Sainsbury’s Sustainability Standards/media/Files/S/Sainsburys...environment 03 Making a positive difference to our community 04 A great place to work 05 AMENDMENT Date Page or All

Sainsbury’s Sustainability StandardsPrawns Key Raw Material StandardJune 2018

Contents

1 Introduction 3

1.1 Amendment History 3

1.2 Confidentiality 4

1.3 Copyright 4

1.4 Contact Details 4

1.5 Position Statement 4

1.6 Commitment to ethical trade 4

1.7 Fair terms of trading 4

2 The Standards 5

2.1 Overarching Sustainability Standard 5

2.2 Key Raw Material Standard 6

3 Sainsbury's Recognised International Standards 7

4 The Sustainability Programme Mechanism 7

5 Process of Supplier Performance Assessment 8

6 References 9

7 SAINSBURYS SUSTAINABILITY Prawn KRM STANDARD 10

8 Appendix 1 Targets and Key Delivery Goals 34

10 Appendix 2. Applicability Statement 35

Annex 1 – Existing Parameters from Recognised Standards: 36

Annex 2: Example of Matrix for Farm Scale Versus Performance RequirementsReferences and Standards

37

References and Standards 38

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1 Introduction

As part of our vision of becoming Britain’s most trusted retailer, we have launched our Our Sustainability Plan. In this plan, we have identified 5 core values, which are further underpinned by a number of commitments. The core values are:

Our Core Value

Our Core Value, “Sourcing with Integrity” includes a firm commitment to source all key raw materials sustainably to independent standards.

We have created a sustainability standard and assessment programme that will be used to guide our supply chain to our sustainable sourcing requirements. Each sector of the supply chain can be independently audited against the components of the Sainsbury’s Sustainability Standard using the Supplier Performance Assessment (SPA) tool.

Sustainability is a complex term with many differing perspectives. We see sustainability as a journey of continuous development and therefore the Sustainability Standard has been developed with measurement and continuous improvement amongst its key principles.

The Sustainability Standard does not claim or attempt to define Sustainability but sets out key areas or ‘hotspots’ of social, environmental and economic performance that suppliers can identify, tackle and improve.

Different issues will affect different sectors over time, so new requirements regarding ‘Hotspot’ issues may be introduced through the Standards Development Framework. Hotspots may occur for a variety of reasons and Stakeholders are welcome to comment at any time.

It is an aim of the Sustainability Standard to assist suppliers in improving their company’s impact by identifying and through engagement, facilitating areas for improvement.

It is recognised that some of the improvement areas are being addressed by parallel initiatives within the Sainsbury's organisation, for example, animal health and welfare, product safety and other areas through initiatives by external standards organisations. The Sainsbury’s Sustainability Standard is designed to complement and assist with these initiatives and does not intend to duplicate effort.

Best for Food and Health

01

Sourcing with Integrity

02

Respect for our environment

03

Making a positive difference to our community 04

A great place to work

05

AMENDMENT

Date Page or All Detail of Change

May 2017 All Initial Release

June 2018 34/35 Updating Appendix 2 Applicability Statement

1.1 Amendment History:

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1.2 Confidentiality

This documented Overarching Standard, together with the relevant KRM Standard will apply to Sainsbury’s Own Branded products and as such, this Standard, together with all associated Intellectual Property including Copyrights; Trade Marks and other proprietary materials, belong to Sainsbury’s Supermarkets Limited.

This document and its contents remains the property of Sainsbury’s Supermarkets Ltd and as such must be regarded as confidential. The contents must never be disclosed to any other party either in part or in whole without the prior written consent of Sainsbury’s Supermarkets Ltd, except to the extent that the Supplier may be required to do so by law or a Court order

1.3 Copyright

The copyright of this document belongs to Sainsbury’s Supermarkets Ltd and no part shall be reproduced without Sainsbury’s Supermarkets Ltd’s written permission.

1.4 Contact Details

Registered office address: United Kingdom:

Sainsbury’s Supermarkets Ltd33 HolbornLondon EC1N 2HTUnited Kingdom

Registered Company number: 3261722

Switchboard: (0044) 020 7695 6000Fax: (0044) 020 7695 7610

WebsitesCustomer website: www.sainsburys.co.ukCorporate website: www.j-sainsbury.co.uk

1.5 Position Statement

At Sainsbury’s we expect strong social and environmental standards from suppliers, but we recognise that many need practical help and support in implementing more sustainable practices. Our challenge is to build supply chains that are resilient to the social and environmental challenges facing the industry, working closely with farmers, producers and processors to champion and embed excellence in sustainability.

We are founding members of the Ethical Trading Initiative (ETI) and require all our suppliers to meet the Sainsbury’s Overarching Standard for Sustainability, and also the Supplier Policy on Ethical Trading – Sainsbury’s Brand.

1.6 Commitment to ethical trade

Ethical trading is an important company objective. We are committed to providing sufficient resources to ensure our commitments are fulfilled. We recognise the need to communicate our commitment to key stakeholders including the public, suppliers and the people who work in our supply chains.

1.7 Fair terms of trading

We recognise the contribution that stable business relationships make to the observance of good labour practices and endeavour to establish long-term and productive relationships with our suppliers. We are committed to dealing openly and fairly with suppliers, adhering to contract terms and avoid exerting undue pressure.

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2 The Standards

Relationship between the Overarching Sustainability Standard and the Key Raw Material Sustainability Standards

Sainsbury’s Overarching Sustainability Standard

Senior Management Commitment

Sourcing, Supply Chain Visibility and

TransparencyPerformance Management

Continuous Improvement

Direct Suppliers and Processors -Manufacturing

Farmers and Growers – Raw

Material Production

Key Raw Material Standard

ComplianceTransparency and

Continuous Disclosure

Performance Management

(Social, Ethical and Environmental)

Continuous Improvement

The Sainsbury’s Sustainability Standard is composed of a number of key documents:• Overarching Sustainability Standard (SP). This is relevant to all Sainsbury’s Branded Product direct suppliers

and processors. • Key Raw Material Standards (KRM). They are relevant to the growers and producers of each individual Raw

Material

Each ‘direct’ supplier will be expected to work to meet the requirements of the Overarching Standard and its relevant Sainsbury’s KRM Standard. Direct suppliers will be expected to work with their supply chain on the relevant KRM Standard.

