Aquaculture Stewardship Council and Marine Stewardship Council ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements Version 1.01, 30 April, 2018 Copyright notice The “ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements” developed by the Aquaculture Stewardship Council (ASC) and the Marine Stewardship Council (MSC) is licenced under a Creative Commons Attribution-NoDerivs 3.0 Unported Licence 2018. All rights reserved. The official language of this document is English. The definitive version is maintained at www.asc- aqua.org/seaweed-standard. Any discrepancy between copies, versions or translations shall be resolved by reference to the definitive English version. The ASC and the MSC prohibit any modification of part or all the contents in any form. Email: [email protected] Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page ii Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 Versions issued Version no. Date Description of amendment 1 22 November 2017 First version issued for application by CABs. 1.01 30 April 2018 Inclusion of derogations relating to online training modules for Traceability and RBF. Responsibility for these requirements The Seaweed Standard Committee (SSC) of the Aquaculture Stewardship Council (ASC) and the Marine Stewardship Council (MSC) advises the ASC and the MSC Boards (ASC Supervisory Board and MSC Board of Trustees) on this document’s content. The ASC and the MSC Boards hold responsibility for this document. About this document This document specifies the mandatory requirements that Conformity Assessment Bodies (CABs) must follow when carrying out audits of seaweed production units who wish to make a claim that the seaweed product/s they produce are from well-managed and sustainable source/s, as defined by the ASC-MSC Seaweed (Algae) Standard. Part A provides general requirements relating to CABs offering certifications against the ASC-MSC Seaweed (Algae) Standard, while Part B provides specific operational requirements for CABs conducting seaweed production unit audits. The numbering of the sections follows the ISO 17065 approach. Standard development process The ASC and the MSC have developed a joint standard to certify sustainable and responsible seaweed production units under a single certification system. In accordance with the ISEAL Standard Setting Code, the Standard was developed following a participatory process. A joint governance body, the Seaweed Standard Committee, comprising representatives from the ASC and MSC Technical Advisory Groups, Boards, and additional seaweed industry and NGO stakeholders was formed to guide the standard’s development. Joint procedures were developed to ensure a robust, credible process. Notably, stakeholder workshops were held in Indonesia, Japan and China. Two 60-day online consultations were held to seek views on drafts of the Standard and associated assessment process. These were supported by webinars, meetings and local outreach to the seaweed industry and affected stakeholders. Academics provided detailed technical input and a workshop was held with Conformity Assessment Bodies (CABs) in London. Implementation The Seaweed (Algae) Standard v1.0 (“the Standard” thereinafter) and the Seaweed (Algae) Certification and Accreditation Requirements v1.0 (“the CAR” thereinafter) were approved by the ASC Supervisory Board and the MSC Board of Trustees in July–August 2017. The Standard was published 22 November 2017 and is effective from 1 March 2018. Seaweed production units who wish to enter assessment against the Standard can apply from 1 March 2018, or earlier subject to approval by the ASC-MSC. Standard review The CAR will be reviewed 12 months after the effective date to evaluate the implementation of the program and incorporate outcomes of planned program improvements. Certificate holders will be Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page iii Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 required to comply with the most recent version of the Standard and the CAR at recertification (i.e. three years after first certification). Subsequent reviews of the Standard will occur at least every five years to ensure they continue to be relevant and effective in meeting their stated objectives in accordance with the ISEAL Standard Setting Code. The ASC-MSC welcomes comments on the Standard and CAR at any time. Comments will be incorporated into the next review process. Please submit comments by email to [email protected]. Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page iv Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 Table of Contents Part A – General requirements for CABs ............................................................................................ 7 1 Scope......................................................................................................................................... 7 2 Normative references .............................................................................................................. 7 3 Terms and definitions .............................................................................................................. 8 4 General requirements ............................................................................................................ 15 4.1 Requirements of accreditation ................................................................................................. 15 4.2 Conformity to ISO 17065 and the ASC-MSC seaweed requirements ..................................... 15 4.3 Normative appendices ............................................................................................................. 16 4.4 ISO 19011 ................................................................................................................................ 16 4.5 Compliance with legal requirements ........................................................................................ 16 4.6 Certification decision-making entity ......................................................................................... 16 4.7 Communication with the ASC-MSC ......................................................................................... 