audited in each initial, surveillance and re-certification audit.
	
	

		
352
		
a)     This decision shall be documented in the audit report.
	
	

		
353
		
b)     The following provisions under 17.1.3.2 shall not apply:
	
	

		
354
		
i.     17.1.3.2.b.iii.A-D
	
	

		
355
		
ii.   17.1.3.2.b.iii.F-K
	
	

		
356
		
iii. 17.1.3.2.b.iv-v
	
	

		
357
		
iv.  17.1.3.2.b.vii-ix
	
	

		
358
		
17.1.4             A group in which each member operates either a single site or more than one site.
	
	

		
359
		
17.1.4.1        For a group to qualify as a unit of certification it shall conform to the “ASC Requirements for the Certification of Producer Groups”.
	
	

		
360
		
17.1.4.2        Audits of Groups shall conform to Annex F. 
	
	

		
361
		
17.2                 Notice of audit
	
	

		
362
		
17.2.1             The CAB shall use FORM 3 to inform the ASC and the ASC appointed accreditation body of planned audit dates no less than thirty (30) days prior to the audit. 
	
	

		
363
		
17.2.1.1        For unannounced audits FORM 3 may be submitted to the ASC fewer than thirty (30) days prior to the audit.
	
	

		
364
		
17.2.2             The CAB shall publish the information contained in FORM 3 on its website within three (3) days of submitting it to ASC.
	
	

		
365
		
17.2.2.1        ASC shall not publish FORM 3 prior to an unannounced audit.
	
	

		
366
		
17.2.3             The CAB shall provide updates to FORM 3 within 5 days of any changes to the information 
	
	

		
367
		
17.2.3.1        If the changes are to occur before a planned audit, the changes shall be no less than 10 days before the audit is scheduled to begin
	
	

		
368
		
17.2.3.2        All changes will be clearly identified on the revised FORM 3.
	
	

		
369
		
17.2.3.3        The ASC should publish a public notice of the planned audit within three (3) days of receiving FORM 3.
	
	

		
370
		
17.2.3.4        This requirement shall apply for all on-site audits
	
	

		
371
		
17.2.4             The CAB shall notify potential stakeholders and interested parties of the planned audit and invite their participation.
	
	

		
372
		
17.2.4.1        The CAB may choose to notify none, some or all potential stakeholders and interested parties prior to an unannounced audit.
	
	

		
373
		
17.2.4.2        The notice shall be in the local language(s) and English. 
	
	

		
374
		
17.3                 Audit methodology
	
	

		
375
		
17.3.1             The ASC audit shall use the ASC Audit Manual as guidance for the standard(s) for which the client is being audited.
	
	

		
376
		
17.3.2             ASC reserves the right to develop, and implement and require CABs to use their own audit tools and methodology for the ASC aquaculture audits covering areas not specified in this document.
	
	

		
377
		
17.4                 Audit Timing
	
	

		
378
		
17.4.1             The CAB shall not conduct an audit until the client has completed and the CAB accepted the client’s application for certification.
	
	

		
379
		
17.4.2             The CAB’s initial audit should include harvesting activities of the principle product to be audited.
	
	

		
380
		
17.4.3             If other products are included but not harvested at the same time, the CAB shall collect evidence of compliance for all products to be added to the certificate.
	
	

		
381
		
17.4.4             If product handling or processing is included, the audit should be conducted to occur at the time that the handling or processing facilities are operating. 
	
	

		
382
		
17.4.5             Audits shall not be conducted until sufficient records/evidence are available for all applicable standard requirements as the minimum.
	
	

		
383
		
17.4.6             If the CAB determines that it is not possible to conduct the initial audit as specified in 17.4.2, the CAB shall:
	
	

		
384
		
17.4.6.1        Record this determination in the audit report.
	
	

		
385
		
17.4.6.2        Provide a justification for the alternative timing.
	
	

		
386
		
17.4.7             An audit conducted during the harvesting of the principle product included for certification shall occur at least once during the validity of each certificate.
	
	

		
387
		
17.5                 Audit duration
	
	

		
388
		
17.5.1             The CAB shall determine the minimum planned duration of the audit, taking into account, when applicable, evaluation of traceability risks and eligibility to enter further chain of custody.
	
	

		
389
		
17.5.2             The CAB shall record this determination and the justification for it in the audit report.
	
	

		
390
		
17.6                 Determining the start of the chain of custody
	
	

		
391
		
17.6.1             For the following risk factors, the CAB shall document whether each risk is currently or potentially applicable. This shall include:
	
	

		
392
		
17.6.1.1        The possibility of mixing or substitution of certified and non-certified product, including product of the same or similar appearance or species, produced within the same operation.
	
	

		
393
		
17.6.1.2        The possibility of mixing or substitution of certified and non-certified product, including product of the same or similar appearance or species, present during production, harvest, transport, storage, or processing activities.
	
	

		
394
		
17.6.1.3        The possibility of subcontractors being used to handle, transport, store, or process certified products.
	
	

		
395
		
17.6.1.4        Any other opportunities where certified product could potentially be mixed, substituted, or mislabelled with non-certified product before the point where product enters the chain of custody.
	
	

		
396
		
17.6.2             For each applicable risk, the CAB shall:
	
	

		
397
		
17.6.2.1        Clearly document the risk, and
	
	

		
398
		
17.6.2.2        Describe any traceability, segregation, or other systems in place to manage the risk.
	
	

		
399
		
17.6.3             The CAB shall review and document, in detail, the flow of certified product within the operation and the associated traceability system which allows product to be traced from final sale back to the unit of certification.
	
	

		
400
		
17.6.4             This shall include the traceability documentation at each stage of handling certified product and how product can be linked from each document (e.g. through batch codes, lot codes, etc.). 
	
	

		
401
		
17.6.5             This shall also include a detailed description of the systems used to segregate and identify certified product at each stage of handling.
	
	

		
402
		
17.6.6             Based on the results found from 17.6.1 -17.6.5 above, the CAB shall determine whether:
	
	

		
403
		
17.6.6.1        The traceability and segregation systems in the operation are sufficient to ensure all products identified and sold as certified by the operation originate from the unit of certification, or
	
	

		
404
		
17.6.6.2        The traceability and segregation systems are not sufficient and a separate chain of custody certification is required for the operation before products can be sold as ASC-certified or can be eligible to carry the ASC logo.
	
	

		
405
		
17.6.7             This determination shall remain in force until revised by the CAB in a subsequent audit or until a valid CoC certification is in place.
	
	

		
406
		
17.6.7.1        The CAB shall inform the client if any separate CoC certification for the operation required in 17.6.6.2, client shall be subject to an audit by the same CAB that carried out the farm certification.
	
	

		
407
		
17.6.8             If the CAB has determined that any risk factors in 17.6.1.1 or 17.6.1.2 or 17.6.1.4 are applicable, a separate chain of custody certification shall be required.
	
	

		
408
		
17.6.8.1        A separate chain of custody may be determined to be unnecessary if the CAB determines that the traceability and segregations systems in place are sufficient to address the risks, and
	
	

		
409
		
17.6.8.2        The reason for a determination that a separate chain of custody certification is unnecessary shall be clearly documented in the audit report. 
	
	

		
410
		
17.6.9             The CAB shall clearly document in the Audit Report the determination under 17.6.6, including a statement confirming whether products are eligible to enter further chains of custody.
	
	

		
411
		
17.6.10          If the CAB has determined under 17.6.6.1 that the traceability systems are sufficient to allow products to enter chain of custody, the CAB shall document:
	
	

		
412
		
17.6.10.1     The intended point of first sale.
	
	

		
413
		
17.6.10.2     The point from which chain of custody is required to begin.
	
	

		
414
		
17.7                 Setting the Eligibility Date for under-assessment product
	
	

		
415
		
17.7.1             During the farm audit the CAB shall determine the specific date (Eligibility Date) from which product from the operation is eligible to be sold as ASC-certified or with the ASC logo.
	
	

		
416
		
17.7.2             The Eligibility Date can be set as either:
	
	

		
417
		
17.7.2.1        The date from which all major non-conformities have been verified as closed and a corrective action plan to address all minor non-conformities has been approved, or
	
	

		
418
		
17.7.2.2        The date of farm certification as specified on the certificate.
	
	

		
419
		
17.7.3             The Eligibility Date shall be set as the date of farm certification for applicants where under 17.6.6.2 a determination has been made that the operation requires a separate Chain of Custody certification. The CAB shall:
	
	

		
420
		
17.7.3.1        Record this Eligibility Date clearly in the audit report. 
	
	

		
421
		
17.7.3.2        Communicate this date to the client and the ASC within five (5) days.
	
	

		
422
		
17.7.4             If the Eligibility Date is set before the certification date, the CAB shall inform the applicant that:
	
	

		
423
		
17.7.4.1        All under-assessment product harvested after the Eligibility Date must be fully traceable back to the unit of certification and harvest date. 
	
	

		
424
		
17.7.4.2        All under-assessment product(s) must be clearly identified and segregated from certified and non-certified product.
	
	

		
425
		
17.7.4.3        The certificate holder shall not sell or apply the logo to under-assessment product as certified or with ASC trademarks until:
	
	

		
426
		
a)      The farm has been certified and the certificate issued by the CAB, and
	
	

		
427
		
b)      There is a signed logo licence agreement between the client and ASC if the ASC logo is to be used.
	
	

		
428
		
17.8                 Stakeholder engagement
	
	

		
429
		
17.8.1             The CAB shall maintain an up-to-date list of all stakeholders that are relevant to be contacted for their input per species.
	
	

		
430
		
17.8.2             The CAB shall keep a list of all stakeholders and interested parties that indicate an interest in making a submission to the audit team.
	
	

		
431
		
17.8.3             The CAB shall acknowledge receipt of all written submissions.
	
	

		
432
		
17.8.3.1        Verbal submissions and how they have been addressed shall be clearly explained in the audit reports.
	
	

		
433
		
17.8.4             Prior to the publication of the draft audit report, the CAB shall respond in writing to each stakeholder and interested party to explain how their comments were addressed by the audit team.
	
	

		
434
		
17.8.5             The CAB shall have a mechanism that allows comments to be submitted at any time during the validity of the certificate, and that specifies how those comments are to be taken into consideration for the next coming audit.
	
	

		
435
		
17.8.5.1        The CAB shall make sure that the mechanism is known to the public.
	
	

		
436
		
17.9                 Audit Evidence
	
	

		
437
		
17.9.1             Audit evidence relevant to the audit objectives, scope and criteria, including information relating to interfaces between functions, activities and processes shall be collected by appropriate sampling and shall be verified.
	
	

		
438
		
17.9.2             Only information that is verifiable may be audit evidence.
	
	

		
439
		
17.9.3             The CAB shall record all audit evidence in the audit report.
	
	

		
440
		
17.10             Audit Findings
	
	

		
441
		
17.10.1          CABs shall classify non-conformities as minor, major or critical as follows:
	
	

		
442
		
17.10.1.1     A minor non-conformity
	
	

		
443
		
a)     For initial certification, the CAB may recommend the applicant for certification once an action plan to address minor non-conformity(ies)
	
	

		
444
		
i.      Has been agreed to by both the client and the CAB.
	
	

		
445
		
A.  The action plan shall include a brief description of:
	
	

		
446
		
1.   The root cause(s) of the non-conformity
	
	

		
447
		
2.   The corrective action(s) to be taken is intended to satisfactorily address the non-conformity
	
	

		
448
		
ii.   Has been implemented.
	
	

		
449
		
iii. Within (3) three months the CAB shall:
	
	

		
450
		
A.  Confirm receipt of objective evidence that demonstrates that a satisfactory corrective action plan has been finalized.
	
	

		
451
		
B.  Confirm receipt of objective evidence that demonstrates that the corrective action plan has been implemented.
	
	

		
452
		
C.   Close the minor non-conformity once it can confirm receipt of objective evidence that demonstrates conformity.
	
	

		
453
		
1.   Minor non-conformities may be extended once for a maximum period of one (1) year if on-site verification is necessary to confirm conformity. 
	
	

		
454
		
2.   If an extension is granted, the CAB shall have confirmed receipt of sufficient objective evidence that demonstrates conformity such that it is satisfied that all efforts have been made or are being made by the client to demonstrate conformity.
	
	

		
455
		
3.   If an extension is approved by the CAB, it shall be justified in the next audit report.
	
	

		
456
		
b)     The CAB should raise a major non-conformity where minor non-conformities are repeatedly raised against a particular requirement.
	
	

		
457
		
c)     The CAB shall raise the minor non-conformity to a major non-conformity if any of the above deadlines are not met.
	
	

		
458
		
17.10.1.2     Major non-conformities
	
	

		
459
		
a)     The CAB shall require that major non-conformities shall be satisfactorily addressed by an applicant:
	
	

		
460
		
i.     Prior to certification being granted.
	
	

		
461
		
ii.   Within three months of the date of the audit or a full re-audit shall be required.
	
	

		
462
		
iii. That the root cause of the non-conformity is identified and addressed.
	
	

		
463
		
b)     The CAB shall determine whether or not an on-site visit is needed to close the major non-conformity. 
	
	

		
464
		
c)     The decision, justification and conclusion shall be made clear in the final audit report.
	
	

		
465
		
d)     In the case of a major non-conformity raised during the period of validity of a certificate, the CAB shall require:
	
	

		
466
		
i.     That the certificate holder satisfactorily addresses the non-conformity within a maximum of three (3) months
	
	

		
467
		
ii.   Major non-conformities may be extended once for a maximum period of three months if the CAB has confirmed receipt of sufficient objective evidence that demonstrates conformity was not possible due to circumstances beyond the control of the client. 
	
	

		
468
		
A.  Extensions of major non-conformities shall be clearly documented along with a clear justification in the audit report.
	
	

		
469
		
iii. That objective evidence is confirmed by the CAB that: 
	
	

		
470
		
A.  The root cause of the non-conformity is identified, 
	
	

		
471
		
B.  An action plan is agreed with the CAB, 
	
	

		
472
		
C.   That the action plan is implemented and 
	
	

		
473
		
D.  That conformity can be demonstrated.
	
	

		
474
		
e)     The CAB shall decide if an on-site audit is required to close out the major non-conformity(ies). 
	
	

		
475
		
f)      The CAB shall suspend the certificate if a major non-conformity remains open after six (6) months and follow requirement in Section 7.6 of this document.
	
	

		
476
		
17.10.2          All non-conformities shall reference the relevant section of the ASC standard or other ASC requirement as relevant to the audit.
	
	

		
477
		
17.10.3          The CAB shall not include evidence of more than one non-conformity into a single documented non-conformity report unless they apply to the same ASC requirement.
	
	

		
478
		
17.10.4          Major non-conformities shall not be downgraded to minor non-conformities.
	
	

		
479
		
17.10.5          The CAB shall assess the effectiveness of the corrective and/or preventive actions in addressing the root cause of the non-conformity taken before closing out a major or minor non-conformity.
	
	

		
480
		
17.11             Certification Decisions
	
	

		
481
		
17.11.1          The CAB shall only make certification decisions based on the evaluation of the audit evidence as to whether or not the applicant is in conformity with the requirements of the applicable ASC Standard(s) and these Certification Requirements.
	