2.1 Overarching Sustainability Standard

This overarching standard sets out the following key principles of the Sainsbury’s Sustainability Standard and Assessment programme:

Each ‘direct’ supplier will be expected to work to meet the requirements of the Overarching Standard and its relevant Sainsbury’s KRM Standard. Direct suppliers will be expected to work with their supply chain on the relevant KRM Standard.

Principle 1 Senior Management Commitment

Principle 2 Sourcing, Supply Chain Visibility and Transparency

Principle 3 Performance Measurement

Principle 4 Continuous Improvement

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The requirements are designed to assist suppliers to identify measure and manage aspects that will improve:

These standards should also be read in conjunction with other relevant Sainsbury’s standards and code of practice and with relevant external standards and codes of practice

2.2 Key Raw Material Standard

The KRM Standards will deal with requirements relating to a sector or product and identified hotspots specific to a process that we wish to address and improve upon.

Each KRM Standard will have different focus points depending on hotspots that might exist relating to areas of sensitivity. These sensitivities could relate to a series of issues, including but not limited to the product, raw materials, process, location, or the time of year. The KRM Standard deals with requirements directly relating to specific products groups and also specific hotspots that affect suppliers, farmers and growers.

The KRM Standard requirements may not deal with every potential aspect of sustainability

Enhancing Livelihood

• Efficiency Improvements eg: skills training, use of new technology and implementation of proven and improved practices

• Contribution to and integration with local communities• Economic viability of enterprise agreements

Improving wellbeing

• Human health through safety training

Reducing Environmental Impact

• Responsible sourcing of input materials• Energy Efficiency• Use of renewable energy• Greenhouse gas emissions• Water Stewardship - efficient water use and management• Managing Biodiversity• Waste management; Reduce, Reuse, Recycle

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3 Sainsbury's Recognised International Standards

In order to avoid duplication of effort, Suppliers who have achieved certification to existing external recognised standards will be able to acknowledge this in the Supplier Performance Assessment (SPA) process and only be required to fulfil the components in the Sainsbury’s Standard which are not covered in the external standards.

This section sets out the mechanism for the development of the ‘Overarching Standard’ and also KRM Standard that will ensure that we are firmly positioned to deliver on Our Sustainability Plan.

In order to ensure that the Standard is developed according to international best practise, we have developed a Development Framework, which charts the progress of an individual standard from development to publication. Within the framework, credibility and integrity is achieved by working with leading experts from industry and academia, non-governmental organisations and industry organisations. Internal governance is maintained through the Product Forum and a Steering Group comprising representative senior managers.

The following diagram provides a graphic illustration of the various components of the Sainsbury's Sustainability Standard Governance Structure

4 The Sustainability Programme Mechanism

The Sainsbury’s Sustainability Standards are designed to complement, recognise, give credit for and not to compete with standards that are already in existence.

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5 Process of Supplier Performance Assessment

Suppliers, at every level in the supply chain will be able to use the relevant Supplier Performance Assessment (SPA) tool to collate evidence of performance, including data that can be used to generate future Action Plans.

The SPA utilises information from recognised industry standards to benchmark performance, and contains specific guidance on each clause and requirement. The philosophy of the Supplier Performance Assessment is that the achievement of ‘Sustainability’ is an ongoing process. To that end, the supplier will be able to see how they are currently performing against each principle of the standards and understand where the development actions lay at the time of completion. As the SPA is revisited over time, progress will be visible.

The Sainsbury’s Sustainability Standard has therefore established a supplier status matrix which classifies suppliers (See Table below)

Status Demonstrated by:

Pre-Engaged No engagement with the Issues

Engaged Policy or Position Statement in place

Improver Action plan with measurable outcomes in place

Leader Demonstrable achievement of improvement and further improvements targeted

Process of Assessment

Suppliers will be able to move from one status to another as highlighted in Figure 3, below. As the Supplier demonstrates progress through the development and implementation of demonstrable actions, they will move up to Leader status. However, as they reach Leader status, they may be looking at additional levels of engagement with an issue. This will form a positive action, and enhance their status as they show engagement with more issues

The SPA can be used for self-assessment and external

independent audit. External audits will be carried out to verify that

the responses in the SPA are accurate and in line with Sainsbury’s

expectations. The mechanism of assessment within the SPA

considers both the level of Management Commitment to an issue,

and also the Achievement of Outcomes and suppliers will achieve

the following score for each issue based on the following matrix in

Figure4, below.

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5 Process of Supplier Performance Assessment

Management Commitment

High Medium Low

Achievement of Outcome

High LeaderLater Stage Improver

Pre-Engaged but Achieving

MediumLater Stage Improver

Early Stage Improver

Pre-Engaged but Achieving

Low Improver Engaged Pre-Engaged

additional descriptions on the status types indicate the following

Pre Engaged but Fortunate

Suppliers are not showing any level of management commitment but are fortunately showing some level of achievement.

To improve this situation, a Supplier should ensure that a plan or position statement is in place, with aims to further improve

Early Stage ImproverSuppliers in this position are showing early stages of achievement or commitment and will need to consider their overall strategy to further improve to make themselves a Leader

Later Stage ImproverSuppliers in this position have established commitment and outcomes, and with some minor adjustments to their strategy or resources needed to become a Leader.