16 4.8 Contract .................................................................................................................................... 17 4.9 Content of certificates .............................................................................................................. 18 4.10 Information for certificate holders ............................................................................................. 19 4.11 Use of the MSC, ASC and CAB trademarks ............................................................................ 19 4.12 Transfer of certificates .............................................................................................................. 20 5 Structural requirements ........................................................................................................ 21 5.1 Mechanism for safeguarding impartiality ................................................................................. 21 5.2 Confidentiality ........................................................................................................................... 22 6 Resource requirements ......................................................................................................... 23 6.1 CAB personnel ......................................................................................................................... 23 7 Process requirements ........................................................................................................... 24 7.1 Information for applicants ......................................................................................................... 24 7.2 Suspension, withdrawal and cancellation ................................................................................ 24 7.3 Complaints and appeals........................................................................................................... 25 8 Management system requirements for the CAB ................................................................. 26 8.1 Internal audits ........................................................................................................................... 26 9 Heading not used at this time ............................................................................................... 26 10 Heading not used at this time ............................................................................................... 26 Part B – Certification requirements ................................................................................................... 27 11 Scope....................................................................................................................................... 27 12 Normative references ............................................................................................................ 27 13 Terms and definitions ............................................................................................................ 27 14 General requirements ............................................................................................................ 27 15 Structural requirements ........................................................................................................ 27 16 Resource requirements ......................................................................................................... 27 16.1 Audit teams .............................................................................................................................. 27 17 Process requirements ........................................................................................................... 28 Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page v Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 17.1 Pre-audit ................................................................................................................................... 28 17.2 Initial audit timelines ................................................................................................................. 28 17.3 Confirmation of scope .............................................................................................................. 29 17.4 Unit of Assessment and Unit of Certification............................................................................ 29 17.5 Preparation for initial audit ....................................................................................................... 29 17.6 Notice of initial audit ................................................................................................................. 30 17.7 Site visit timing ......................................................................................................................... 30 17.8 Stakeholder engagement ......................................................................................................... 30 17.9 Audit evidence .......................................................................................................................... 30 17.10 Site visit – Stakeholder consultation and information collection .............................................. 31 17.11 Audit findings ............................................................................................................................ 31 17.12 Setting conditions ..................................................................................................................... 33 17.13 Critical conditions ..................................................................................................................... 33 17.14 Determining the start of the Chain of Custody ......................................................................... 34 17.15 Setting the Eligibility Date for under-assessment product ....................................................... 35 17.16 Client Draft Report ................................................................................................................... 35 17.17 Public Comment Draft Report .................................................................................................. 