	

		
482
		
17.11.1.1     Audit evidence shall be no more than six (6) months old.
	
	

		
483
		
17.11.2          The CAB shall consider all audit evidence when taking certification decisions.
	
	

		
484
		
17.11.2.1     This shall include audit evidence gathered prior to, during and after an on-site audit. 
	
	

		
485
		
17.11.2.2     This shall include audit evidence gathered as the result of information submitted by stakeholders and interested parties.
	
	

		
486
		
17.11.3          The CAB shall post all certification decisions, including changes in scope, suspensions, cancellation and withdrawals on the ASC database.
	
	

		
487
		
17.11.4          If the ASC database is offline, the CAB shall inform the ASC within ten (10) days of the decision.
	
	

		
488
		
17.11.5          The CAB shall issue certificates with a maximum validity period of three (3) years from the date of issue.
	
	

		
489
		
17.12             Audit Report Requirements
	
	

		
490
		
17.12.1                  ASC audit reports shall follow the format and requirements presented in Annex C
	
	

		
491
		
17.13             Content of Certificates 
	
	

		
492
		
17.13.1 The CAB shall issue an English language certificate, which as well as the requirements in ISO 17065 7.7 shall contain:
	
	

		
493
		
1. 
	
	

		
494
		
17.13.1.1    The ASC logo, which shall be no smaller than the logo of the CAB.
	
	

		
495
		
17.13.1.2    A unique certificate number
	
	

		
496
		
a.      An issue number (for re-issued or renewed certificates)
	
	

		
497
		
17.13.1.3    The point at which certified products may enter a Chain of Custody. 
	
	

		
498
		
17.13.1.4     The date of issue of the certificate
	
	

		
499
		
a)    The date of issue shall be the date the certificate was registered on the ASC database.
	
	

		
500
		
b)    Registration shall not be complete until all information specified on the ASC database has been posted on the ASC database.
	
	

		
501
		
17.13.1.5.    The date of expiry
	
	

		
502
		
17.13.1.6.    The name and address of the CAB
	
	

		
503
		
17.13.1.7.    The legal name and registered address of the certificate holder plus
	
	

		
504
		
17.13.1.8.    Any trade names and other addresses that will be used for sales invoices
	
	

		
505
		
17.13.1.9.    The name and physical address of any additional sites included in the unit of certification 
	
	

		
506
		
17.13.1.10.  A description of the scope of the certificate, including a general description of the type of products covered by the certificate, a reference to the specific standard(s) against which the certificate holder has been evaluated, and confirmation of full or partial certification.
	
	

		
507
		
17.13.1.11.  A reference to the ASC database of registered certificates (specific URL to be announced) for the full list of product groups covered by the certificate
	
	

		
508
		
17.13.1.12.  A clear statement to the effect that the certificate shall remain the property of the CAB that issued it, and that the certificate and all copies or reproductions of the certificate shall be returned or destroyed if requested by the CAB
	
	

		
509
		
17.13.1.13.  The date of expiry of the certificate together with the disclaimer “The validity of this certificate shall be verified on [specific URL to be announced]”.
	
	

		
510
		
17.13.1.14.  The signature of the individual(s) that the CAB assigned this responsibility.
	
	

		
511
		
17.13.1.15.  A disclaimer stating: "This certificate itself does not constitute evidence that a particular product supplied by the certificate holder is ASC-certified. Products offered, shipped or sold by the certificate holder can only be considered covered by the scope of this certificate when the required ASC claim is clearly stated on invoices and shipping documents".
	
	

		
512
		
17.13.2.         The CAB may issue certificates in other languages as well as the English version providing they bear a disclaimer in at least 10 point font that the certificate is an unverified translation of the English certificate, and in case of differences the English version shall take precedence.
	
	

		
513
		
17.14             Information for Certificate Holders
	
	

		
514
		
17.14.1.         The CAB shall inform the certificate holder that it has the right to claim that, subject to the scope of its certificate, its operation is certified in accordance with the specific ASC standard covered.
	
	

		
515
		
17.14.2.         The CAB shall inform the certificate holder that:
	
	

		
516
		
17.14.2.1.    It may claim that its aquaculture products are the result of “Responsible Aquaculture Farming”.
	
	

		
517
		
17.14.2.2.    It is eligible to apply for an ASC logo licensing agreement.
	
	

		
518
		
17.14.2.3.    It shall not make any claim about ASC certification on consumer facing products without a valid ASC logo licence.
	
	

		
519
		
17.15             Surveillance
	
	

		
520
		
17.15.1.         The CAB shall carry out a surveillance audit to monitor the certificate holder’s continued conformity with applicable ASC standards and other certification requirements at least annually.
	
	

		
521
		
17.15.2.         Public notice of surveillance audits shall use Form 3.
	
	

		
522
		
17.15.3.         Surveillance reports shall conform to Annex C.
	
	

		
523
		
17.15.4.         During the three-year term of the certificate the CAB shall plan and conduct surveillance audits in such a way that all aspects of the production cycle are audited
	
	

		
524
		
17.15.4.1.             Unless the life-history of the cultured species does not allow for this. 
	
	

		
525
		
17.15.5.         Stakeholder consultation may be undertaken during surveillance audits.
	
	

		
526
		
17.15.6.         The CAB shall conduct no fewer than 2 surveillance audits for any valid certificate.
	
	

		
527
		
17.15.7          The CAB shall appoint an audit team with expertise that is comparable to the original audit team when conducting surveillance audits.
	
	

		
528
		
17.15.7.1    If team members are different to the original team, the selection of individuals to conduct audits shall be justified in writing in the surveillance audit report and their relevant skills and/or expertise documented.
	
	

		
529
		
17.15.8          The CAB shall document and implement clear procedures for the conduct of surveillance audits that conforms to these requirements.
	
	

		
530
		
17.15.9          The CAB shall assess:
	
	

		
531
		
17.15.9.1      Progress and performance against outstanding non-conformities.
	
	

		
532
		
17.15.9.2      The CAB shall document conformity with, and progress and performance against, outstanding non-conformities using the form of the original non-conformity. 
	
	

		
533
		
17.15.9.3      In the event that an outstanding non-conformity is changed, the CAB shall provide written justification for the change in the surveillance report.
	
	

		
534
		
17.15.10       The management system including:
	
	

		
535
		
17.15.10.1   Changes to the management system.
	
	

		
536
		
17.15.10.2   The capacity of the management system to manage any change in scope, size or complexity within the certified unit.
	
	

		
537
		
17.15.10.3   Legal and regulatory compliance. 
	
	

		
538
		
17.15.10.4   This shall include any changes that have occurred in legislation or regulations.
	
	

		
539
		
17.15.10.5   Any complaints or allegations of non-conformity with ASC requirements.
	
	

		
540
		
17.15.10.6   A sample of sites and records to verify that the management systems are effective and consistent such as high-risk areas or personnel changes.
	
	

		
541
		
17.15.10.7   Operational plans.
	
	

		
542
		
17.15.11       Any changes affecting the operation’s traceability, chain of custody, or the ability to trace certified products back to the unit of certification.
	
	

		
543
		
17.15.12       If the CAB identifies an issue requiring further investigation it shall:
	
	

		
544
		
17.15.12.1   Record the existence of the issue and document any evidence found.
	
	

		
545
		
17.15.12.2   Raise a non-conformity if one is found.
	
	

		
546
		
17.15.13       The CAB may conduct additional surveillance audits of certificate holders for one or more of the following reasons:
	
	

		
547
		
17.15.13.1   The number and nature of non-conformities.
	
	

		
548
		
17.15.13.2   The number and nature of complaints from the ASC, another CAB, a stakeholder or an interested party.
	
	

		
549
		
17.15.13.3   The number and nature of other issues that the CAB determines must be investigated.
	
	

		
550
		
17.15.14       The CAB shall specify criteria and conditions for unannounced surveillance audits in their documented procedures.
	
	

		
551
		
17.16      Recertification Audits
	
	

		
552
		
17.16.1          The CAB shall start the recertification audit before the expiry of the existing certificate.
	
	

		
553
		
17.16.2          Exact timing and planning of the audit shall remain the responsibility of the CAB, in consultation with the client.
	
	

		
554
		
17.16.3          The CAB, when conducting an audit of a certified operation, shall:
	
	

		
555
		
17.16.3.1      Apply all of the steps of the ASC Certification Requirements in force at the time of the audit.
	
	

		
556
		
17.16.3.2      Apply interpretations of the relevant standard that are current at the time of the audit.
	
	

		
557
		
17.16.3.3      Take into account all surveillance reports, outcomes, progress on non-conformities, and inputs from stakeholders and interested parties.
	
	

		
558
		
17.16.3.4      The CAB shall verify that corrective and preventive actions taken allows for the closure of open major non-conformities.
	
	

		
559
		
a)     If progress has not been adequate to close the open major non-conformities the CAB shall not re-issue the certificate.
	
	

		
560
		
17.16.3.5    Consider the relevance of the original unit of certification and if necessary, shall create modified or a new unit of certification.
	
	

		
561
		
17.16.3.6    Maintain records of its consideration of the issues above, as well as any rationale for decisions made relating to these issues.
	
	

		
562
		
17.17          Extension of Certificate Validity
	
	

		
563
		
17.17.1          The CAB may extend the validity of a certificate by up to three (3) months in    cases where:
	
	

		
564
		
17.17.1.1    The certificate holder has applied to the CAB for recertification and the application has been accepted by the CAB at or before the end of the period of validity of the certificate.
	
	

		
565
		
17.17.1.2    There is no product present at the time when the recertification audit is due.
	
	

		
566
		
17.17.1.3    The CAB issued the previous certificate.
	
	

		
567
		
17.17.1.4    CAB extends the certificate validity in the ASC database before the expiry of the existing certificate.
	
	

		
568
		
a)     If the ASC database is offline, the CAB shall inform the ASC within ten (10) days of the decision. 
	
	

		
569
		
18           Management System Requirements for CABs
	
	

		
570
		
18.1                  No Additional Requirements
	
	

		
571
		
[1] Separate MSC/ASC CoC certificate for products within the unit of certification. This is different from the CoC certificate for the processing facility that may belong to the same legal entity and may process the raw materials coming from the unit of certification.
	
	

		
572
		
[2] Guiding principles for responsible contract farming operations, Rural Infrastructure and Agro-Industries Division (AGS) Food and Agricultural Organisation of the United Nations (FAO), Rome, Italy, 2012
	
	

		
573
		
[3] See Funge-Smith, S. Phillips, M.J. 2001. Aquaculture systems and species. In R.P. Subasinghe, 
	
	

		
574
		
P. Bueno, M.J. Phillips, C. Hough, S.E. McGladdery & J.R. Arthur, eds. Aquaculture in the Third Millennium. Technical Proceedings of the Conference on Aquaculture in the Third Millennium, Bangkok, Thailand, 20-25 February 2000. pp. 129-135. NACA, Bangkok and FAO, Rome. http://www.fao.org/docrep/003/AB412E/ab412e07.htm
	



Sheet 3: ASC CAR V2.3

	
	
	
	
	
	
	
	
	
	
	

		


		
Requirement
		


		
Type of Change
		
Rationale
		
Are you agree with the change?
		
If not please describe the rationale for rejection or modification
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		
Type of Change
		
Are you agree with the change?
	
	

		
1
		
Part A – General Requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		
wording
		
yes
	
	

		
2
		
1.                        Scope
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		
new clause
		
no
	
	

		
3
		
Part A sets out the requirements that all CABs shall implement in their own procedures and management system. That allows them to carry out certification services for clients that wish to make a claim that the aquaculture product(s) they sell are certified to the ASC’s Standards
		
v2.2
		
clarification
		
Scope of the requirments in relation to CABs management systems
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		
clarification
		
modification
	
	

		
4
		
2.                        Normative References
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		
structure
		


	
	

		
5
		
The documents listed below are part of the ASC Certification Requirements. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
6
		
For references which have a specific date or version number, later amendments or revisions do not apply. CABs are encouraged to review the most recent editions and any guidance documents available to gain further insight. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
7
		
For references without dates or version numbers, the latest edition of the document referred to applies. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
8
		
a)   ASC Standards: See www.asc-aqua.org
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
9
		
b)   ASC Requirements for Units of Certification (RUoC)
		


		
new clause
		
New Normative document for UoCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
10
		
c)    ISO 17065 Conformity Assessment – Requirements for bodies certifying products, processes and services;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
11
		
d)   ISO 19011 Guidelines for auditing management systems;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
12
		
e)   ISO 17021-1 Conformity assessment – Requirements for bodies providing audit and certification of management systems;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
13
		
f)    ISO 9001 Auditing Practices Group Guidance on: REMOTE AUDITS Editon1 2020-04-16 
		


		
new clause
		
New Normative documentfor remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
14
		
g)   IAF MD 4:2018 IAF Mandatory document for the use of Information and Communication Technology (ICT) for auditing/assessment purposes. 
		


		
new clause
		
New Normative documentfor remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
15
		
3.                        Terms and Definitions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
16
		
3.1                     All definitions are in Annex A.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
17
		
4.                        General Requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
18
		
4.1                     Requirement of accreditation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
19
		
4.1.1                A CAB shall have had its application to the ASC appointed accreditation body for accreditation to the scope of the certification it wishes to provide, accepted before starting to sell certification services.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
20
		
4.1.2                A CAB shall only award certificates once it is accredited and only within the scope of its accreditation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
21
		
4.1.3                A CAB shall recognise that certificate holders with a valid certificate issued by other accredited CABs conform to relevant ASC standards.
		
v2.2
		
clarification
		
Recognition shall be for valid certificates
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
22
		
4.1.4                A CAB shall authorize the ASC appointed accreditation body to publish the CAB’s company name, full address and contact persons’ details.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
23
		
4.1.5                A CAB shall authorize the ASC appointed accreditation body to publish on its website accreditation assessment reports.
		
v2.2
		
wording
		
Published on website
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
24
		
4.2                     Conformity to ISO 17065, 17021, 19011 and the ASC requirements
		
v2.2
		
clarification
		
Addition of ISO 17021 and 19011 as mandatory for auditing methodology
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
25
		
4.2.1                All CABs shall conform to the requirements of ISO 17065 and all other ASC requirements relevant to the scope of accreditation applied for or held. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
26
		
4.2.2                CABs shall conform to the ASC requirements in this document in the case of a conflict with any listed ISO standards. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
27
		
4.2.3                CAB audit personnel shall follow guidance provided in ISO 19011.
		
v2.2
		
clarification
		
Change from should to shall. It is needed a mandatory baseline of audit execution and not a recommendation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
28
		
4.2.4                The CAB shall develop procedures for ASC social audits that are consistent with the latest version of ISO 17021 and ISO 19011, making adaptations taking into account specific requirements of this CAR.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
29
		
4.2.5                In cases of inconsistency between ISO 17021 and IS0 19011, the former shall prevail.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
30
		
4.3                     Normative annexes
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
31
		
4.3.1                CABs shall follow in full all normative annexes to the ASC Certification Requirements if they are used.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
32
		