6 References

Sainsbury’s Corporate Sustainability Plan: Click HereEthical Trade Initiative Base Code 2014Sainsbury’s Code of Conduct for Ethical Trade 2013

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http://www.j-sainsbury.co.uk/responsibility/our-sustainability-plan/

7 Sainsbury's Sustainability Prawn Standard

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Principles Or Section Standard Self Assessment Comments

1 Senior Management Commitment

Management shall commit to the implementation of the Sainsbury’s Standard for Prawn. Commitment can be demonstrated by meeting this Standard directly and by implementation and certification of equivalent Standards (where available) that are already recognized by Sainsbury’s.

1.1 Compliance Requirements

Each site of the farm operations shall be certified to certification to one of the following: • Global Aquaculture Alliance; Best

Aquaculture Practice Certification Standards, Guidelines for Finfish and Crustacean Farms

• Aquaculture Stewardship Council; ASC Shrimp Standard

• GlobalGAP; Aquaculture Standard

1.2 Feed Sustainability

1.2.1 The farm must source feed that is manufactured from materials that are sourced in a responsible manner. Traceability is critical and the farm must source from feed suppliers who are able to provide a complete list and confirm traceability of all raw materials used in feed. There must be a commitment to source feed from manufacturers who comply with international standards for wild capture fisheries such as IFFO Responsible Supply, Marine Stewardship Council or an equivalent standard for their wild fish derived ingredients. Additionally, Sainsbury’s recognizes ingredients that are sourced from fisheries that implement credible and publicly transparent Fishery Improvement Plans (FIP).

1.2.2 The fish meal and/or fish oil component of shrimp/prawn feed derived from wild capture fisheries shall be traceable back to one of the following: • IFFO Responsible Supply approved

source (“source” ensures that material has traceability certification and fishmeal plant compliance with standard)

• MSC certified fisheries• Or a recognised public facing FIP



2 Sourcing, Supply Chain Visibility and Transparency

2.1 Transparent Disclosure

2.1.1 The organisation must maintain and disclose all relevant information that demonstrates their commitment to operating a legal, responsible and transparent operation.

2.1.2 Farm’s shall provide evidence that they have completed the Sustainability Performance Assessment (SPA) within the last twelve months.

2.2 Legal Obligations

2.2.1 Documentary evidence shall be available to demonstrate that legal obligations for the scope of operation are met.

2.2.2 Where specific requirements from the regulator(s) are placed on the selection, layout and operation of the site(s), there shall be documentary evidence to prove compliance.

2.2.3 Documentary evidence shall be maintained and disclosed to demonstrate that the organisation is managed in an open, transparent and honest manner. This includes but not limited to:• Aquaculture licenses for the farm and

for the stock under cultivation• Stock and other purchases (e.g. feed)• Medicines and other stock, water and

pond treatments• Permits for the transfer and transport of

live shrimp/prawns for the species concerned

• Water use (abstraction and discharge)• Waste management (sludge, solid

waste, hazardous waste)• Prawn mortality storage, treatment and

disposal• A safe and healthy working

environment, worker rights and freedom of employment and respecting international law for use of child labour.

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3 Performance Measurements

3.1 Social Accountability

This section intends to ensure good working conditions for all workers and contractors operating on a shrimp/prawn farm and provide socially sustainable conditions of employment. In addition to applicable legal requirements of the farming region, the Over-arching Standard, the Product Standard and Sainsbury’s Code of Conduct for Ethical Trade shall be implemented.

3.1.1 Working Conditions

3.1.1.1 A risk assessment of the hazards to the health and safety of employees, people living on the farm and visiting personnel, covering site infrastructure, operations, substances and equipment shall be conducted and documented.

3.1.1.2 A safe and hygienic working environment shall be provided taking into account industry related specific hazards and including additional risk to the health and safety of children living on site.

3.1.1.3 Particular attention shall be paid to the use and maintenance of all equipment identified as high risk (e.g. electrical equipment) identified through risk assessment.

3.1.1.4 Adequate steps to prevent accidents and injury occurring to all employees as a result of hazards encountered shall be undertaken.

3.1.1.5 All employees shall have access to clean toilet facilities with sufficient and properly equipped hand-washing facilities, which are easily accessible in relation to where they are working, and to potable water (that meets the World Health Organisation standard), and if appropriate, sanitary facilities for food and storage.

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3.1.1.6 Where the farm provides accommodation, this shall be clean, safe and meet the basic needs of those living there. The following conditions must be provided:• Accommodation is maintained

and fit for purpose.• Provided with serviceable,

weatherproof and comfortable living quarters, including adequate ventilation and heating appropriate for the climatic conditions. Ventilation by a window that can be opened, with appropriate security measures as required, with mobile partitions or curtains to ensure privacy, or mechanical ventilation; electricity, functioning and sanitary waster and sewage disposal system.

• Provided with sufficient, serviceable and hygienic cooking, food storage and dining facilities, easily accessible, sufficient, sanitary and accessible toilets,bathroom and personal hygiene facilities including hot and cold water.

• Provided with safe, potable water.

• Provided with a comfortable level of personal space in sleeping area (lockable doors, a separate bed for each worker, gender segregation except in family accommodation) and adequate privacy and gender segregation in washing and toilet facilities that can fully meet the social and personal needs of individuals.


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3.1.1.7 Specific health and safety training on the main operations and equipment identified by risk assessment shall be provided to all workers on farm.

3.1.1.8 There shall be one employee on site at all times who is trained to a recognized first aid standard.

3.1.1.9 The farm shall take adequate steps when transporting workers, both on public roads and on the farm to prevent accidents and injury and to ensure the transport meets all legal requirements for transporting workers.

3.1.2 Human Resource Management

3.1.2.1 Overall responsibility for ensuring worker welfare meets the requirements of these standards (and Code of Conduct) shall be designated.

3.1.2.2 Accurate records and documentation of all workers (current and previous including full time, part time, casual, seasonal; and reasons for employment terminations as applicable) shall be maintained.