36 17.18 Final report ............................................................................................................................... 36 17.19 Objections ................................................................................................................................ 37 17.20 Public Certification Report........................................................................................................ 37 17.21 Certification decision and certificate issue ............................................................................... 37 17.22 Production units that fail the audit ............................................................................................ 38 17.23 Surveillance .............................................................................................................................. 38 17.24 Re-certification audit ................................................................................................................ 41 17.25 Extension of certificate validity ................................................................................................. 41 Annex A – Auditor qualifications and competencies ...................................................................... 42 Annex B – Objection Procedure ........................................................................................................ 50 Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page vi Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 Part A – General requirements for CABs 1 Scope Part A of the ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements (CAR) includes requirements for CABs carrying out audits of seaweed production units that wish to make a claim that the seaweed they are selling is certified to the ASC-MSC Seaweed (Algae) Standard, and where desired to use the MSC/ASC label/s to promote a product. 2 Normative references The latest versions of the documents listed below, by reference in this text, become part of the CAR. Guidance Section 2 CABs are encouraged to review the most recent editions of the documents and any guidance documents available to gain further insight about the requirements they need to comply with. a. ASC-MSC Seaweed (Algae) Standard b. MSC Chain of Custody Certification Requirements (CoC CR) c. MSC Chain of Custody Default Standard and the two variants: Group and Consumer-Facing Organisation (CFO) versions d. MSC Chain of Custody Program – Supplementary requirements for application of the ASC- MSC Seaweed Program e. ASC Group/Multi-Site Requirements f. ISO 17065: Conformity assessment – Requirements for bodies certifying products, processes and services g. ISO 19011: Guidelines for auditing management systems h. The accreditation procedures and rules of the accreditation body i. Client Application Checklist j. Templates applicable to seaweed certification: i. ASC-MSC Seaweed (Algae) Pre-Audit Reporting Template ii. ASC-MSC Seaweed (Algae) Audit Reporting Template iii. ASC-MSC Seaweed (Algae) Surveillance Reporting Template iv. ASC-MSC Seaweed (Algae) Variation Request Template v. ASC-MSC Seaweed (Algae) Interpretation Request Template vi. ASC-MSC Seaweed (Algae) Audit Announcement Template vii. ASC-MSC Seaweed (Algae) Critical Condition Reporting Template viii. ASC-MSC Seaweed (Algae) Cancellation, Suspension or Withdrawal Template ix. ASC-MSC Seaweed (Algae) Stakeholder Input Template x. ASC-MSC Seaweed (Algae) Notice of Objection Template xi. ASC-MSC Seaweed (Algae) Complaints and Appeals Template k. IT Platform Guidance Manual Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page 7 Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 3 Terms and definitions The vocabulary below defines concepts, terms, phrases and abbreviations used in the Standard and the CAR. Term Definition Abuse The intentional use of power, including verbal abuse, isolation, sexual or racial harassment, intimidation or threat of physical force. Aquaculture operation A (commercially managed) operation aimed at farming of aquatic organisms. Alien species A species, subspecies or lower taxon, introduced outside its natural past or present distribution, including any part, gametes, seeds, eggs, or propagules of such species that might survive and subsequently reproduce (CBD). Basic needs wage See living wage. Beach-cast seaweed Seaweed that has been washed up or stranded (cast) on the beach or other parts of the shoreline, including seaweed that is still drifting in the water at the front of the beach, but likely to be stranded in the near future. Bonded labour Refers to workers that have received loans from employers, where these loans are subject to unreasonable terms and conditions such as excessively high interest rates. CAB See Conformity Assessment Body. CBD Convention on Biological Diversity. Certification Procedure by which a third party gives written or equivalent assurance that a product, process or service conforms to specified requirements. Child Any person less than 15 years of age. A higher age would apply if the minimum age law stipulates a higher age for work or mandatory schooling. If, however, the local minimum age law is set at 14, in accordance with developing country exceptions under ILO Convention 138, lower age will apply. Child labour Any work by a child younger than the age specified in the definition of a child, except for light work as provided for by ILO Convention 138, Article 7. CITES Convention on International Trade in Endangered Species of Wild Flora and Fauna. Collective bargaining A contract specifying the terms and conditions for work, negotiated agreement between an organisation (e.g. employer) or group of employers and one or more worker organisation/s. Community A group of people with possibly diverse characteristics who are linked by social ties, share common perspectives, and are joined by collective engagements within a geographically confined area. Includes all stakeholders of the resource such as neighbours and other users like fishermen. Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page 8 Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 Term Definition Comprehensive A complete and tested strategy made up of linked monitoring, analyses, Strategy and management measures and responses. Conflicts Situations wherein one party perceives hindrance in legitimate interest as caused by the other party’s actions or absence of actions. One party is the production unit owner or manager. The other party is either a surrounding community or group of stakeholders in the community. Conflicts, for the purpose of this standard, exclude complaints made by single individuals unless verified/supported by a community leader or community organisation. The production unit may not necessarily be at fault if conflicts arise, but they shall exercise due diligence to avoid any harm done to the legitimate interests of people in the surrounding community. Conformity Body that performs conformity assessment services and that can be the Assessment Body object of accreditation. Consensus General agreement, characterised by the absence of sustained opposition to substantial issues by any important part of the concerned interests and by a process seeking to take into account the views of interested parties, particularly those directly affected, and to reconcile any conflicting arguments. NOTE: Consensus need not imply unanimity. Consequence Spatial The Consequence Spatial Analysis (CSA) is a tool within the RBF and is Analysis (CSA) a semi-quantitative approach to examine several consequence and spatial attributes to provide a relative measure of the risk of the UoA to the habitat. Each habitat (scoring element) is assigned its own CSA score. CSA See Consequence Spatial Analysis. Cultivation Cultivation implies some form of human intervention in the rearing process to enhance production, and should be taken to include strategies such as regular stocking, feeding and individual or corporate stock ownership. Discrimination Any distinction, exclusion or preference, which has the effect of nullifying or impairing equality of opportunity or treatment. Not all distinction, exclusion or preference constitutes discrimination. For instance, a merit or performance-based pay increase or bonus is not by itself discriminatory. Positive discrimination in favour of people from certain under-represented groups may be legal in some countries. Disciplinary practices Disciplinary procedures make sure that a company’s standards of conduct and performance at work are followed. They also provide a fair and humane method of dealing with workers who fail to meet these standards. Due diligence The effort made by an ordinarily prudent or reasonable party to avoid harm to another party. As applied in PI 5.2, the process of resolution is documented and meeting minutes are kept. Minutes include an agenda, the list of concerns raised, resolutions or agreements reached, a list of who shall take what action by when, and a list of participants. Local government and, if available, at least one civil society or customary organisation chosen by the community shall have access to the conflict resolution process and the documentation. Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page 9 Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018 Term Definition Endangered, Species recognised by national legislation and/or binding international Threatened or agreements to which the jurisdictions controlling the production unit Protected Species under assessment are party. Species listed under Appendix I of CITES shall be considered ETP species for the purposes of the assessment, unless it can be shown that the particular stock of the CITES listed species impacted by the production unit under assessment is not endangered. ETP See Endangered, Threatened or Protected Species. False apprenticeship The practice of hiring workers under apprenticeship terms without scheme stipulating terms of the apprenticeship and wages in the contract. It is a “false” apprenticeship if the purpose is to underpay people, avoid legal obligations or employ children. Fair and decent wages See living wage. Production unit social An assessment carried out by the production unit into its impact on impact assessment surrounding community, affected stakeholders (e.g. fishermen, neighbours, or other resource users) or other group coming into contact with the production unit or its activities. The assessment should follow the guidance included in this document and in the case that the assessment is not transparent, is inaccurate or finds insufficient resolution to issues then a p-SIA should be conducted. Forced or compulsory Work or service that is extracted from any person under the menace of labour any penalty for which said person has not offered himself or herself voluntarily or for which such work or service is demanded as a repayment of debt. Group Management The person or group of people who manages and is responsible for the Body actions of the group. Group members Harvester/farmer operating one or several production sites and participating formally in a group for the purpose of applying for, obtaining and maintaining MSC-ASC certification as part of a Group. Habitat The chemical and bio-physical environment, including biogenic structures, where harvesting/farming takes place. Habitat function The range of services provided to an organism, including, but not limited to, mediating trophic interactions, reproduction, shelter, and feeding, and influencing the behaviour of organisms. Habitat structure The arrangement of physical and biogenic formations that support plant, algal and animal communities. Harvest strategy The combination of monitoring, stock assessment, harvest control rules and management actions, which may include a Management Procedure (MP) or an implicit MP and be tested by a Management Strategy Evaluation (MSE). Harvesting The collection of seaweed from the wild environment. The Standard uses the term “production unit” where applicable to cover both wild harvesting approaches and farming systems. Document: ASC-MSC Seaweed (Algae) Certification and Accreditation Requirements v1.01 Page 10 Date of issue: 30 April 2018 © Aquaculture Stewardship Council and Marine Stewardship Council 2018