4.4                     Compliance with legal requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
33
		
4.4.1                CABs shall comply with the legal requirements in the countries in which they operate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
34
		
4.4.2                Key CAB personnel shall demonstrate understanding of applicable legislation and regulations of the country where certification services are being offered.
		
v2.2
		
wording
		
Applicability to CAB personnel
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
35
		
4.5                      Certification Decision-Making Entity
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
36
		
4.5.1                The CAB’s decision-making entity shall authorise any changes to the terms of certification.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
37
		
4.6                     Communication with the ASC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
38
		
4.6.1                CABs shall follow the communication requirements in Annex D.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
39
		
4.7                     The ASC CAB calibration workshops
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
40
		
4.7.1                CABs shall participate in calibration workshops organised by the ASC and annual CAB tripartite sessions.
		
v2.2
		
clarification
		
Refers to tripartite meetings between CABs, accreditation body and ASC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
41
		
4.8                     Use of the ASC and CAB trademarks
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
42
		
4.8.1                All uses of the ASC trademark(s) by a CAB shall be subject to an ASC logo licence agreement.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
43
		
4.8.2                The CAB shall have documented procedures for the issue and use of any logo or trademark of the CAB (ISO 17065 Use of license, certificates and marks of conformity) for the ASC program, including procedures for pre-publication review and authorisation by the CAB of all uses of the CAB's logo, claims or trademarks by ASC certificate holders.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
44
		
5.                        Structural Requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
45
		
5.1                     Mechanism for safeguarding impartiality 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
46
		
5.1.1                The CAB shall have a documented impartiality structure which safeguards impartiality within the CAB and its operations.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
47
		
5.1.2                The structure shall be described in the documents that establish the CABs legal status or by some other means that prevents change which could compromise the function of the structure to safeguard impartiality.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
48
		
5.1.3                This may be through vesting authority to the impartiality structure for approval of policies and some significant procedures such as the rules of procedure for the operation of the impartiality structure itself.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
49
		
5.1.4                The impartiality structure may be an impartiality committee or equivalent structure.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
50
		
5.1.5                The structure may be independent of management or combined with management function. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
51
		
5.1.6                The CAB shall be responsible for: 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
52
		
5.1.6.1           The adequacy of the process for identifying and involving the relevant interested parties and 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
53
		
5.1.6.2            The impartiality structure itself to demonstrate the adequacy of their participation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
54
		
5.1.6.3           Providing all the information required for the impartiality structure to perform their job, including, but not limited to, the reasons for:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
55
		
a)     all significant decisions and actions, and
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
56
		
b)     the selection of persons responsible for particular activities in respect to certification.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
57
		
5.1.7                The impartiality structure shall involve all parties concerned with the development of principles and policies for the functioning of the CABs certification system.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
58
		
5.1.7.1            This shall include interested and affected parties throughout the supply chain.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
59
		
a)     These may include, but not limited to, the CAB itself, regulatory authorities, NGOs, consultants, academics, primary producers, processors, wholesalers, retailers, food service providers, restaurants and consumers.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
60
		
5.1.7.2            This should be a high-level group with the responsibility for ensuring impartiality and not predominantly a technical or sector-based group.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
61
		
5.1.7.3            The membership shall not be selected to reflect the technical expertise of the CAB.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
62
		
a)     When necessary it can be supported by technical experts as required.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
63
		
b)     No single interest shall predominate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
64
		
5.1.8                Documentation for the mechanism for safeguarding impartiality shall include:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
65
		
5.1.8.1            Rules of procedure that establish the duties and rights of members (e.g. rule for attendance, quorum and voting)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
66
		
a)     Members shall sign declarations of confidentiality.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
67
		
b)     Members shall sign annual declarations of the absence of conflicts of interest.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
68
		
5.1.8.2            The principle that impartiality shall be established at three levels within the CAB:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
69
		
a)     Strategies and policies;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
70
		
b)     Decisions on certification; and
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
71
		
c)     Auditing.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
72
		
5.1.9                The impartiality structure shall conduct annual reviews that include:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
73
		
5.1.9.1            The current and intended activities of the CAB;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
74
		
5.1.9.2            The competence of key CAB personnel; and,
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
75
		
5.1.9.3            The potential risks associated to the CAB’s operation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
76
		
5.1.10             The function of the structure shall ensure that:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
77
		
5.1.10.1        Commercial and other considerations do not prevent the objective provision of certification services.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
78
		
5.1.10.2        The period of time specified by the CAB for which personnel shall not be used to review or make a certification decision for a product for which they have provided consultancy time shall be no less than 2 years.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
79
		
5.1.10.3        No audit or certification services shall be provided to clients if any of the products or services provided by the CAB, related bodies or the CAB’s personnel are still in use by the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
80
		
5.2                     Confidentiality
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
81
		
5.2.1                The CAB shall document arrangements to safeguard confidentiality (ISO 17065 4.5).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
82
		
5.3                     Complaints and Appeals
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
83
		
5.3.1                The CAB shall have a documented procedure for handling complaints and appeals that includes:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
84
		
5.3.1.1            A requirement that all formal and informal complaints, appeals, concerns or objections related to the activities of the CAB, a certifified or an applicant be kept on file and logged (ISO 17065 section 7.13.1).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
85
		
5.3.1.2            A description of involvement of the ASC appointed accreditation body and the ASC in case of appeals.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
86
		
5.3.1.3            Reference to the ASC appointed accreditation body’s dispute mechanism, including incidents, complaints and appeals handling processes.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
87
		
5.3.1.4            CABs shall report all logged issues using FORM 4 submitted annually no less than forty-five (45) days prior to the annual surveillance by the ASC appointed accreditation body’s visit. Copies shall be sent to the ASC and the ASC appointed accreditation body.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
88
		
5.3.1.5            In case of suspension or withdrawal of the ASC accreditation of the CAB, all logged issues shall be sent to the ASC appointed accreditation body and ASC as part of the suspension or withdrawal process using FORM 4 no later than the final date of accreditation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
89
		
5.3.1.6            Determining whether the complaint or appeal relates to certification activities for which the CAB is responsible.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
90
		
5.3.1.7            The appointment of an independent member of the CAB management who shall:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
91
		
a)    Report to top management
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
92
		
b)    Be responsible for ensuring that procedures (ISO 17065 complaints and appeals) are followed.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
93
		
5.3.1.8            A procedure for reviewing all complaints and forwarding them to the responsible body as appropriate. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
94
		
5.3.1.9            Encouragement for the complainants to submit copies of their complaints to directly to the ASC at:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
95
		
a)     Email: disputes@asc-aqua.org 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
96
		
b)     Mailing Address:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
97
		
P.O. Box 19107
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
98
		
3501 DC Utrecht
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
99
		
The Netherlands
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
100
		
c)      Office Address:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
101
		
Daalseplein 101,
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
102
		
3511 SX Utrecht
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
103
		
The Netherlands
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
104
		
6.                        Management System Requirements for CABs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
105
		
6.1                     Internal Audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
106
		
6.1.1                Internal audits shall be performed at least once every twelve (12) months or completed within a twelve (12) month time frame for segmented (or rolling) internal audits.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
107
		
6.1.2                Internal audits shall cover all ASC requirements in a planned and systemic manner.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
108
		
7.                        Resource Requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
109
		
7.1                     CAB Personnel
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
110
		
7.1.1                All personnel involved in delivering conformity assessment services shall be knowledgeable about the aims and objectives of the ASC.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
111
		
7.1.1.1            This shall include knowledge of international agreements, conventions and treaties relevant to the assessment of UoCs for ASC certification as appropriate to the role and responsibilities of each individual.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
112
		
7.1.2                The CAB shall register all auditors working with the ASC scheme with the ASC and the appointed accreditation body.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
113
		
7.1.3                The CAB shall ensure that all CAB personnel shall not participate in ASC conformity assessment services until they have the required experience, completed the required training and demonstrated the required competencies for their role as described in Annex B.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
114
		
7.1.4                The CAB shall not assign the same lead auditor to audit an UoC for more than 3 consecutive audits.
		


		
new clause
		
Avoid Conflict of interest caused by the familiarity with the client
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
115
		
7.1.4.1            If the CAB has only one auditor in a given region and not able assign a different auditor, the CAB shall submit a variance request explaining how to avoid the potential conflict of interest due to the familiarity with the UoC.
		


		
new clause
		
Avoid Conflict of interest caused by the familiarity with the client
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
116
		
7.1.5                The CAB shall have a written procedure to confirm annually that every auditor is qualified and competent as described in Annex B and registered with the ASC as required. This procedure shall include: 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
117
		
a)     Regular performance evaluation of CAB personnel involved in the ASC conformity assessment activities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
118
		
b)     Yearly calibration sessions on auditing against the ASC standards and requirements to ensure consistent practice among auditors and other CAB personnel.
		
v2.2
		
clarification
		
Establish an evaluable timeframe and normative documents
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
119
		
c)     Record keeping of all training and calibration sessions including a record of the individuals that participated.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
120
		
7.1.6                Audit teams shall include an ASC lead auditor.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
121
		
7.1.7                Audit teams shall include member(s) that collectively have the following experience, expertise; language skills and cultural knowledge required to conduct an effective audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
122
		
7.1.7.1            Relevant knowledge of national and local laws that apply to the UoC being audited that includes but is not limited to:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
123
		
a)     Environmental laws;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
124
		
b)     Occupational health and safety laws;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
125
		
c)     Labour laws (both national and regional);
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
126
		
d)     Laws governing ownership and use of land and water;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
127
		
e)     Licenses and permits;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
128
		
f)      Knowledge of client’s operations regarding the wages and working time applicable to different types of UoC in different aquaculture systems;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
129
		
g)     Cultural knowledge of the region/location where the UoC is located and of existing differences in the kinds of workers employed (such as full-time, temporary, contracted and migrant workers);
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
130
		
h)     Applicable languages and dialects (both written and spoken) mostly by workers of the UoC;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
131
		
i)      Building codes and bylaws.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
132
		
7.1.7.2            Environmental science and technology, environmental management methods and aspects of operations that includes but is not limited to:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
133
		
a)     Knowledge and experience in the species or other subject of the standard being audited;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
134
		
b)     Environmental issues in the area of the operation;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
135
		
c)     The management of natural resources;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
136
		
d)     Environmental protection;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
137
		
e)     Environmental monitoring tools and technologies (i.e. GIS technologies);
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
138
		
f)      The interaction of the activities, products, services, and operations with the environment;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
139
		
g)     Sector specific terminology;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
140
		
h)     Environmental aspects and impacts;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
141
		
i)      Methods for evaluating the significance of environmental aspects;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
142
		
j)      Critical aspects of operational processes, products and services;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
143
		
k)     Monitoring and measurement techniques;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
144
		
l)      Technologies and methods for the prevention of pollution;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
145
		
m)   Social aspects of applicant operations and their surrounding communities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
146
		
7.1.7.3            When translation services are needed to conduct the audit, the CAB shall select interpreters that are independent of the client 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
147
		
7.1.7.4            The CAB shall have procedures to determine if potential interpreters are competent and skilled in interpretation from the national or local language into the operating language of the audit team. This shall include as a minimum:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
148
		
a)     Language certificate of the operating language of the audit team if it is not native to the interpreter.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
149
		
i.    The certificate shall be at least of level B2 according to the Common European Framework of Reference for Languages (CEFRL).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
150
		
ii.   The CAB may be exempted of this requirement (16.1.2.3.b.i) when the operating language of the audit team is English and if/when interpreters come from countries/regions ranked high or very high by the EF English Proficiency Index (EPI).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
151
		
iii.  Good understanding and experience of the translators with the subjects being translated.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
152
		
iv.  Detailed CVs of interpreters shall be kept on file by CABs.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
153
		
8.                        Conditions for suspensions and withdrawals
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
154
		
8.1                     If a CAB is suspended by the ASC appointed accreditation body, the CAB shall inform about the suspension to ASC and all the clients affected by the scope of suspension within five (5) days after the date of suspension decision.
		


		
new clause
		
Provide transparency for CHs certified under the scope of suspension
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
155
		
8.2                     Upon receipt of suspension notice from the CAB, the ASC will publish within five (5) days the CAB’s suspension status in its website.
		


		
new clause
		
Provide transparency for CHs and public
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
156
		
Part B – Operational Certification Requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
157
		
1.                        Scope
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
158
		
1.1                     Part B sets out requirements for CAB to use when auditing UoCs against ASC Standards and other requirements from the application phase to the certification decision. It also covers additional procedures such as transfer of certificates.
		
v2.2
		
clarification
		
Establish the processes under section B
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
159
		
2.                        Normative References
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
160
		
2.1                     The normative documents in Part A also apply to Part B
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
161
		
3.                        Terms and Definitions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
162
		
3.1                     All definitions are in Annex A.
		


		
new clause
		
Confirm location of definitions for section B
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
163
		
4.                        Information for Applicants
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
164
		
4.1                     The CAB’s application form shall, as minimum, request the following information from the applicant:
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
165
		
a)     Applicant legal entity name
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
166
		
b)     Contact information
		


		
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Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
167
		
c)     Site(s) address(es) and geographical coordinates (WGS 84 i.e 52.082478, 5.117676)
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
168
		
d)     Satellite images with site(s) polygons preferable in shape file, csv, kml or gpx formats.
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
169
		
e)     Species and applicable version of the ASC standard
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
170
		
f)      Activities included in the UoC such as stocking, nursing, husbandry, harvest, transport, processing or packing
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
171
		
g)     Application to partial certification, the reason for partial certification according to the definition in Annex A and the production units (ponds, cages, tanks, lines, etc.) excluded from the scope of certification.
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
172
		
h)     Declaration of open court cases related to environmental or social compliance violations or any fraudulent allegations.
		


		
new clause
		
Establish minimum information to perform an application review and scoping of the applicant.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
173
		
4.2                     The CAB shall send to applicants the documents or the respective ASC website links for:
		
v2.2
		
clarification
		
Include the submission of links to the ASC website as an option
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
174
		
a)     The most recent version of the applicable ASC standard(s);
		
v2.2
		
wording
		
"current" to "most recent"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
175
		
b)     The most recent version of the Requirements for the Unit of Certification;
		


		
new clause
		
To include the new ASC RUoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
176
		
c)     Audit preparation checklists issued by the ASC;
		


		
new clause
		
To assist the preparation of the applicant
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
177
		
d)     List of documents in “Desk Review (Client’s information/List of documents/CAB’s review)”
		


		
new clause
		
For preparation of social and group evaluation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
178
		
e)     Information about the use of the ASC logo and the Logo Licence Agreement
		
v2.2
		
wording
		
Summarize logo information in one clause
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
179
		
f)      A brief explanation of the certification process and related timelines.
		


		
new clause
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
180
		
4.3                     The CAB shall maintain a record identifying the document(s), including the version(s), sent to each applicant and certificate holder.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
181
		
4.4                     In cases where documents are translated for the convenience of the client, any differences between original documents and translated versions the original version will prevail.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
182
		