3.1.2.3 A formal contract of employment shall be formed with all full time, part-time and seasonal workers that as a minimum, describe the conditions of employment, payment rate and performance incentives (and including any monies withheld for government worker tax), frequency of payment and hours of work or if applicable, conditions of profit sharing arrangements).

3.1.2.4 Formal written contracts shall be in place for contract farming arrangements.



3.1.3 Seasonal Labour

3.1.3.1 Seasonal labour shall be recruited directly or through labour brokers registered with the relevant government agency and subject to inspection and regulation.

3.1.3.2 The organization shall request labour brokers to provide evidence of fees applied to work placements and shall also confirm these fees with the employee.

3.1.3.3 The organisation shall ensure that workers can legally work in that jurisdiction.

3.1.4 Forced and bonded labour

3.1.4.1 Farmers are to ensure that there is no forced,bonded or involuntary prison labour.

3.1.4.2 Forced or bonded labour is prohibited. Organisations must have in place an explicit policy of not engaging in forced or bonded labour including ensuring that labour brokers do not engage in forced or bonded labour practices. (The implementation of this policy may vary in complexity with the size of organisation, risks and context of their business).

3.1.4.3 Without prejudice or fear of retribution, workers shall be given freedom of access to independent and confidential authority, legal counsel government spokesperson, or other support institutions on matters of forced/bonded labour or other human welfare issues.

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3.1.5 Freedom of Association

3.1.5.1 The organisation must respect the rights of workers to join trade unions and collectively bargain in accordance with Sainsbury’s Code of Conduct for Ethical Trade. These rights must not be denied in practice and the organisation must not have opposed these rights in the last 2 years.

3.1.5.2 Workers’ right to join trade union bodies shall be communicated to workers by at least translating it into the appropriate languages and displaying it publicly on farm.

3.1.5.3 For larger scale operations, there shall be some form of democratically elected and independent workers’ organization established to represent workers in the company and negotiate with management.

3.1.5.4 For larger scale operations, where there is no collective bargaining agreement in place, the organisation must proactively engage in a process to enter into a collective agreement with elected worker representatives. Organisations should not refuse any genuine opportunity to bargain collectively with workers.

3.1.6 Living Wage Provisions

3.1.6.1 Wage increments shall be negotiated with elected worker representatives on an annual basis considering the extent to which wages and benefits in prawns cover the cost of living.

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3.1.7 Development of Community Relations

3.1.7.1 The farm shall develop strategies to engage and interact with the neighbouring community to provide factual information on the farming activity and to communicate on areas of potential conflict and negative perception.

3.1.7.2 The farm shall identify and eliminate any potential hazards to the neighbouring community and public health and safety caused by its operation.

3.1.7.3 Organisations within the supply chain shall support collaboration on best practice.

3.1.8 Families in

Farming

This section applies only in the specific circumstances where young workers are present on the

farm or where owner/managers or workers reside on the farm with their own young families

or host guests with young children.3.1.8.1 Where young workers and children are

present on a farm the producer shall be able

to demonstrate knowledge of and compliance

with the national and international laws

regarding young workers and children. 3.1.9 Health and Safety for Families in Farming

3.1.9.1 The Farm shall carry out a risk assessment

which identifies both labouring and non-

labouring children, the hazards present,

assesses potential risks and take actions to

control those risks.

3.1.9.2 The farm shall carry out risk assessments that cover all aspects of worker health, safety and welfare on site, including the presence and work of labouring and non-labouring young people and children. Risk assessments shall be implemented, reviewed as required and any adverse results acted upon.

3.1.9.3 Farms shall ensure that adequate and appropriate health and safety training is provided to all workers on the farm, including young people.


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3.1.9.4 The farm shall carry out an induction that informs young workers of the risks and hazards present on the farm, of emergency procedures and of the tasks they are prohibited from performing before starting employment.

3.1.9.5 Health and safety training for all workers, including young people, should include dealing with sexual, verbal and physical harassment.

3.1.9.6 The farm shall routinely assess their training for young workers or those with little previous experience, and provide refresher training where necessary.

3.1.10 Education,

socialisation and rest

3.1.10.1 Farms shall ensure children’s or young people’s employment does not interfere with their education and shall actively develop policies encouraging them to maintain their schooling at least until compulsory school leaving age.

3.1.10.2 Conditions in which young persons work shall promote their healthy development such that they have time for school, play, socialisation and rest.

3.1.10.3 When arranging working hours and overtime, due consideration should be given to the special circumstances of young persons under 18 years of age, of pregnant women and nursing mothers and of handicapped persons. For all workers any additional domestic, parental or carer duties should be taken into consideration.

3.1.10.4 Farms shall ensure that during the night, young persons are permitted a period of rest compatible with their physical necessities and consisting of not less than twelve consecutive hours, unless fewer hours rest are allowed by local law. Where local law allows night work for young workers, the farm shall comply with strict conditions of supervision by a competent adult.


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3.1.11 Non-labouring

children and young

persons

Non-labouring children and young persons refers to all persons on site that are not engaged in

work on the farm. This is not limited to the farm owner’s children, but also includes guests or

workers bringing their children on site. 3.1.11.1 If there are young children on site the farm

shall provide a secure play area to protect

them from accidents on the farm. Children

aged five and under are particularly at risk and

should be under adult supervision at all times

when on site. 3.1.11.2 Farms shall, so far as is reasonably practicable,

prevent a child from gaining access to any

hazardous part of the premises used for

agricultural activities except under the

supervision of an adult.3.1.12: New and expectant mothers.

3.1.12.1 The organisation should ensure that all legal

requirements are followed in relation to the

new and expectant mothers and have

management practices in place to ensure that

female employees are protected while

pregnant; this should include specific

procedures relating to the safety of pregnant

women such as protection against physical,

chemical or biological agents that could cause

harm. The organisation should take special

care to ensure that pregnant workers do not

work excessive hours and that rest periods are

appropriate.


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3.2 Environmental Criteria

The main objective of this principle is to support environmental sustainability by reducing the organisations environmental impact.

3.2.1 Site location and construction

3.2.1.1 Farms shall not be installed in areas designated with conservation protection; unless establishment pre-dates formal designation and in which case an appropriate assessment must be available that demonstrates that the area considered is at low risk of environmental degradation of the features subject to designation caused by the operation of the farm.

3.2.1.2 All materials used in the construction and maintenance of the farm installation (ponds, cages, nets, storage facilities, buildings) shall meet the original and any additional planning consent requirements.


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3.2.2 Wildlife and Habitat Conservation

3.2.2.1 A Wildlife and Habitat Conservation Plan shall be implemented which shall include a requirement to monitor and record environmental quality on the farm and in the immediate areas of influence, taking into account the scale and risk of impact from the operation. Where available, reference to the environmental conditions prior to the farm installation shall be used as a baseline to measuring environmental changes.

3.2.2.2 Practices that cause degradation shall be risk assessed measured identified that will prevent or mitigate degradation to critical habitats and the surrounding natural environment.

3.2.2.3 Appropriate mitigation measures / remedial action for any identified adverse impacts on the surrounding natural ecosystem shall be described in the plan and actively implemented.

3.2.2.4 Farms that were previously established in now designated areas of high conservation value such as mangroves and inter-tidal zone (e.g. RAMSAR, World Heritage or National legislation) shall demonstrate commitment to the Resolutions of the Convention on Wetlands May 1999. (Article 15: “Contracting Parties to suspend the promotion, creation of new facilities, and expansion of unsustainable aquaculture activities harmful to coastal wetlands...“).

3.2.2.5 Where non-native species are farmed the organisation shall develop and implement a site specific containment plan that prevents the accidental release of stock into the natural environment and including reporting requirements to the relevant authorities and mitigation activities to recover and limit the negative impacts of escapes on the environment.


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3.2.3 Biosecurity

3.2.3.1 A site or zone specific biosecurity plan shall be developed using best practice in line with international codes (OIE Animal Health Code) and regulations in order to reduce the risk of disease introduction and to limit its spread if a disease outbreak does occur.

3.2.3.2 The biosecurity plan shall include but is not limited to the following:

• Site layout

• Farm design

• Water source

• Farm stock inputs

• Equipment and its movement

• Staff and their movement

• Proximity to neighbouring farms

• Actions to limit the outbreak of disease

including early notification to

neighbouring farms when a disease

outbreak is suspected

Coordinated activities that are identified within a zone management approach designed to support health, reduce disease transfer and impact and support additional environmental impact reduction.

3.2.4 Predator and Pest Control

3.2.4.1 A predator and pest control plan shall be implemented, use non-lethal predator control before lethal methods are used and record all interactions with predators.

3.2.4.2 The farm shall ensure that only as a last resort are lethal control methods used and shall obtain all necessary permits to carry out predator control.

3.2.4.3 Lethal methods of predator control are prohibited for species of high conservation value (e.g. endangered threatened or protected species listed on IUCN, CITES or through other national designations a current list of which must be held by farms).



3.2.5 Growing Pond and Water Treatments

3.2.5.1 Water conditioning and pond pre-stock treatment procedures and rationale shall be documented. Records shall include the nature of the treatment, date of treatment and treatment administrator.

3.2.5.2 Pond treatments shall be undertaken by trained staff.

3.2.5.3 Only substances and practices that are not banned by EU shall be used for pond treatment and water conditioning.

3.2.6 Probiotic Use

3.2.6.1 Where probiotics are added to ponds, they shall be approved for use by National legislation and not prohibited by EU legislation.

3.2.6.2 Where probiotics are added to the feed, they shall carry National authorization and not prohibited by EU feed ingredients legislation.

3.2.6.3 All probiotics shall be used in accordance with the manufacturer’s recommendations.

3.2.6.4 Accurate records of all probiotic treatments administered shall be maintained, including product name, active ingredient, lot or batch numbers, dose rate, administration method, frequency and ponds/stock treated.

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3.2.7 Stock Health and Welfare

3.2.7.1 A site and species specific stock health and welfare plan that promote best practice in line with, regulatory requirements, international codes and procedures and good hygiene practice shall be implemented.

3.2.7.2 Appropriate procedures to enable early detection of disease through routine monitoring of stock and pond environment) shall be implemented and used to respond to disease outbreaks, which includes the ability to quarantine stock where appropriate.

3.2.7.3 Records of disease occurrences, mortalities and veterinary treatments shall be maintained.

3.2.7.4 All stock treatments shall be undertaken in accordance with, regulatory requirements and by trained personnel or under veterinary supervision to ensure correct use and to limit any potential environmental impact.

3.2.7.5 Antimicrobial agents shall be used in a controlled and legal manner as outlined in the Principles for Responsible and Prudent Use of Antimicrobial Agents in Aquatic Animals (OIE -Aquatic Animal Health Code - 07/08/2014).

3.2.7.6 The prophylactic use of all veterinary drugs is prohibited.

3.2.7.7 All handling practices adopted on the farm shall comply with good husbandry practices to minimise stress on farm stock.

3.2.7.8 Eyestalk ablation is the current standard practice to induce egg development in female prawns. When practiced, the organisation shall follow strict ‘best practice’ procedures designed to reduce the impact on stress and support recovery. Organisations shall support research and trials into alternative, less invasive methods of reducing the activity of Gonad Inhibiting Hormone (GIH) on broodstock maturation.


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3.2.8 Permitted sources of Juveniles

3.2.8.1 Only species allowable by the regulator(s) shall be stocked.

3.2.8.2 The correct documentary evidence including current regulatory permits, permissions, disease free certifications or movement licenses shall accompany each batch of juveniles introduced on the farm.

3.2.8.3 An appropriate traceability system for recording the source, stocking and health status of all juveniles shall be maintained.