5.                        Due Diligence
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
183
		
5.1                     As part of the application review process the CAB shall complete documented due diligence, which includes the following subjects:
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
184
		
a)     Intersection with Protected Areas
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
185
		
b)     Potential Wetland and Mangrove conversion
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
186
		
c)Potential Connection to sensitive ecosystems (i.e seagrass meadows, wetlands, tubeworm mounds, bivalves beds)
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
187
		
d)     Introduction status of non-native species in the applicant’s country
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
188
		
e)     Open cases of violations to human rights reported by government outhorities..
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
189
		
f)      Incidents relative to environmental compliance reported by government authorities..
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
190
		
5.1.2                The CAB may use the ASC Online Mapping Tool to verify siting factors.
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
191
		
5.1.3                The CAB shall determine if is necessary to request more information from the applicant before continuing with the contract approval process.
		


		
new clause
		
To avoid future issues related with UoCs elegibility.
Please also answer Q3 in the survey.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
192
		
6.                        Unit of Certification (UoC)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
193
		
6.1                     The CAB shall define the scope of the UoC as follows:
		


		
new clause
		
To define clearly the characteristics of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
194
		
a)     Applicable ASC standard
		
v2.2
		
wording
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
195
		
b)     Applicable species, where relevant
		
v2.2
		
wording
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
196
		
c)     Sites including production sites, storage, processing and packing facilities 
		


		
new clause
		
To determine the additional activities which may be included in the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
197
		
d)     Activities undertaken by the UoC before the product changes ownership or is handled by any further certified chain of custody certificate holders. This includes but is not limited to: harvest, slaughtering, storage, transport, processing and packing.
		


		
new clause
		
To determine the additional activities which may be included in the UoC before is needed a certified CoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
198
		
6.2                     If processing and/or packing activities are within the scope of the UoC, the CAB shall require a separate chain of custody certification, unless: 
		


		
new clause
		
Applicability of CoC for processing activities within the UoC. Q&A 59
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
199
		
a)     Ownership does not change; AND
		


		
new clause
		
Applicability of CoC for processing activities within the UoC. Q&A 59
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
200
		
b)     Only ASC certified products from the UoC are handled; AND
		


		
new clause
		
Applicability of CoC for processing activities within the UoC. Q&A 59
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
201
		
c)     The transportation only occurs within the premises of the UoC, and
		


		
new clause
		
Applicability of CoC for processing activities within the UoC. Q&A 59
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
202
		
d)     Processing and/or packing facilities are at the same address where other activities of the UoC occur.
		


		
new clause
		
Applicability of CoC for processing activities within the UoC. Q&A 59
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
203
		
6.3                     The CAB shall evaluate all ASC relevant standard indicators and other requirements at all facilities within the scope of the UoC.
		


		
new clause
		
To establish the applicability of erequirments in all facilities
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
204
		
6.4                    The CAB shall not issue more than one valid ASC certificate at the same time for the same UoC, for the same ASC standard.
		
v2.2
		
wording
		
Changed "farm" and "site" to "UoC"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
205
		
6.4.1                The CAB may combine audits for more than one ASC standard for the same UoC.
		
v2.2
		
wording
		
Clarify that is applicable to the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
206
		
6.5                     The CAB shall define the UoC as either:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
207
		
6.5.1                A single site UoC having all of the following elements:
		
v2.2
		
wording
		
"operation" changed to "UoC"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
208
		
a)     The client is capable of signing a binding contract that is legally enforceable;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
209
		
b)     A single site, which has defined limits and may include multiple pens, cages, ponds, raceway systems or beds.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
210
		
6.5.2                A multi-site UoC having all of the following elements:
		
v2.2
		
wording
		
"client" changed to "UoC"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
211
		
a)     The client is responsible for compliance at all sites;
		


		
new clause
		
To establish the responsibility of the main office as CH
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
212
		
b)    The client is capable of signing a binding contract that is legally enforceable;
		


		
new clause
		
To require that the legal entity representing the multisite is able to sign a contract
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
213
		
c)     Consist of more than one site, each of which has clearly defined limits;
		


		
new clause
		
To establish the scope of a multisite UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
214
		
d)     The client is the only authorized to commercialize ASC certified products from all sites.
		


		
new clause
		
To handle all the ASC products under the same traceability system
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
215
		
6.5.2.1            The CAB shall define a multisite UoC as either:
		


		
new clause
		
To define multisites option 1 and 2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
216
		
a)     A multisite without internal management system (option 1) if the client decides that the CAB audits all individual sites in every audit.
		


		
new clause
		
To define the conditions for a multisite option 1
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
217
		
b)     A multisite with internal management system (option 2) if the client decides to be audited against applicable requirements for the internal management system specified in the ASC RUoC and sites sampled according to the requirements in Annex E.
		


		
new clause
		
To define the conditions for a multisite option 2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
218
		
6.5.3                A group UoC having all of the following elements:
		
v2.2
		
wording
		
To define group UoC conditions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
219
		
a)     The client representing all group members is capable of signing a binding contract that is legally enforceable;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
220
		
b)     Each member in the group operates either a single site or a multisite;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
221
		
c)     The client is the only authorized to commercialize ASC certified products;
		


		
new clause
		
To handle all the ASC products under the same traceability system
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
222
		
d)     A group management body (GMB) in charge of implementing and monitoring compliance against the requirements for Groups in the ASC RUoC and ASC applicable standard at all sites.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
223
		
1.1 A UoC can be eligible for partial certification for cases where a specific and identifiable batch(es) or production unit(s) do not comply with the ASC standard only in cases when:
		


		
new clause
		
To define the partial certification and situations where it is applicable.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
224
		
a) Exceeding antibiotic treatments permitted by the ASC standard.
		


		
new clause
		
To define the partial certification and situations where it is applicable.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
225
		
b) Using of non-compliant feed
		


		
new clause
		
To define the partial certification and situations where it is applicable.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
226
		
c) Use of seedlings suppliers not compliant with the seedlings suppliers principles
		


		
new clause
		
To define the partial certification and situations where it is applicable.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
227
		
7.                        Contract
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
228
		
7.1                     The CAB shall have a written contract with the client representing the UoC seeking certification.
		
v2.2
		
wording
		
Change "farm" to "client"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
229
		
7.2                     Prior to signing a contract, the CAB shall verify:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
230
		
7.2.1                That the applicant UoC is not already certified.
		
v2.2
		
wording
		
Change applicant to applicant UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
231
		
a)     If the applicant UoC is currently certified the CAB shall follow the certificate transfer requirements in Section 28.
		
v2.2
		
wording
		
Change applicant to applicant UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
232
		
7.2.2                That the applicant UoC has not had an ASC certificate withdrawn or has failed an ASC audit with another CAB within the previous twelve (12) months against the same ASC standard.
		
v2.2
		
clarification
		
Change applicant to applicant UoC and to clarify that the requirement is applicable when the failed audit was with another CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
233
		
7.3                     The contract shall be signed by the CAB and client prior to the announcement of the audit.
		


		
wording
		
Change "commmecement" to "announcement"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
234
		
7.4                     The contract shall include a copy of the CAB complaints procedure that includes information on when and how the ASC appointed accreditation body and the ASC may be engaged in case the complaint process escalates beyond the CAB authority. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
235
		
7.5                     The contract shall specify:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
236
		
7.5.1                The certification timeline, including reporting timeline as specified in the Annex C, that the CAB will meet.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
237
		
7.5.2                That ASC retains the right to change the ASC standards and certification requirements and that certification is conditional on conforming to new or revised standards and new or revised certification requirements within the timeframes established by the ASC.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
238
		
7.5.3                That the ASC shall have full access to all audit products including audit evidence, audit findings and audit reports including confidential annexes.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
239
		
7.5.4                That the client shall submit to the ASC, information related to its ASC certified production using the formats and tools provided by the ASC.
		


		
new clause
		
To establish a commitment ot share and submit information to ASC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
240
		
7.5.5      That the client shall allow ASC to process, publish UoC’s data and information collected from the certification process for the purpose of transparency as an integral part of the ASC certification programme.
		


		
new clause
		
To establish the right of ASC to conduct integrity visits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
241
		
7.5.6                That ASC, MSC and the ASC appointed accreditation body shall have the right to observe audits conducted by the CAB.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
242
		
7.5.7                That ASC shall have the right to visit the certificate holder site(s), including visits without prior notice for the purpose of integrity of ASC certification.
		


		
new clause
		
To establish the right of ASC to conduct integrity visits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
243
		
7.5.8                That the ASC appointed accreditation body shall have the right to conduct audits of the certificate holder, including unannounced audits, for the purpose of monitoring CAB conformity.
		


		
new clause
		
To establish the right of ASC to conduct integrity visits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
244
		
7.5.9                That ASC, MSC, ASC appointed accreditation body and the CAB shall have the right to collect seafood products samples or other supporting samples (e.g. water, feed, soil, sediment, sludge) to evaluate the UoC’s compliance. This sampling may be conducted unannounced during ASC audits or at any other time. Costs incurred in testing shall be covered by the client for samples taken by the CAB. 
		


		
new clause
		
To establish the right of ASC, MSC and Accreditation body to collect samples
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
245
		
7.5.10                That the CAB be informed of any previous ASC audits conducted within the previous 12 months by another CAB, appointed accreditation body or ASC.
		


		
clarification
		
To confirm the entities from which the reports may be originated
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
246
		
a)     The CAB shall be provided with audit reports.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
247
		
7.5.11             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 closing non-conformities, and relevant confidential information.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
248
		
7.5.12             That the client has the right to raise their concerns or object to any of the proposed audit team members.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
249
		
7.5.13             That the client has the responsibility to inform the CAB, within fifteen (15) days of any changes made UoC that may require oversight from the CAB. This can include but is not limited to:
		


		
new clause
		
Add a timeframe for notification
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
250
		
a)     Changes in species farmed
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
251
		
b)     Expansions or reduction of the production area
		


		
new clause
		
Additional change
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
252
		
c)     Relocation of production areas
		


		
new clause
		
Additional change
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
253
		
d)     Changes in the number of sites
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
254
		
e)     Changes that may impact the start of the chain of custody.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
255
		
f) Disease outbreaks
		


		
new clause
		
Additional change
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
256
		
7.5.14             That the client has the responsibility to inform the CAB within fifteen (15) days of the occurrence of self-detected non-conformances against ASC critical indicators and/or the following situation:
		


		
new clause
		
Timely self-declaration of non-conformities to avoid non-compliant product to be sold as ASC compliant
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
257
		
a)     Fatal workplace accidents 
		


		
new clause
		
Situation linked to critical non-conformities
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
258
		
b)     Legal compliance violations
		


		
new clause
		
Situation affecting farm operation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
259
		
c)     Administration of veterinary treatments to some or all production units (ponds, cages, pens, tanks, etc) or sites (multisite and group) that affects the compliance against the applicable ASC standard.
		


		
new clause
		
Timely declaration of non-conformities that may lead to the need of CoC or partial certification
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
260
		
d)     Escapes events that affect the compliance against the applicable ASC standard.
		


		
new clause
		
Situation wich affect program reputation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
261
		
e)     Endangered species or marine mammal mortalities.
		


		
new clause
		
Situation wich affect program reputation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
262
		
8.                        Audit Timing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
263
		
8.1                     The CAB shall not conduct an on-site audit until the client has submitted all required information and documentation, and that the CAB has completed the Desk Review (See 13.3).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
264
		
8.2                     The CAB shall conduct an initial on-site audit only when the site(s) has completed one of the following periods, whichever is less:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
265
		
a)     Been in operation no less than twelve (12) months; OR 
		


		
new clause
		
Change from 18 months to 12 considering shorter cycles for salmonids species
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
266
		
b)     Completed one harvest cycle; OR
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
267
		
c)     Reached 75% of the peak biomass for long cycle species.
		


		
new clause
		
Timeframe taken from ASC salmon standard
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
268
		
8.3                     The CAB shall schedule audits only when the facilities are in normal production or the species in the scope of the UoC is present on site:
		


		
new clause
		
To avoid audits with non-operative sites
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
269
		
a)     At least half of the production units are under operation for single site UoCs
		


		
new clause
		
To have an audit when the operations are representative of the farm
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
270
		
b)     As described in Annex E and F for Multisite and Group UoCs.
		


		
clarification
		
Multisite and Group certifiction may have their own conditions for audit timing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
271
		
8.4                     The CAB may conduct surveillance and recertification audits on single site UoCs without product on-site only if:
		


		
new clause
		
To align long cycle species where the site may be under fallowing during the surveillance audits. These periods could be as long as 12 months.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
272
		
a)     The site grows a long cycle species; AND
		


		
new clause
		
Applicability only for species having a cycle longer than 6 months
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
273
		
b)     The site is fallowing as required by local regulation; AND
		


		
new clause
		
Applicability for a fallowing period requested by authorities
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
274
		
c)     The previous audit was conducted with product on-site.
		


		
new clause
		
To avoid long periods of the farm being audited without product on site.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
275
		
8.5                     The CAB shall evaluate harvesting activities of the principle product to be audited as follows:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
276
		
a)     In every audit at sing site UoCs operating short cycle or continuous harvest sites at; OR
		


		
new clause
		
Traceability risks are higher for UoCs with frequent harvesting. This in line with Q&A 101
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
277
		
b)     At least once during the certification cycle for long cycle species at single site UoC; OR
		


		
new clause
		
Traceability risks are lower for UoCs with one harvest per production cycle. This is line with Q&A 101
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
278
		
c)     At least at one site for Multisite UoCs following the same harvesting procedures; OR
		


		
new clause
		
One site could be considered as a representative sample of harvest practices of the multisite entity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
279
		
d)     As described in Annex F for group UoCs.
		


		
new clause
		
Group certification has its own requirements. All audits shall include harvest of the producers harvesting during the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
280
		
8.5.2                If harvest is evaluated during the audit, the CAB shall:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
281
		
a)     Evaluate the harvest intended for commercialization (no trial or mock harvests); AND
		


		
new clause
		
To witness real situation harvest
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
282
		
b)     Evaluate transport and loading activities including subcontractors under the control of the UoC.
		


		
new clause
		
To evaluate transportation risk under UoC control
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
283
		
8.5.3                The CAB shall record in the audit report if harvesting activities were evaluated during the audit.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
284
		
8.5.4                If other species are included but not harvested at the same time, the CAB shall collect evidence of compliance for all species to be added to the certificate.
		
v2.2
		
wording
		
Changed "products" for "species".
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
285
		
8.6                     If product handling or processing is included in the activities of the UoC, the audit shall occur at the time that the handling or processing facilities are operating. 
		


		
clarification
		
To set the applicability for UoCs having processing in their activities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
286
		
9.                        Notice of audit
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
287
		
9.1                     The CAB shall use FORM 3 to inform the ASC and the ASC appointed accreditation body of planned audit dates no less than forty five (45) days prior to the audit. This includes scope extension audits adding sites, new species and production area extensions.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
288
		
9.1.1                For unannounced audits FORM 3 may be submitted to the ASC fewer than forty-five (45) days prior to the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
289
		
9.1.2                The CAB shall submit one FORM 3 for each UoC.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
290
		