3.2.8.4 The use of wild sources of juveniles is prohibited.

3.2.8.5 The use of genetically modified stock is prohibited. No GMO are to be used in line with the Sainsbury's GMO Policy.

3.2.9 Farm Water use and Conservation

3.2.9.1 Farm water shall only be abstracted and used if it is in accordance with regulatory requirements.

3.2.9.2 Measures shall be in place to record, conserve and reduce water consumption and water loss through seepage. Measures shall include prevention of:

• Salinization of freshwater sources such

as groundwater.

• Seepage or unintentional discharge from grow out ponds from ground water and other freshwater sources.

3.2.9.3 Where water sources are deemed to be at high risk of water vulnerability the producer shall seek to address this through appropriate water stewardship and management. The producer shall engage with Sainsbury’s regarding the identification of high risk areas and appropriate responses.



3.2.10 Water Quality

3.2.10.1 Water quality limits shall be identified (e.g. pre-established by regulation or by adherence to International Standards for farmed shrimp/prawn for both inflow (where applicable) and outflow (effluent) discharges.

3.2.10.2 Where limits are exceeded, mitigation methods shall be employed and monitored to meet a time bound goal to deliver compliance.

3.2.10.3 Monitoring and sampling shall be undertaken at the most critical points on the farm where stock health and effluent loading dictates greater risk to either stock welfare or environmental impact. [This may be at each inflow and outflow of farm systems where common inflow, multiple use and combined outflow is encountered].

3.2.11 Energy Use

3.2.11.1 All the energy and fuel that is consumed at all parts of the operation shall be identified recorded by type (e.g. diesel fuel, gasoline, electricity from fossil fuel/diesel generator, solar energy, wind turbine, hydro).

3.2.11.2 An energy conservation plan shall be developed, identifying the highest consumption areas on the site and implementing measures to reduce consumption and/or improve efficiency.

3.2.11.3 Initiatives to reduce energy consumption by the use of renewable energy based products and services, shall be recorded and documented.

3.2.11.4 The electricity supply to all parts of the organisation shall be maintained in a serviceable condition to reduce losses, avoid power outage and circuit failure.

3.2.11.5 A preventative maintenance program shall be implemented to reduce breakdown of mechanical and electrical equipment. Maintenance activity shall be recorded and records maintained.

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3.2.12 Fertiliser Management

3.2.12.1 The use of suitably processed and treated fertilizer, lime or other chemicals to treat ponds shall be defined by procedure that is monitored and recorded by the farm. Records shall include manufacturer, fertilizer Batch/Lot/ID number, date of purchase and date of application to pond.

3.2.12.2 Unprocessed or unsuitably treated organic materials shall not be used to fertilize ponds.

3.2.13 Chemicals, fuels and lubricants

3.2.13.1 Controlled procedures of best practice shall be adopted for the storage, use and disposal of all chemicals and potentially environmentally harmful liquids.

3.2.13.2 All medicines, chemicals, fuels and lubricants held on site shall be stored in a secure area and an accurate inventory record maintained of storage and use.

3.2.13.3 All fuels, lubricants and other potentially hazardous liquids e.g anti-foulant shall be labelled and stored in bonded or otherwise secure containers in controlled areas.

3.2.13.4 A plan designed to reduce the use of chemicals and other products as part of their commitment to improved environmental performance shall be implemented.

3.2.13.5 All initiatives to reduce the environment impact shall be documented and recorded.

3.2.14 Feed Materials

3.2.14.1 Accurate records of all the feed supplies (origin, product specification, manufacturer permits and licenses) shall be maintained.

3.2.14.2 Statements of the environmental and nutritional credentials, origin and quantity of all the major feed ingredients used including certifications that are carried by manufacturers and their suppliers of feed materials shall be requested from those suppliers and maintained.

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3.2.14.3 Only feed sourced from a manufacture that does not use marine feed ingredients from populations of endangered species of stocks as listed on the IUCN Red List or equivalent and that do not use marine feed ingredients from illegal, unreported, and unregulated fishing (I.U.U.) shall be used.

3.2.14.4 Targets shall be set for the following and records maintained to monitor performance:• Feed conversion rations (FCR)• Fish in: Fish out ratios for completed

crop cycles• Total Phosphorus/total Nitrogen

content of feed3.2.14.5 All feed shall be stored in, secure, dry,

designated areas; to prevent its deterioration and contamination, to prevent the risk of pest infestation, and to minimize the risk of contamination to the surrounding environment.

3.2.14.6 Feed shall be checked for good physical quality before feeding and where loss in feed quality occurs, the farm shall instigate a review to determine if the feed material is still adequate for feeding or if it should be discarded.

3.2.14.7 Feed shall meet the nutritional demands of the stock.

3.2.14.8 A feeding strategy that supports accurate feeding to promote healthy growth and avoids over feeding shall be adopted.

3.2.14.9 Measures shall be in place to prevent overfeeding of stock (e.g. feed trays, or other mechanism to prevent feed wastage from over-feeding).

3.2.14.10 Feedstuffs shall not contain materials derived from the same genus as the species being farmed.

3.2.14.11 The use of unprocessed wet-fish as a feed source in grow-out and hatcheries is prohibited.



3.2.15 Harvesting Practices

3.2.15.1 All harvested prawn by-product or rejected stock (damaged, diseased, mortality) shall be stored and/or disposed of in a legal and responsible manner.

3.2.15.2 Accurate harvesting records shall be maintained to allow an assessment of the productivity per unit (pond or per ha) and to maintain the required traceability requirements (e.g. inputs, withdrawal from treatments).

3.2.15.3 Then harvesting, the waste water effluent that occurs shall be treated as needed in order to reduce or neutralize the environmental impact and shall only be released in compliance with local regulations.

3.2.15.4 The harvest practices adopted shall not compromise the welfare of shrimp/prawns prior to and during harvesting.

3.2.15.5 The pre-harvest starvation period shall be controlled and limited to a maximum of 48 hrs.

3.2.16 Farmed Animal Containment

3.2.16.1 A farm containment plan shall be actively implemented and documented that includes; the identification of high risk areas for potential Prawn escapes in all parts of the operation.

3.2.16.2 Actions to mitigate/manage activities that pose the greatest risk of escapes shall be implemented.

3.2.16.3 All initiatives adopted shall be documented and recorded.

3.2.16.4 An action plan to mitigate impacts external to the farm should shrimp/prawns escape into the environment shall be developed.

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3.2.17 Waste Management

3.2.17.1 The removal, storage and disposal of pond sludge shall be undertaken in an environmentally responsible manner so as not cause a risk to flora and fauna of surrounding waters, environment and protected habitats, e.g. mangrove wetland areas.

3.2.17.2 Human sewage shall either be treated prior to discharge to identified and approved areas or discharged to municipal treatment plants.

3.2.17.3 All other waste, including hazardous wastes, liquids, decommissioned no longer serviceable equipment, organic and solid waste and refuse shall be stored, contained to avoid the risk of pollution or contamination, transported and disposed of in an environmentally responsible and legal manner.

3.2.17.4 Ways to reduce waste, re-cycle waste and where appropriate, re-use items shall be identified as part of their commitment to environmental improvement.

3.2.17.5 All waste disposal and reduction activities shall be recorded including the end point disposal method.

3.2.18 Shrimp/Prawn Mortality Management

3.2.18.1 All retrievable prawn mortalities shall be collected daily and stored, transported and disposed of in a manner that does not cause adverse risks to the surrounding environment and public health.

3.2.18.2 Additional to 3.2.18.1, a contingency plan shall be in place for the responsible storage and disposal of shrimp/prawns in the event of a mass mortality.

3.2.18.3 Mortality estimates shall be calculated based on total input of Prawn Larvae (PL) compared to output of harvested shrimp/prawns.

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3.3 Economic Criteria Economic performance is defined as making a positive income from a stable business, with benefits for both direct and indirect stakeholders. Criteria include business performance, business continuity and community benefit.

3.3.1 Economic Accountability

3.3.1.1 The organisation shall document and utilise business information to identify investment planning requirements that support best practice, innovation and economic stability.

3.3.1.2 Organisations shall take part in any government sponsored or otherwise reputable surveys that analyse and report on the economic viability of shrimp/prawn farming in that region.

3.3.1.3 Economic indicators shall be identified and monitored to measure performance over time. Indicators may include those identified in environmental and social criteria where they also have an economic impact.

3.3.1.4 Objectives that focus on economic improvement shall not conflict with or undermine social or environmental performance of the farm (according to the criteria in this standard).

3.3.1.5 Business continuity and succession of ownership shall be identified for owner operated farms.

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3.3.2 Supporting Communities

3.3.2.1 The development and impact that infrastructural investments and services the organization has made, have toward public benefit whether from commercial, in kind, or pro bono engagement shall be documented.

3.3.2.2 The policy, practices and proportion of spending on local, national and International supplies of goods and materials shall be recorded.

3.3.2.3 Has the farm developed strategies to attract the next generation to work in the prawn industry?

3.3.3 Investing in People

3.3.3.1 The producer shall show evidence of efficient human resource management through,

• personnel records for all workers, including seasonal workers

• employment history of all workers, including seasonal workers (on and off farm)

• productivity, training and induction programmes and records of absenteeism rates and targets and strategies developed to decrease absenteeism

• grievance and disciplinary procedures which are clearly communicated to workers

• bonus schemes to reward efficient harvesters

• the existence/appointment of trained and skilled HR management.

3.3.3.2 A producer shall develop a management and employee development plan to create a training structure to enhance the long term prosperity of the farm and its employees. Consideration should be given to the equal treatment of workers within a framework of equality, including such things as gender and race, skills development, fair treatment by supervisors, supervisor training in worker rights and responsibilities and worker training on supervisor responsibilities and rights.

3.3.3.3 Farms shall develop a management plan to reduce farm absenteeism.

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4 Continuous Improvement

4.1 To meet the our Sustainability Plan targets, the farm shall commit to use records and take the opportunities for improvement which these show as a way of enhancing all their performance indicators.

4.2 The farm shall demonstrate its commitment to continuous improvement through activities incorporating but not limited to;• Benchmarking and improvement plans• Performance records• Implementation of best practice and

innovation• Engagement with local communities• Training and staff performance• Effective worker/management

communication channels.

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8 Appendix 1 Targets and Key Delivery Goals

Target: No. 1 - By 2020, we’ll source all of our key raw materials and commodities sustainably to an independent standard.

Key Delivery goals

KDG1 We define our key raw materials as the Top 35 raw materials and commodities from a commercial and sustainability perspective used in our own brand products.

KDG3 We will have 100 per cent traceability of key raw materials within our supply chains.

KDG4 We will establish a sustainable sourcing code for raw materials which draws on existing independent standards and, where they don’t exist, create our own Sainsbury’s specific standard.

KDG5 We will play an active role in shaping existing independent standards and developing new standards that currently don’t exist.

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9 Appendix 2. Applicability Statement

For the purposes of clarifying the application of the Sainsbury’s Sustainability Standards, the following definitions and caveats apply.

ProducersProducers in this context relate to Farms, Farmers and Growers. These are often the smallest unit in the supply chain and responsible for growing or producing the Key Raw Material.

Producer Organisations or Supplier These are the marketing organisations, including co-operatives or collectives responsible for packing and associated processes. These organisations ship Produce received from Farmers and Growers to organisations further up the Supply Chain. In some instances, a Producer Organisation could be the supplier of the final product.