9.1.3                ASC shall not publish FORM 3 prior to an unannounced audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
291
		
9.2                     The CAB shall provide updates to FORM 3 within seven (7) days of any changes to the information 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
292
		
9.2.1                If the changes are to occur before a planned audit, the changes shall be no less than ten (10) days before the audit is scheduled to begin.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
293
		
9.2.2                All changes will be clearly identified on the revised FORM 3.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
294
		
9.3                     The ASC should publish a public notice of the planned audit within five (5) days of receiving FORM 3.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
295
		
9.4                     The notice shall be in the local language(s) and English.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
296
		
9.5                     The CAB shall submit to the ASC all pending reports and relevant documentation of the previous audit before announce a new audit for the same UoC.
		


		
new clause
		
To avoid accumulation of audit processes without a public reports.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
297
		
9.6                     These requirements shall apply for all audits.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
298
		
10.                    Stakeholder Engagement
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
299
		
10.1                  The CAB shall maintain an up-to-date list of all stakeholders that are relevant to be contacted for their input per country and species.
		


		
clarification
		
To include country specific stakeholders.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
300
		
10.1.1             The CAB may make use of but shall not rely only on the stakeholder list provided by the client.
		


		
new clause
		
To have have a representative stakeholder engagement including entities not related with the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
301
		
10.2                  The CAB shall notify stakeholders that are relevant for the scope and objectives of the audit and invite their participation.
		


		
new clause
		
To confirm an active contact with the relevant stakeholders.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
302
		
10.2.1             The CAB may choose to notify none, some or all potential stakeholders and interested parties prior to an unannounced audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
303
		
10.2.2             Independent initial stakeholder consultation shall be performed at the initial planning stage, between Desk Review and on-site audit. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
304
		
10.2.3             This stakeholder consultation may be carried out remotely.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
305
		
10.2.4             In cases where the identified stakeholders are single entities or persons, the CAB shall maintain records of contact details and date of consultation with the stakeholder.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
306
		
10.3                  The CAB shall keep a list of all stakeholders and interested parties that indicate to the CAB an interest in making a submission to the audit team.
		


		
clarification
		
Applicability to stakeholders actively participating.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
307
		
10.4                  The CAB shall acknowledge receipt of all written submissions.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
308
		
10.4.1             Verbal submissions and how they have been addressed shall be clearly explained in the audit reports.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
309
		
10.5                  Prior to the publication of the draft audit report, the CAB shall respond in writing to each stakeholder and interested party to explain how their comments were addressed by the audit team.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
310
		
10.6                  The CAB shall have a mechanism that allows comments to be submitted at any time during the validity of the certificate, and that specifies how those comments are to be taken into consideration for the next coming audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
311
		
10.6.1             The CAB shall make sure that the mechanism is known to the public.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
312
		
10.6.2             The CAB shall retain all records related to stakeholder consultation of each audit for while being in contract with the client and for 3 years, as a minimum, after the CAB stops providing certification services to the client. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
313
		
11.                    Audit Preparation and Planning
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
314
		
11.1                  The CAB shall have completed a Desk Review before conducting each audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
315
		
11.2                  As a minimum, the CAB shall obtain the following:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
316
		
a)     Required information, documents and records submitted by the client as specified in the Desk Review Template (Annex G).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
317
		
i.     The CAB shall only accept submission of completed Client’s information sheet for review (Annex G) 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
318
		
b)     Impact assessments as required by the applicable ASC standard.
		


		
new clause
		
To have BEIAs and PSIAs in advance for timely evaluation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
319
		
c)     Data as required by the applicable ASC standard
		


		
new clause
		
To be able to evaluate performance data and optimize time during the onsite audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
320
		
d)     Copies of legal permits and licences.
		


		
new clause
		
To be able to evaluate legal documents that are ussually long and optimize time during the onsite audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
321
		
e)     Other information as deemed necessary for an effective Desk Review that may include preliminary study.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
322
		
11.3                  The CAB shall review and take into consideration all of the obtained information for Social Audit Risk Assessment and audit planning.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
323
		
11.3.1             Auditors shall review a map/layout/drawing of the facility to be audited and all areas that are a part of the audit scope to determine distance and travel time between different locations under the scope.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
324
		
11.4                  The CAB shall conduct a Social Audit Risk Assessment for each audit using the tool provided in Annex H when developing the audit plan and assigning an audit team.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
325
		
11.5                  CAB shall ensure that before the end of the audit planning phase the applicant receives the following written information:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
326
		
11.5.1             Expected scope of audit, that includes as a minimum:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
327
		
a)     (Name of) production/processing site(s)/feed mill(s) and places (e.g. workers’ living quarter) to be audited 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
328
		
b)     Processes, functional departments
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
329
		
c)     Shift(s) at the sites, if applicable
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
330
		
11.5.2             Draft work schedule that includes:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
331
		
a)     The date(s) and site(s) where the on-site audit activities will be conducted, including visits to storage and processing facilities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
332
		
b)     The date(s), site(s) and activities that will be audited off-site (remote) as described in section 16.
		


		
new clause
		
To have detailed information of remote auditing activities
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
333
		
c)     Approximate time (in hours and/or days) for each audit activity segregated in desk review, off-site activities and on-site activities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
334
		
d)     Expected number of management and worker interviews.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
335
		
11.5.3             Names and affiliations of proposed audit team members
		


		
clarification
		
To clarify applicability to audit team members
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
336
		
11.5.4             Sufficient information about the audit process so that the applicant can make proper preparations for the audit. This shall include:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
337
		
a)     A summary list of the objective evidence, including actual performance data that may be required by the audit team
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
338
		
b)     An explanation of the requirement(s) for and process of stakeholder consultation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
339
		
11.6                  The CAB shall have a documented procedure for dealing with an applicant’s concern about a member of the audit team proposed to carry out the audit; this procedure shall include the following elements:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
340
		
a)     Consider the merits of each concern raised by an applicant
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
341
		
b)     Take appropriate action(s), which may include leaving the audit team unchanged if warranted
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
342
		
c)     Maintain records of the justification for its action(s).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
343
		
11.7                  The final audit plan shall be included as an annex in the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
344
		
12.                    Audit duration
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
345
		
12.1                  The CAB shall determine the minimum planned duration of the audit, taking into account, when applicable, evaluation of traceability risks and eligibility to enter further chain of custody.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
346
		
12.2                  The CAB shall record this determination and the justification for it in the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
347
		
12.2.1             The following factors may be considered, as the minimum, for determining duration of an audit:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
348
		
a)     Desk Review time is accounted for in the total audit duration;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
349
		
b)     Initial audit preparation takes into account audit planning, stakeholder consultation and preliminary study;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
350
		
c)     The time spent by any team member that is not assigned as an auditor (i.e. technical experts, translators, interpreters) shall necessitate additional time;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
351
		
d)     The time spent for familiarisation with all required information under 16.1.2 for auditor(s) performing audits in countries they do not belong to;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
352
		
e)     The time spent for the activities during the on-site audit;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
353
		
f)      The time spent for other activities (e.g. reporting, traveling, closing non-conformities) as deemed necessary.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
354
		
13.                    Audit methodology
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
355
		
13.1                  The ASC audit shall use the ASC Audit Manual as guidance for the standard(s) for which the client is being audited.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
356
		
13.2                  ASC reserves the right request the CABs to use its own audit tools and methodology for the ASC aquaculture audits covering areas not specified in this document.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
357
		
13.3                  The CAB shall conduct a Desk Review (Annex G) based on information and documents provided by the client to inform its Social Audit Risk Assessment (Annex H) and audit planning prior to the on-site audit (see 7.2.0).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
358
		
13.4                  The CAB shall consider outcomes of the Desk Review and Social Audit Risk Assessment to determine audit effort for each type of UoC. This includes (but is not limited to):
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
359
		
13.4.1             Number of worker interviews, and types (individually or in group).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
360
		
a)     The number of interviews with management and staff functions shall come in addition to the number of worker interviews calculated in the Social Audit Risk Assessment tool. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
361
		
13.4.2             Visit to relevant local stakeholders to corroborate evidence, if necessary.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
362
		
13.4.3             Visit to workers’ living quarter if provided to workers.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
363
		
13.5                  The CAB shall evaluate all the activities and facilities included in the scope of the UoC in the initial audit.
		


		
new clause
		
To  assure the accessibility to the CAB to all facilities
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
364
		
13.6                  The CAB shall follow annex E and F requirements to audit Multisite and Group UoCs
		


		
clarification
		
To confirm audit methodologies for Multisites and groups
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
365
		
14.                    Audit methodology of social requirements
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
366
		
14.1                  The CAB’s auditors shall follow processes as described in the latest version of ISO 17021-1 related to conducting audits (section 9.4 in ISO 17021-1: 2015).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
367
		
14.2                   In addition to 17.18.1, the following shall be implemented by the audit team:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
368
		
14.3                  Opening meeting:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
369
		
a)       The auditors shall invite senior management of the UoC and key relevant personnel, including workers and/or trade union representatives to attend the opening meeting;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
370
		
b)        Attendance shall be documented for all those present at the opening meeting;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
371
		
c)       The auditors shall state that: 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
372
		
i          Worker interviews shall be conducted in a private place, individually and/or in groups.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
373
		
ii         The place shall be determined by the auditor(s) during the course of the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
374
		
iii        Interviewed workers shall not be discriminated against or be put in an unfavourable position for taking part in interviews irrespective of the nature of their job.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
375
		
iv       The auditor may consider additional worker interviews, if necessary, after review of records;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
376
		
v        To provide additional confidence and a method of communication, workers shall be provided with contact information of the CAB and the ASC, and this contact information shall not be taken back from workers by the UoC after the audit;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
377
		
vi       Management, supervisory and clerical staff may not attend those workers’ interviews.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
378
		
d)       The auditors shall inform that audit evidence by way of documents, records, pictures and other multimedia means will be taken during the audit and that these will relate solely to requirements of the applicable standard and other relevant requirements;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
379
		
e)       The auditors shall confirm if there are any changes to information, list of documents submitted by the client for Desk Review and scope of the audit, and reconfirm all documents that will be verified during the audit;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
380
		
f)        The auditors shall determine if there are sub-contractor workers at the site(s) within the scope of the audit or certification, and if so: the number of such workers and the work being performed on the day of the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
381
		
14.4                  Walkthrough and visit to working areas and facilities within the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
382
		
c)      Auditors shall follow the guidance in the latest version of ISO 19011 regarding visiting the client’s location.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
383
		
d)     Auditors shall review travel arrangements and make necessary adjustments to the audit plan on the basis of availability of transport to ensure full audit coverage within the assigned audit time.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
384
		
e)     The visit and walkthrough shall include all work areas irrespective of the presence of workers in the area on the day of the audit, living quarters, on-site hospital/clinic, kitchens, dining areas (if provided), the perimeters of production and processing units, common toilets, common areas like on-site grocery stores, prayer halls and any other areas as appropriate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
385
		
f)       During the visit and walkthrough, auditors shall:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
386
		
i.     Identify potential workers that they will speak to later;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
387
		
ii.    Identify all hazards and potentially dangerous areas of work;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
388
		
iii.  If possible, collect information (e.g. pictures of notices) to later corroborate information provided prior and/or during the audit;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
389
		
iv.  Distribute the CAB, ASI and ASC contact information to workers that they speak to so that workers may communicate with those organisations at any time.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
390
		
g)     The visit and walkthrough shall be implemented for every on-site audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
391
		
14.5                  Document and records review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
392
		
a)      When drawing samples for records review, the auditor shall consider:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
393
		
                                                   i.    Different types of workers (full time, contractual, seasonal, migrants);
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
394
		
                                                 ii.    Different types of payment methods (hourly rate, piece rate, monthly rate) as appropriate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
395
		
b)      Auditing of personal records (e.g. time sheet and pay records) shall be based on risk and the sampling plan as outlined in the Social Audit Risk Assessment Annex H.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
396
		
c)      For each interviewed worker, his/her personal records and related documents shall be reviewed.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
397
		
d)      Personal information and records shall only be reviewed on-site, unless allowed by legislation of countries of parties involved – the client and the CAB.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
398
		
e)      Other documents as deemed necessary at auditor’s discretion.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
399
		
14.6                  Conducting interviews
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
400
		
a)      The CAB shall follow the guidance in the latest version of ISO 19011 as regards to conducting interviews
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
401
		
b)      The CAB shall have and implement procedures for deciding how much time to allocate for interviews, depending on types of UoC, issues being audited, types of interview (group/individual) and place(s) where the interviews are to take place.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
402
		
                                               i.    It is a common practice to allocate 15 minutes for individual interviews and 30 minutes for group interviews.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
403
		
c)      Auditors shall interview as a minimum the following functions:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
404
		
                                              i.     Senior management of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
405
		
                                             ii.     Worker and/or trade union representative(s)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
406
		
                                            iii.     Workers:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
407
		
A.    Number of worker interviews is calculated using the Social Audit Risk Assessment calculator (Annex G)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
408
		
B.    Auditors shall stratify worker interviews based on their tasks and background (gender, type of work – permanent/temporary, type of labour – migrant, and the likes)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
409
		
C.    Number of worker interviews, justification for stratification shall be documented in the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
410
		
                                            iv.    Other relevant personnel playing a role in implementing ASC social requirements in the standard (e.g. in the area of health & safety human resources, finance, etc.).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
411
		
d) Auditors shall develop a list of relevant topics for interviewing each function based on results of Desk Review.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
412
		
e)Auditors shall use professional judgement, common sense knowledge and experience to take the decision, which may be taken on the spot, regarding approach to conducting interviews (individual or group).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
413
		
f) Auditors shall use appropriate skills to ensure confidentiality while speaking to workers during the visit and walkthrough and at workplaces.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
414
		
g) The CAB shall maintain records of all interviews during an audit as part of audit evidence.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
415
		
h) All personal worker interviews shall usually take place on-site; however 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
416
		
i.    Off-site interviews shall take place if or when there is a perceived threat or pressure to workers by any party for providing information or there is a lack of a location at the audit site that allows workers to speak confidentially.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
417
		
i) All worker interviews shall take place in a quiet, private area away from management offices and without the presence of management representatives or those in supervisory roles.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
418
		
j) Casual interviews shall also take place during the physical tour of the workplace, during meal and rest breaks
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
419
		
k) Interviews may be conducted in the presence of a trade union member, with the permission of the worker, and if the CAB auditor feels worker/s is/are comfortable with this arrangement.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
420
		
14.7                  Closing meeting
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
421
		
a)     A pre-closing meeting with the management may be held for the purpose of:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
422
		
i.     Discussing audit findings and clarifying any divergent views or opinions;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
423
		
ii.   Reviewing any information the UoC may provide to demonstrate conformance with the ASC Standard;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
424
		
iii.  Avoiding differences of opinion that may lead to the UoC contesting audit findings at the closing meeting;
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
425
		
iv.  Saving time at the closing meeting where only key findings, opportunities for improvement, best practices and other matters are discussed.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
426
		
b)     The closing meeting shall be attended by senior management of the UoC and personnel responsible for time and pay records, those responsible for meeting health safety and environment requirements, human resources and administration, those responsible for key functions and workers and/or trade union representatives. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
427
		
i.     If senior management is not available for the closing meeting this shall be documented in the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
428
		
ii.   Attendance shall be recorded for all those present at the closing meeting.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
429
		
c)     The result of the audit shall be communicated in a language understood by those present and, if necessary, translated into a language spoken by workers’ representatives / trade union members.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
430
		
d)     Depending on the result of the audit and the type of non-conformities raised (if any), auditors shall inform the 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
431
		
e)      of follow up activities as appropriate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
432
		
f)      Auditors shall remind the client of timelines they need to meet for providing and implementing root cause analysis and corrective actions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
433
		
g)     A copy of non-conformities that were raised shall be provided to the UoC.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
434
		
15.                    Sampling and testing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
435
		
15.1                  Sampling and testing Antibiotics and banned veterinary substances
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
436
		
15.1.1             The ASC may request CABs to collect seafood or other substances during ASC audits to verify a UoC’s compliance against the ASC standards.
		


		
new clause
		
To establish ASC right to request CABs sampling at UoCs.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
437
		
15.1.2             The CAB may decide to collect additional samples according to the observations and evidence collected during on-site audits.
		


		
new clause
		
To establish the CAB's right to take samples during audits.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
438
		
15.2                  The CAB shall make all the necessary arrangements to collect and deliver samples according to the ASC specified procedures.
		


		
new clause
		
ASC will provide sampling procedures and selected labs to take samples.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
439
		
15.3                  The CAB auditor shall decide from which batches, production units or sites the samples will be taken.
		


		
new clause
		
To establish that the CAB determines the production units to take the samples without clients interference.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
440
		
15.3.1 Any of the following criteria may be considered fto inform this decision:
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
441
		
a) Random sampling
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
442
		
b) Based on observations and evidence collected
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
443
		
c) Mortality records
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
444
		
d) Production stage
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
445
		
e) Professional experience
		


		
new clause
		
To provide guidance on the possible considerations to decide where to take samples. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
446
		
15.4 The CAB auditor shall manage sample conditions as follows:
		


		
new clause
		
To detail requirments on sample handling and traceability integrity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
447
		
15.4.1 Only samples from the same production stage of the same site may be composited.
		


		
new clause
		
To detail requirments on sample handling and traceability integrity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
448
		
15.4.2 Samples from a maximum of 3 batches or production units of the same site may be composited.
		


		
new clause
		
To detail requirments on sample handling and traceability integrity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
449
		
15.4.3 Use of traceable seals or tamper proof bags shall be used to maintain the integrity of the samples.
		


		
new clause
		
To detail requirments on sample handling and traceability integrity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
450
		
15.4.4 Duplicates of each sample should be prepared for confirming results if needed.
		


		
new clause
		
To detail requirments on sample handling and traceability integrity.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
451
		
15.5 Sign off sample forms shall be used confirming the following information:
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
452
		
a) Sample identification and seals number
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
453
		
b) Type of sample, production units and approximate weight
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
454
		
c) Substances to be tested
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
455
		
d) Date and time of collection
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
456
		
e) Date, time and place of dispatch/delivery.
		


		
new clause
		
To specify minimum sample information for identification and traceability.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
457
		
15.6 The CAB shall record in the audit report the following information: 
		


		
new clause
		
To inlcude sample activity outcome to the audit report 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
458
		
a) If a sample was taken during the audit
		


		
new clause
		
To inlcude sample activity outcome to the audit report 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
459
		
b) Justification for sampling
		


		
new clause
		
To inlcude sample activity outcome to the audit report 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
460
		
c) Whether sampling was announced or unannounced
		


		
new clause
		
To inlcude sample activity outcome to the audit report 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
461
		
d) A copy of the sample form.
		


		
new clause
		
To inlcude sample activity outcome to the audit report 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
462
		
15.7 The client may decide to test the duplicate sample in case of positive residues results. In this case the CAB shall:
		


		
new clause
		
To establish requirments in case that the sample result is appealed by the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
463
		
a) Request the testing of duplicate sample by the same laboratory for the positive parameters detected in the previous test
		


		
new clause
		
To establish requirments in case that the sample result is appealed by the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
464
		
b) If the second test results are negative, a third test for the initial positively detected parameters by another ASC listed laboratory in the same country.
		


		
new clause
		
To establish requirments in case that the sample result is appealed by the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
465
		
16.                    Remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
466
		
16.1                  The CAB shall follow the ISO 9001 Auditing Practices Group Guidance on: REMOTE AUDITS (Edition 1 16-04-2020 or the most current version at the time of the audit) when conducting remote audits or remote evidence collection.
		


		
new clause
		
Normative document to conduct remote audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
467
		
16.1.1             The CAB shall conduct a feasibility and risk analysis as described in this document before carrying out remote audits or remote evidence collection.
		


		
new clause
		
To determine wich clients are elegible for a remote audit
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
468
		
16.2                  The CAB may collect evidence remotely to:
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
469
		
a) Complement on-site audits.
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
470
		
b) Witness harvest activities for long cycle species.
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
471
		
c) Interview management staff
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
472
		
d) Review data, documents and records
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
473
		
e) Conduct site tours
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
474
		
d) Review video recording or photographs (i.e. sampling activities)
		


		
new clause
		
To establish activities which can be audited remotely
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
475
		
16.2.1             Data, documents and records reviews (15.2.d) and management interviews (15.2.c) may be performed remotely in any audit as part of the evidence collection.
		


		
new clause
		
To establish which remote evidence can be collected in all audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
476
		
16.3                  The CAB shall not collect evidence remotely for social indicators which require workers or stakeholders interviews.
		


		
new clause
		
Workers interviews are excluded to be conducted remote because of the lack of control of the interview environment from the auditor
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
477
		
16.4                  The CAB shall only conduct fully remote audits for:
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
478
		
a) Surveillance audits in countries categorized as LOW and MEDIUM risk in the ASC Country Social Index (published by ASC); OR 
		


		
new clause
		
As social evaluation is sensitive to be conducted remotely, is only applicable for low and medium risk situations. ASC has included external and internal social (country social NCs history) risk factors to have a ciuntri risk category.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
479
		
b) Surveillance audits when product is not present on-site for longer cycle species; AND
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
480
		
c) At single site UoCs
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
481
		
16.4.1  CABs shall not conduct fully remote audits where:
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
482
		
a) The certificate holder is suspended; OR
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
483
		
b) The audit is an initial or recertification audit; OR
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
484
		
c) The previous audit was a fully remote audit; OR
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
485
		
d) The certificate holder received more than 5 major NCs in the previous audit.
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
486
		
16.4.2             CABs shall not conduct two consecutive fully remote audits.
		


		
new clause
		
To establish exclusions for remote auditing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
487
		
16.5                  Auditors conducting remote audits or evidence collection shall be trained by the CAB on how to collect evidence remotely as described in ISO 19011:2018.
		


		
new clause
		
To establish a training baseline for auditors conducting remote audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
488
		
16.6                  Fully remote audits shall be conducted by lead auditors who conducted the previous ASC on-site audit at the same UoCs. This does not include the audits witnessed for initial qualification.
		


		
new clause
		
To establish a experience baseline for auditors conducting remote audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
489
		
16.7                  The CAB shall follow the requirements of IAF MD 4:2018, IAF Mandatory Document for the use of Information and Communication Technology (ICT) for auditing/assessment purposes
		


		
new clause
		
IAF MD 4:2018 is the reference for select and apply information and cmmunication technologies for remote audits. This document is also referenced for conducting remote audits during travel restrictions caused by COVID-19
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
490
		
16.8                  The CAB shall evaluate clients’ and their own local legislation and regulations related to confidentiality, security and data protection which may require additional agreements from both sides because of the use of ICTs.
		


		
new clause
		
To consider additional agreements to protect confidentiality and data use
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
491
		
16.8.1             The CAB shall record this evaluation and determination on the need of additional agreements.
		


		
new clause
		
To consider additional agreements to protect confidentiality and data use
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
492
		
16.9                  The CAB shall test the ICTs selected for the remote audits in advance of the audit.
		


		
new clause
		
To assure that the remote audit will be conducted as expected by reliable means
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
493
		
16.9.1             The CAB shall record the ICTs tests results and determination to continue or not with the remote audit.
		


		
new clause
		
To assure that the remote audit will be conducted as expected by reliable means
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
494
		
16.10              Evidence collected in the way of videos, photographs, live streaming shall be verifiable to belong to the UoC evaluated remotely.
		


		
new clause
		
To verify tat the evidence belong to the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
495
		
17.                    Audit Evidence
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
496
		
17.1                  Audit evidence relevant to the audit objectives, scope and criteria, including information relating to interfaces between functions, activities and processes shall be collected by appropriate sampling and shall be verified.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
497
		
17.2                  Only information that is verifiable may be considered as audit evidence.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
498
		
17.3                  Audit evidence may be in the form of pictures, multimedia, notes, and other means.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
499
		
17.4                  The CAB shall record the type of audit evidence evaluated for each ASC standard indicator and applicable ASC requirements in the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
500
		
17.5                  The CAB shall retain audit evidence for the entire period that the client is certified by the CAB and minimum one (1) year after the certification contract is terminated.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
501
		
18.                    Audit Findings
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
502
		
18.1                  Auditors shall evaluate audit evidence to determine if the UoC is in conformance or not against each ASC standards indicator and applicable ASC Requirements for UoC.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
503
		
18.2                  The CAB shall grade non-conformities as minor, major or critical according to the definitions in Annex A and clearly justify the grading in the audit report.
		


		
clarification
		
To clarify that the decision on grading shall be based on NCs definitions and recorded on the audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
504
		
18.3                  Requirements for all non-conformities
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
505
		
18.3.1             The CAB shall set the non-conformity detection date as the date of the closing meeting when the non-conformity is reported to the client.
		


		
clarification
		
To clarify the starting point for NCs timeframes
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
506
		
a)     In case new evidence emerges after the completion of an audit, the CAB shall clearly describe the circumstances of the new evidence in the audit report.
		


		
new clause
		
To include in evidence raised in between audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
507
		
b)     Changes in grading non-conformities after the closing meeting shall not alter the detection date.
		


		
new clause
		
To confirm that the initial detection date is the effective one even if are grading changes effective after the technical review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
508
		
18.3.2             Critical and major non-conformities shall not be downgraded.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
509
		
18.3.3             The CAB shall provide information to the client of the next steps to close non-conformities if the client decides to continue the certification.
		


		
new clause
		
To have clear instructons for clients in relation to NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
510
		
18.3.3.1        The CAB shall classify an initial audit, if already performed, as failed if an applicant decides to not continue the certification process.
		


		
new clause
		
To establish the audit status in case the client does not want to close the NCs after an initial audit
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
511
		
18.3.3.2        During the period of validity of a certificate the CAB shall cancel the certificate if a certificate holder decides to not continue the certification process.
		
v2.2
		
new clause
		
To establish the certification status in case the client does not want to close the NCs during the certificate validity
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
512
		
18.3.3.3        In both cases the CAB shall submit Form 5 to the ASC within ten (10) days from the decision.
		


		
clarification
		
To include the use of Form 5 for "failed audit" status 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
513
		
18.3.4             For each non-conformity the CAB shall request and agree with the client about:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
514
		
a)     a root cause analysis
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
515
		
b)     an action plan with corrections and corrective actions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
516
		
c)     the corrective actions shall address the root cause
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
517
		
18.3.5             The root cause analysis and corrective action plan shall be included in the draft audit reports.
		


		
new clause
		
Reporting requirment from Q&A 17
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
518
		
18.3.6             The CAB shall close non-conformities if there is sufficient objective evidence showing: 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
519
		
a)     effective implementation of the corrections
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
520
		
b)     effective implementation of the corrective actions addressing the root cause
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
521
		
18.3.7             The CAB shall record in final audit reports the actions taken by the client and the evidence received to close or extend a non-conformity.
		
v2.2
		
clarification
		
To establish the reporting requirments for NC closure and extensions provideng evidence and rationale of the action taken.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
522
		
18.3.8             The CAB shall record in the next audit report the actions taken by the client and the evidence received to close extended non-conformities.
		


		
clarification
		
To establish the reporting requirment of closure of open NCs during the next audit
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
523
		
18.4                  Minor non-conformities
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
524
		
18.4.1             Minor non-conformities can be extended once for a maximum period of 12 months after the detection date if the CAB has received sufficient objective evidence that demonstrates that:
		


		
wording
		
To confirm the starting date to count extension timeframes
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
525
		
a)     The time needed to execute the action plan requires a longer deadline due to circumstances related to the species production cycle; OR
		
v2.2
		
new clause
		
To include as justification for extensions situation where compliance is not possible because is linked to the production cycle
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
526
		
b)     Conformity was not possible due to circumstances beyond the control of the client.
		


		
wording
		
Simplify the justification for an extension
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
527
		
18.4.2             The CAB shall classify an initial audit as failed if minor non-conformities are not closed or extended within three (3) months from the date of detection.
		


		
new clause
		
To establish the action to take in case of no closure or extension of minor NCs during initial audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
528
		
18.4.3             For minor non-conformities detected during the period of validity of a certificate:
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
529
		
18.4.3.1       The CAB shall upgrade a minor non conformity to major non-conformity if not closed or extended within three (3) months from the date of detection.
		


		
clarification
		
To clarify the actions to take in case of minor NCs not closed or extended during the validity of a certificate
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
530
		
18.4.4             The CAB shall upgrade a minor non-conformity to a major non-conformity where minor non-conformities are repeatedly raised against a particular indicator. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
531
		
18.5                  Major non-conformities
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
532
		
18.5.1             The CAB shall classify an initial audit as failed audit if major non-conformities are not closed within three (3) months from the detection date.
		


		
clarification
		
To clarify the actions of major NCs are not closed in the specified timeframe
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
533
		
18.5.2             For major non-conformities detected during the period of validity of a certificate:
		
v.2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
534
		
18.5.2.1       The CAB shall suspend the certificate if not closed or extended within three (3) months from the date of defection.
		
v2.2
		
wording
		
To confirm actions for not closed major NCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
535
		
18.5.2.2       Major non-conformities may be extended once for a maximum period of six (6) months after the detection date if the CAB has received sufficient objective evidence that demonstrates that:
		


		
clarification
		
To establish the initial date for extensions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
536
		
i.     The time needed to execute the action plan requires a longer period of time due to circumstances related to the species production cycle; OR
		
v2.2
		
new clause
		
To include as justification for extensions situation where compliance is not possible because is linked to the production cycle
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
537
		
ii.   Conformity was not possible due to circumstances beyond the control of the client.
		


		
wording
		
Simplify the justification for an extension
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
538
		
18.6                 Critical non-conformity 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
539
		
18.6.1             The CAB shall issue a critical non-conformity when either
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
540
		
a)     Workers’ lives are evidently at risk, or
		


		
new clause
		
To establish situtions to raise a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
541
		
b)     A critical indicator specified in the ASC standard or ASC RUoC is not met.
		


		
new clause
		
To establish situtions to raise a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
542
		
c)     A banned substance or veterinary medicine not allowed to be used by the applicable ASC standard was detected in samples taken by the ASC, MSC, ASC appointed accreditation body or the CAB.
		


		
new clause
		
To establish situtions to raise a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
543
		
18.6.2             The CAB shall require that critical non-conformities shall be satisfactorily addressed by the client:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
544
		
a)     Prior to certification being granted;
		


		
new clause
		
To establish conditions for critical NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
545
		
b)     Within one (1) month of the detection date or a full re-audit shall be required;
		


		
new clause
		
To establish conditions for critical NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
546
		
c)     That the root cause of the non-conformity is identified and addressed.
		


		
new clause
		
To establish conditions for critical NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
547
		
18.6.3             The CAB shall conduct an on-site visit to close the critical non-conformity.
		


		
new clause
		
To establish conditions for critical NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
548
		
18.6.4             The decision, justification and conclusion shall be made clear in the audit reports.
		


		
new clause
		
To establish conditions for critical NC closure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
549
		
18.6.5             In the case of a critical non-conformity raised during the period of validity of a certificate, the CAB shall:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
550
		
a)     Suspend the certificate at the end of the audit;
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
551
		
b)     Close the critical non-conformity within a maximum of one (1) month of the detection date. This shall include:
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
552
		
i.     Acceptance of root cause analysis (RCA) and corrective actions based on the RCA submitted by the unit of certification; 
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
553
		
ii.   Verification of corrective actions implemented by the UoC:
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
554
		
A.  On-site verification as deemed necessary;
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
555
		
B.  Conformity can be demonstrated.
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
556
		
c)     Withdraw the certificate if the critical non-conformity is not closed on completion of the one (1) month period.
		


		
new clause
		
To establish actions in case of non closure of critical NCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
557
		
i.     An extension of 15 calendar days shall be granted to close out the critical non-conformity in exceptional cases;
		


		
new clause
		
To establish conditions of critical NCs extensions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
558
		
ii.   Extension of time and justification to close critical non-conformities shall be documented in the audit report.
		


		
new clause
		
To establish actions in case of a critical NC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
559
		
19.                    Traceability
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
560
		
19.1                  The CAB shall determine the activities covered by the scope of the UoC until the ownership or physical possession of the certified products is transferred. This may include but is not limited to:
		


		
new clause
		
This section replace the determination to need a CoC for a farm. This section has auditable elements of the traceability systems to wich NCs can be raised. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
561
		
a)     Stocking
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
562
		
b)     Nursing
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
563
		
c)     Out-growing
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
564
		
d)     Transferring
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
565
		
e)     Harvest
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
566
		
f)      Transportation
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
567
		
g)     Storage
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
568
		
h)     Processing
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
569
		
i)      Packing
		


		
new clause
		
Activity under the scope of the UoC
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
570
		
19.2                  The CAB shall determine:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
571
		
a)     If a traceability system is in place 
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
572
		
b)     What risks of mixing and substitution have been identified and how to address those risks
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
573
		
c)     How identification and segregation of certified from non-certified product at each applicable stage of the production cycle are implemented
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
574
		
d)     If records are adequate to allow for tracing products back to the stocking day at the UoC
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
575
		
e)     Who within the UoC are trained on UoC’s traceability system
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
576
		
f)      What happens when products are mixed.
		


		
new clause
		
To Establish the ellemnts of the traceability system to be evaluated by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
577
		
19.3 The CAB shall conduct traceability tests as follows:
		


		
new clause
		
To evaluate the systems in place in clause 19.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
578
		
a) Using the ASC template
		


		
new clause
		
To evaluate the systems in place in clause 19.3
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
579
		
b) To a representative sample of batches sold by the UoC including certified and non-certified products, if applicable. 
		


		
new clause
		
To evaluate the systems in place in clause 19.4
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
580
		
19.3.1             The CAB shall consider:
		


		
new clause
		
To evaluate the systems in place in clause 19.5
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
581
		
i.     the flow of certified product within the operation from stocking to sale.
		


		
new clause
		
To evaluate the systems in place in clause 19.6
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
582
		
ii.   traceability documentation at each stage of production (stocking, nursing, grow-out, transferring between production units, harvest, transport, storage, or processing activities under the scope of the UoC.
		


		
new clause
		
To evaluate the systems in place in clause 19.7
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
583
		
iii. Production records of certified product and how product can be linked from each document (e.g. through batch codes, lot codes, etc.).
		


		
new clause
		
To evaluate the systems in place in clause 19.8
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
584
		
iv.  If harvest is evaluated during the audit, the CAB shall select the harvested batch as part of the sample for traceability tests.
		


		
new clause
		
To evaluate the systems in place in clause 19.9
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
585
		
19.4                  The CAB shall conduct and record input – output exercise of representative sampled batches sold by the UoC including certified and not certified products if applicable. 
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
586
		
19.4.1The input – output exercise shall consider:
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
587
		
a)     Stocked animals
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
588
		
b)     Mortalities collection if applicable
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
589
		
c)     Survival rate
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
590
		
d)     Feed conversion ratio
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
591
		
e)     Escapes
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
592
		
f)      Harvested biomass
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
593
		
g)     Inputs – outputs and conversion ratios for processing and packing if applicable.
		


		
new clause
		
To evaluate the consitency of production information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
594
		
19.5                  The CAB shall document in the Confidential Annex of the audit report the actual production and sold (as certified and non-certified) volumes per harvest or crop of the previous calendar year by the UoC.  
		


		
new clause
		
To report to ASC the certified products sales
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
595
		
19.5.1             The CAB shall determine in the audit report whether or not the traceability system is sufficient to ensure all products identified and sold as certified are eligible to enter further certified chains of custody.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
596
		
19.5.1.1        In case a traceability test or input-output exercise fails, or lack of data to perform those tests, the CAB shall raise a major non-conformity against the traceability requirements following the timelines in section 18.
		


		
new clause
		
To establish action in case traceability test are not successful
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
597
		
a)     The CAB shall determine and inform the client that any product harvested from the detection date of a major non-conformity on traceability, is not eligible to be sold as certified and is not allowed to enter further certified chain of custody.
		


		
new clause
		
To establish conditions for products while a major NC related to traceability is open
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
598
		
19.6                  If the CAB has determined that the traceability systems are sufficient to allow products to enter chain of custody, the CAB shall record:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
599
		
a)     The intended point of first sale.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
600
		
b)     The point from which chain of custody is required to begin.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
601
		
20.                    Audit Reports and Review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
602
		
20.1                  ASC audit reports shall follow the format and requirements of the ASC audit Report Template.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
603
		
20.2                  Each audit report, draft and final, shall receive a technical review that shall meet the following:
		


		
new clause
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
604
		
20.2.1             Shall be conducted by a fully qualified ASC lead auditor who was not involved in the audit 
		


		
new clause
		
To establish qualifications for technical reviewers
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
605
		
20.2.2             Shall be conducted before the report is submitted to ASC for publishing
		


		
new clause
		
To assure that all ASC reports are technically reviwed before publishing
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
606
		
20.2.3             Ensuring that each section of the report is complete and includes all the information required.
		


		
new clause
		
To establish elements of the technical review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
607
		
a)     Review of each non-conformity to ensure that the grading is justified by the evidence presented.
		


		
new clause
		
To establish elements of the technical review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
608
		
b)     Review the action plans and actions taken to close non-conformities
		


		
new clause
		
To establish elements of the technical review
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
609
		
20.3                  The lead auditor shall address all issues of concern raised by the technical reviewer.
		


		
new clause
		
To establish interactions between technical reviewers and auditors
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
610
		
20.4                  All comments of the technical reviewer shall be retained by the CAB for as long as the client is certified by the CAB and minimum one (1) year after the certification contract is terminated.
		


		
new clause
		
To establish recording requirments for technical reviews
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
611
		
21.                    Certification Decisions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
612
		
21.1                  The CAB shall only make certification decisions based on the evaluation of the audit evidence as to whether or not the applicant is in conformity with the requirements of the applicable ASC Standard(s) and other applicable ASC requirements.
		
v.2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
613
		
21.2                  The CAB shall only use audit evidence not older than 6 months from the last day of the audit to make a certification decision.
		


		
wording
		
To confirm the date to count audit evidence validity
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
614
		
21.2.1             The CAB shall conduct a full re-audit if above timeframe is exceeded.
		


		
new clause
		
To clarify the actions if audit evidence exeed validity
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
615
		
21.2.1.1        The CAB shall inform the client about the reason(s) for the required full audit.
		


		
new clause
		
To establish the communications from the CAB in cases  when the audit evidence validity expired
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
616
		
21.3                  The CAB shall not grant a positive certification decision if there is:
		


		
new clause
		
To confirm that a certification decision can not be taken with open NCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
617
		
a)     An open major or critical non-conformity
		


		
new clause
		
To confirm that a certification decision can not be taken with open NCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
618
		
b)     Any open minor non-conformity
		


		
new clause
		
To confirm that a certification decision can not be taken with open NCs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
619
		
c)      An open variance request.
		


		
new clause
		
To confirm that a certification decision can not be taken with open VRs
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
620
		
21.4                  The CAB shall consider all audit evidence when taking certification decisions.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
621
		
a)     This shall include audit evidence gathered prior to, during and after an on-site audit. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
622
		
b)     This shall include audit evidence gathered as the result of information submitted by stakeholders and interested parties.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
623
		
21.5                  The CAB shall post all certification decisions, including changes in scope, suspensions, cancellation and withdrawals on the ASC database.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
624
		
21.6                  If the ASC database is offline, the CAB shall inform the ASC within ten (10) days of the decision.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
625
		
21.7                  The CAB shall retain the right to delay or postpone its decision on certification in order to take proper account of new or additional information, which has become available to the CAB and which has not already been considered in its evaluation report and which, in the opinion of the CAB, could affect the outcome of its evaluation. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
626
		
21.7.1             Additional information includes but not limited to inputs provided by stakeholders and interested parties.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
627
		
21.7.2             Any delays in the proposed timeline for the decision on certification due to the consideration of new or additional information shall be explained in the final report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
628
		
21.7.3             Delays of more than ten (10) days shall be publicly communicated no later than the planned date of determination, using an ASC provided template.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
629
		
21.8                  The CAB shall issue certificates with a maximum validity period of three (3) years from the date of issuance.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
630
		
21.8.1             Certificates re-issued after a certificate extension shall have the same expire date as the initial certificate to maintain the same three (3) years certification cycle.
		
v2.2
		
new clause
		
To avoid to move the certification cycle ahead when an extension is granted
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
631
		
21.9                  The CAB shall register a certificate in the ASC database within ten (10) days of its issue or re-issue.
		


		
wording
		
To confirm registration of the extended certificate on ASC database
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
632
		
21.10              Registration shall include the entry of all specified data.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
633
		
21.11              In the case of a malfunction of the on-line registration service, the ASC shall be informed that a certificate has been issued or re-issued within ten (10) days of its issue or re-issue.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
634
		
21.12              Certificates, which are not registered with the ASC, shall not be valid.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
635
		
22.                    Content of Certificates 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
636
		
22.1                 The CAB shall issue an English language certificate, which as well as the requirements in ISO 17065 7.7 shall contain:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
637
		
22.1.1            The ASC logo, which shall be no smaller than the logo of the CAB.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
638
		
22.1.2            A unique certificate number
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
639
		
a.      An issue number (for re-issued or renewed certificates)
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
640
		
22.1.3            The point at which certified products may enter a Chain of Custody. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
641
		
a)     This can be skipped for a certificate only covering the social scope of a CoC UoC. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
642
		
22.1.4             The date of issue of the certificate
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
643
		
22.1.5             The date of expiry
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
644
		
22.1.6             The name and address of the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
645
		
22.1.7             The legal name and registered address of the certificate holder
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
646
		
22.1.8             The name, coordinates and physical address of sites included in the Multi-site or Group UoC.  
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
647
		
22.1.9             A description of the scope of the certificate, including a general description of the type of products covered by the certificate, a reference to the specific standard(s) against which the certificate holder has been evaluated, and confirmation of full or partial certification.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
648
		
22.1.10          A description of the activities and facilities covered in the scope of the UoC.
		


		
new clause
		
To include the activities listed in the UoC scope and included in the traceability evaluation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
649
		
22.1.11           A reference to the ASC database of registered certificates (specific URL to be announced) for the full list of product groups covered by the certificate
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
650
		
22.1.12           A clear statement to the effect that the certificate shall remain the property of the CAB that issued it, and that the certificate and all copies or reproductions of the certificate shall be returned or destroyed if requested by the CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
651
		
22.1.13           The date of expiry of the certificate together with the disclaimer “The validity of this certificate shall be verified on www.asc-aqua.org”
		


		
clarification
		
To Include ASC website
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
652
		
22.1.14           The signature of the individual(s) that the CAB assigned this responsibility.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
653
		
22.1.15          A disclaimer stating: "This certificate itself does not constitute evidence that a particular product supplied by the certificate holder is ASC-certified. Products offered, shipped or sold by the certificate holder can only be considered covered by the scope of this certificate when the required ASC claim is clearly stated on invoices and shipping documents".
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
654
		
22.2                  The CAB may issue certificates in other languages as well as the English version providing, they bear a disclaimer in at least 10 point font that the certificate is an unverified translation of the English certificate, and in case of differences the English version shall take precedence.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
655
		
23.                    Information for Certificate holders
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
656
		
23.1                  The CAB shall inform the certificate holder that 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
657
		
23.1.1             It has the right to claim that, subject to the scope of its certificate, its operation is certified in accordance with the specific ASC standard covered.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
658
		
23.1.2             It may claim that its aquaculture products are the result of “Responsible Aquaculture Farming”, or “Responsibly Produced”, or “Responsibly processed”.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
659
		
23.1.3             It is eligible to apply for an ASC Logo Licensing Agreement.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
660
		
23.1.4             It shall not make any claim about ASC certification on consumer facing products without a valid ASC Logo Licencing Agreement.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
661
		
24.                    Surveillance
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
662
		
24.1                  The CAB shall carry out surveillance audits to monitor the certificate holder’s continued conformity with applicable ASC standards and other certification requirements as follows:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
663
		
24.1.1             At least annually with a window of three (3) months before or after the anniversary of the initial certification decision.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
664
		
24.1.2             Conduct no fewer than two (2) surveillance audits during the certification cycle.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
665
		
24.1.3             Two (2) surveillance audits should not be carried out with less than 6 months between them.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
666
		
24.1.4             During the three-year term of the certificate the CAB shall plan and conduct surveillance audits in such a way that all ASC standard indicators that are not critical, are audited at least once.
		


		
clarification
		
To clarify evaluation in terms of standard indicators instead of production cycle in line with Q&A 45
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
667
		
24.1.5        The CAB shall evaluate all critical indicators in every audit.
		


		
new clause
		
To establish the evaluation of critical indicators in every audit
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
668
		
24.1.6             For social aspects, the CABs shall follow instructions included in the Social Audit Risk Assessment for surveillance audits (Annex H).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
669
		
24.1.7             Public notice of surveillance audits shall use Form 3.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
670
		
24.1.8             Surveillance reports shall conform to Annex C.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
671
		
24.1.9             Stakeholder consultation may be undertaken during surveillance audits.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
672
		
24.2                  The CAB shall assess during surveillance audits:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
673
		
24.2.1             Implementation of corrective actions against outstanding non-conformities.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
674
		
24.2.2             The CAB shall document conformity with outstanding non-conformities using the record of the original non-conformity. 
		


		
wording
		
To use the NC record as the document to be updated
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
675
		
24.2.3             In the event that an outstanding non-conformity is closed, the CAB shall record evidence collected for the closure in the surveillance audit report.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
676
		
24.2.4             The Internal Management System and Group Management Body for Multisite and Group UoCs and a sample of sites according to Annex E and Annex F.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
677
		
24.2.5             Legal and regulatory compliance including any changes that have occurred in legislation or regulations since the last audit.
		


		
wording
		
To set a timeframe for the evaluation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
678
		
24.2.6             Any complaints or allegations of non-conformity with ASC requirements.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
679
		
24.2.7             Any changes affecting the operation’s traceability, chain of custody, or the ability to trace certified products back to production unit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
680
		
24.3                  The CAB may conduct additional follow-up audits of certificate holders for one or more of the following reasons:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
681
		
24.3.1             The number and nature of non-conformities.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
682
		
24.3.2             The number and nature of complaints from the ASC, another CAB, a stakeholder or an interested party.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
683
		
24.3.3             The number and nature of other issues that the CAB determines shall be investigated.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
684
		
24.3.4             Follow-up audits shall be announced in the ASC website as regular audits except for unannounced follow up audits.
		


		
new clause
		
To include the audits conducted for investigations, NC closure, etc
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
685
		
24.3.5             Follow-up audits shall comply with the requirements of surveillance audits in Annex C.
		


		
new clause
		
To establish that follow up audits have the same management as regular audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
686
		
24.3.6             The CAB may limit the scope of a follow-up audit to specific topics relative to the reason of the follow-up audit.
		


		
new clause
		
To include the audits conducted for investigations, NC closure, etc
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
687
		
25.                    Unannounced audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
688
		
25.1                  The CAB shall conduct unannounced surveillance audits on at least 10% of its single site certificate holders on a yearly basis.
		


		
new clause
		
To establish a minimum number of unnnaounced audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
689
		
25.1.1             This number may include unannounced audits determined by the ASC Social Audit risk assessment.
		


		
new clause
		
To establish selection criteria of UoCs to be audited unannounced
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
690
		
25.2                  The CAB shall develop a risk assessment to select the certificate holders that will receive an unannounced surveillance audit. 
		


		
new clause
		
To establish selection criteria of UoCs to be audited unannounced
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
691
		
25.2.1             The risk assessment shall include but not be limited to the threats and thresholds detailed in Table 1.
		


		
new clause
		
To establish selection criteria of UoCs to be audited unannounced
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
692
		
25.2.2             If the majority of clients are categorized as low risk, the CAB shall complete the minimum unannounced audits with low risk UoCs selected randomly or by opportunity in conjunction with other audits.
		


		
new clause
		
To establish selection criteria of UoCs to be audited unannounced
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
693
		
25.3                  The CAB shall notify unannounced audits to certificate holders no more than two (2) days or 48 hours before the audit.
		


		
new clause
		
To stablish notification timelines for unnanounced audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
694
		
25.3.1             Exceptions of five (5) days notification can be made for UoCs which require complex logistics to access the site (i.e rental or planification of boats, helicopters, planes)
		


		
new clause
		
To stablish notification timelines for unnanounced audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
695
		
25.4 The client’s certificate shall be suspended where the client does not accept the unannounced audit by the CAB.
		


		
new clause
		
To stablish actions in case of non acceptance of unannounced audits by the client
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
696
		
25.4.1 The suspension shall only be lifted when another unannounced audit is accepted and completed with no major or critical non-conformities.
		


		
new clause
		
To stablish actions in case of non acceptance of unannounced audits by the client
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
697
		
26.                    Recertification Audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
698
		
26.1                  The CAB shall start the recertification audit before the expiry of the existing certificate.
		


		
new clause
		
To establish recertification timeframe
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
699
		
26.2                  Exact timing and planning of the audit shall remain the responsibility of the CAB, in consultation with the client.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
700
		
26.2.1             The CAB shall allocate enough staff resources to conduct recertification audits in a timely manner that does not affect the certificate validity or gap for the client.
		


		
new clause
		
To avoid delays in recertification processes related to lack of auditors availability
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
701
		
26.3                  For recertification audits the CAB shall:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
702
		
26.3.1             Apply all of the steps of the ASC Certification Requirements in force at the time of the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
703
		
26.3.2             Apply interpretations of the relevant standard that are current at the time of the audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
704
		
26.3.3             Take into account all surveillance reports, outcomes, progress on non-conformities, and inputs from stakeholders and interested parties.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
705
		
26.3.4             Consider the all the changes to the scope of the UoC.
		


		
new clause
		
Confirmation of the scope of recertification audits
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
706
		
26.3.5             Maintain records of its consideration of the issues above, as well as any rationale for decisions made relating to these issues.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
707
		
26.3.6             Follow the instructions included in the Social Audit Risk Assessment for re-certification audit (Annex H).
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
708
		
27.                    Extension of Certificate Validity
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
709
		
27.1                  The CAB may extend the validity of a certificate once by up to three (3) months in    cases where:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
710
		
27.1.1                  The CAB issued the previous certificate; AND
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
711
		
27.1.2                 The certificate holder has applied to the CAB for recertification and the application has been accepted by the CAB at or before the end of the period of validity of the certificate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
712
		
27.2                  The CAB shall justify the reasons for extending a certificate only for cases when:
		


		
new clause
		
To request CAB justification on extensions
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
713
		
27.2.1             There is no product on-site; OR
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
714
		
27.2.2             There are conditions outside the control of the CAB or the certificate holder that prevent the execution of the audit.
		


		
new clause
		
To include the situations when the audit team is not able to reach the site or the client is not aable to receive the audit because of reasons out of their control
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
715
		
27.3                  CAB shall register the extended certificate validity in the ASC database before the expiry of the existing certificate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
716
		
27.3.1             If the ASC database is offline, the CAB shall inform the ASC within ten (10) days of the decision. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
717
		
28.                    Transfer of Certificate
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
718
		
28.1                  A decision to transfer a certificate shall be voluntary by the certificate holder.
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
719
		
28.2                  Issuing of a certificate to a former certificate holder upon expiry or termination of the certificate 
		
v2.2
		
wording
		
To clarify timeframe for this transfer scenario
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
720
		
28.2.1             An ASC-accredited CAB may issue an ASC certificate to a new client upon the expiry or termination of the client’s existing certificate with another CAB, based on a full audit according to ASC certification requirements. 
		


		
wording
		
Change of ässessment"to "audit"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
721
		
28.2.2             If the audit for this client is conducted within a period of twelve (12) months from the expiry or termination of the former certificate, the succeeding CAB shall consider any major or minor non-conformity(s) which have not been closed at the time of expiry / termination. 
		
v2.2
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
722
		
a)     The CAB that issued the last certificate shall send these non-conformities to the succeeding CAB within fifteen (15) days upon request using FORM 2. 
		


		
wording
		
change of "existing" to "last"
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
723
		
b)     If the preceding CAB does not reply in the above required timeframe the succeeding CAB may continue with the audit planning.
		


		
new clause
		
To not stop a transfer process 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
724
		
28.2.3             If the audit is conducted after the expiration of the certificate a transfer process shall not be followed
		


		
new clause
		
To not have a complex process if the certificate will expire beforea complete evaluation from the preceding CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
725
		
28.3                  Principles for a transfer of a valid certificate
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
726
		
28.3.1             ASC certificates shall only be transferred once within the period of validity of a certificate. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
727
		
a)     If a certificate holder wishes to change CABs more than once within the period of the certificate validity, the second and all other succeeding CABs shall conduct full ASC initial audits. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
728
		
28.3.2             ASC certificates shall not be transferred in any of the following situations: 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
729
		
a)     The certificate is suspended.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
730
		
b)     Critical and major non-conformities have not been closed.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
731
		
i.     All critical and major non-conformities shall be closed to the satisfaction of the preceding CAB before the certificate may be transferred.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
732
		
c)     The parties involved in the transfer cannot agree on the transfer date.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
733
		
d)     Relevant documentation about the certificate holder (all records, audit evidence, including reports and history of non-conformities, confidential annexes) is not being made available to the succeeding CAB by the preceding CAB. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
734
		
i.     In cases where the succeeding CAB is able to receive all relevant documentation from the certificate holder directly, a transfer of documentation is not required.  
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
735
		
28.4                  Certificate Transfer procedure 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
736
		
28.4.1             Once the holder of an active valid certificate has informed the current CAB that they are applying for a certificate transfer with another CAB, the transfer of the certificate shall be conducted following these steps: 
		


		
clarification
		
To establish an order in the transfer procedure
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
737
		
28.4.1.1        The preceding CAB shall transfer all the information related to the certificate holder which is not publicly available on the ASC website within fifteen (15) days upon receipt of request from the succeeding CAB.
		


		
new clause
		
To stablish a maximum timeframe for a reply from the succeding CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
738
		
a)     That shall include the status of open non-conformities, all evidence of closing non-conformities detected in previous audits, and confidential annexes
		


		
new clause
		
TO establish the content of information submitted by the preceding CAB
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
739
		
28.4.1.2        The succeeding CAB shall conduct a desk review of all the available information and decide either:
		


		
new clause
		
To decide the course of actions hen the transfer is decided 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
740
		
a)     To carry out a transfer audit within three (3) months after the agreed transfer date according to the requirements for a surveillance audit; OR
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
741
		
b)     follow the certificate holder’s surveillance audit planning.
		


		
new clause
		
In case the succeding CAB is satisfied with the UoC information
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
742
		
c)     The decision and rationale shall be recorded.
		


		
new clause
		
To establish the rationale of the decision
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
743
		
28.4.1.3        The succeeding CAB shall propose a transfer date to the preceding CAB and the certificate holder on which all rights and obligations for maintaining the certificate shall be passed from the preceding to the succeeding CAB. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
744
		
a)     Both CABs shall keep a record of the agreed date
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
745
		
28.4.1.4        The succeeding CAB shall issue a new certificate on the agreed transfer date as follows:
		


		
new clause
		
To clarify that a certificate shall be issued
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
746
		
a)     The expiry date of the succeeding certificate shall be the same as the expiry date of the preceding certificate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
747
		
b)     The scope of the succeeding certificate shall be the same as the scope of the preceding certificate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
748
		
28.4.1.5        The preceding CAB shall cancel the existing certificate on the agreed transfer date.
		


		
new clause
		
To avoid duplications on valid certificates at ASC database
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
749
		
28.4.1.6        All open minor non-conformities and associated actions together with timelines that are applicable to the preceding certificate shall remain applicable to the succeeding certificate.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
750
		
28.4.1.7        The results of any accreditation body assessment regarding the compliance of the certificate holder to certification requirements shall be applicable to the succeeding CAB.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
751
		
28.4.1.8        The preceding and succeeding CABs shall update the ASC database according to the instructions issued by the ASC.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
752
		
28.5                  Certificate Transfer when the issuing CAB is losing or terminating its accreditation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
753
		
28.5.1             The procedure in 28.4.1 above shall be followed with the following changes:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
754
		
a)     Suspended certificates may be transferred.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
755
		
b)     Certificates with open major non-conformities may be transferred, and non-conformities shall be closed in accordance with requirements as set out in this document.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
756
		
29.                    Changes in Scope
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
757
		
29.1                  The CAB shall be responsible for determining whether or not a proposed change in scope requires an on-site audit. This includes:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
758
		
a)     Addition of a new standard
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
759
		
b)     Change to impacts on receiving water bodies including the addition of new receiving water bodies.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
760
		
c)     Physical change to working and living conditions, including but is not limited to new work floor, processing line, canteen, and living quarter.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
761
		
d)     Reporting conditions described in clause 7.5.12 of this document.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
762
		
e)     Any other change to the certified operation determined by the CAB as requiring an onsite audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
763
		
29.2                  All on-site audits for changes of scope shall conform to Part B of this document.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
764
		
29.3                  If no on-site audit is required, the updated certificate shall be accompanied with an annex explaining the scope changes and justification for not conducting an on-site audit.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
765
		
29.4                  The CAB shall register any changes in scope to an existing certificate in the ASC database within ten (10) days from the decision to change the scope.
		


		
new clause
		
To set a timeframe for certificate scope updates
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
766
		
30.                    Suspension, Cancellation or Withdrawal of Certification
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
767
		
30.1                  The CAB may suspend, cancel or withdraw a certificate for a contractual or administrative reason.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
768
		
30.2                  The CAB shall inform the ASC of any suspensions, withdrawals or cancellation of certificates within five (5) days of the decision using FORM 5. 
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
769
		
30.3                  Suspended, withdrawn and cancelled certificates and related information will be updated on the ASC website.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
770
		
30.4                  The date of the suspension or withdrawal shall be the date the decision was taken by the CAB, whereas the date of cancellation shall be the date that the certificate holder informs the CAB and/or the ASC of its decision on cancellation.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
771
		
30.4.1             If a certificate is suspended or withdrawn or cancelled, the CAB shall immediately instruct the certificate holder:
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
772
		
a)    To not to sell any product harvested from the date of suspension or withdrawal or cancellation as ASC certified or with the ASC logo or trademark
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
773
		
b)    To advise existing or potential customers in writing of the suspension/ withdrawal/ cancellation within four (4) days of the suspension, withdrawal or cancellation date
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
774
		
c)    The suspension deadline and the actions needed to lift the suspension.
		


		
new clause
		
To have clear instructions on the suspension deadline and actions to be taken  by the certificte holder
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
775
		
30.5                  The CAB shall set a deadline of maximum 6 months for the certificate holder to complete the actions required to lift the suspension.
		


		
new clause
		
To avoid lenghty suspension porcesses without corrective actions implementation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
776
		
30.5.1             A suspension deadline shall not be extended.
		


		
new clause
		
To avoid lenghty suspension porcesses without corrective actions implementation
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
777
		
30.6                  If the actions are not satisfactorily completed by the certificate holder at the set deadline, the CAB shall withdraw the certificate.
		


		
new clause
		
To confirm actions after suspension deadline
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
778
		
30.7                  The CAB shall record the decision to lift a suspension in the FORM 6 and submit it to the ASC within five (5) days of this decision.
		


		
new clause
		
TO establish action when a suspension is lifted
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
779
		
30.8                  The CAB shall not start a certification process with clients whose certificate was suspended or withdrawn in the last 12 months.
		


		
new clause
		
To clarify the minimum timefram to return to the ASC program after a withdrawal
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
780
		
31.                    Certification Information on the ASC database
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
781
		
31.1                  CABs shall be responsible for keeping their data entries on the ASC database up to date.
		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


		


	
	

		
782
		
31.2                  Until the ASC database is live, CABs shall submit all required information in pdf format until otherwise instructed.