CaveatsGiven the context though of smallholder farmers, who may not have the necessary know-how or resource to undertake all the requirements, the application of the requirements of this standard may be undertaken in conjunction with closest practical supply chain partner to the production of the crop, who have the resources to do so.

Hence, where farms are part of a collective or central management system, the criteria within the Standards will still apply, however the management of the requirement may be undertaken at Producer Organisation level as they may have more resource to fulfil the requirements. The aim is to drive co-operation through the supply chain and a willingness by the supply chain to co-operate for mutual benefit.

This does not diminish the importance of understanding the risk to the environment and surrounding community of the farming operations. Therefore, all requirements must be addressed and if appropriate, a ‘Risk Assessment’ or ‘Environmental Impact Assessment’ may be necessary for some requirements.

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Relationship with other requirements The requirements outlined in this document are in addition to all applicable UK and EU legislation and industry best practice. Sainsbury’s suppliers must ensure that they meet all requirements laid down in law at the point of manufacture. While the requirements set out above are intended to help you supply sustainably produced products suitable for Sainsbury’s, they do not absolve you of your responsibility to understand and comply with all the quality, legal and safety requirements for your products. Suppliers are expected to comply with the requirements of relevant Sainsbury’s Brand Standards, Policies and Codes of Practice.

Annex 1 – Existing Parameters from Recognised Standards:

Existing Metrics from Recognised Standards

Metric GAA BAP - Shrimp Farm Standard - (All Pond Farms)

GAA BAP -Shrimp Hatchery Standard

ASC Shrimp Global GAP

website http://www.gaalliance.org/cmsAdmin/uploads/BAP-ShrimpF-612S.pdf

http://www.gaalliance.org/cmsAdmin/uploads/BAP-ShrimpH-612S.pdf

http://assets.worldwildlife.org/publications/429/files/original/ShAD_Standard_Final_Draft.pdf?1346186260

http://www.globalgap.org/uk_en/for-producers/aquaculture/

Water Quality

BAP Effluent Water Quality Criteria -Standard 5: Environment Effluent Management

BAP Water Quality Criteria - Standard 6: Environment Effluent Management

Criterion 7.5: Effluent contaminant load: Page 74 -76

Aquaculture Module 4.1. AB 11 clauses and AB 5.2.10

FCR eFCR Feed Conversion Ratio

BAP Effluent Water Quality Criteria -Standard 5: Environment Effluent Management - Feed Conversion

Appendix V: Feed resource calculations and methodologies: Page 102

Aquaculture Module 4.1AB 5.2.7 (Feed records but not FCR)

Growth Rates

Criterion 2.3: Consideration of habitats critical for endangered species: Page 20

All Farm BaseAF 1.1.2 (Records of batches but not specifically Growth Rate)

Feed - FIFO: Fish in Fish out

Transformation yield of fishmeal and fish oil from fish 22.5% and 5%, respectively.

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Sainsbury’s encourages the adoption of existing metrics, calculation methods and standards where these have been established. Metrics for the following parameters have defined in existing Recognised Standards.

•Water quality•FCR and eFCR•Fish In- Fish Out Ratios (FIFO)•Specific Growth Rate•Pond productivity (per Ha)•Farm size- small, medium and large and group certification definitions.


Annex 2: Example of Matrix for Farm Scale Versus Performance Requirements (following for illustration only)

Indicator Metric Small Scale Medium Scale Large Scale

No of employees(including managersand owners whoactively manage)

FTE equivalentsFull time staff= 1 FTEPart time staff= 0.5 FTECasual labour –>100 days/year = 1 FTE<100 days/year = 0.5FTE

<7 >7 < 25 >25

Growing area No of ponds orProduction area inhectares (10,000m2)

<5

<5

>5<15

>5 <25

>15

>25

Production Tonnage per annum<100t >100-300 t >300 t

Assigned scoringvalues

Score for the category(small, medium orlarge).

1 2 3

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Cumulative AssignedScore

Size/Scale

<6 Small

<9 Medium

>9 Large

Example:Farm with 17 ha of growing ponds, employing 7 full time staff, one part time and 8 casuals for stocking and harvest operations (total of 280 person days per year) producing 520 tonnes per annum would score as follows:Employment = 7 + 0.5 + 4 (280/8= 35 days per casual= 8 * 0.5FTE) = 11.5 assign Medium scale score = 2Growing Area = 17 ha = Medium scale score = 2Production = 520 tonnes = Large scale score = 3Total score (cumulative) = 7 which requires the Farm to apply the Standard applicable to Medium Scale Farm Requirements.Broad Applicability:

• Small scale operators are expected to achieve engaged status within 18 months and Improver status within 36 months

• Medium scale operators are expected to achieve Improver status within 24 months and Leader status within 36 months

• Large scale operators are expected to achieve Improver status within 12 months and Leader status within 30 months

Score each parameter and cumulate: Size classifications are as follows:

References and Standards

Finfish and Crustacean Farm Standards and Guidelines, Global Aquaculture Alliance, Best Aquaculture Practice Rev 4/13http://www.gaalliance.org/cmsAdmin/uploads/bap-fishcrustf-413.pdfFinfish and Crustacean Hatchery Standards and Guidelines, Global Aquaculture Alliance, Best Aquaculture Practice Rev 6/13http://www.gaalliance.org/cmsAdmin/uploads/BAP-ShrimpH-612S.pdfDraft Standards for Responsible Shrimp Aquaculture WWF Dialogues Draft 3. Aquaculture Stewardship Councilhttp://assets.worldwildlife.org/publications/429/files/original/ShAD_Standard_Final_Draft.pdf?1346186260ILO Minimum Wage Convention 138http://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C138ICES Code of Practice on Introductions and Transfers of Marine Organisms, 2005http://info.ices.dk/pubs/Miscellaneous/ICESCodeofPractice.pdfCode of Practice and Manual of Procedures for Consideration of Introduction and Transfers of Marine and Freshwater Organismshttp://www.fao.org/docrep/009/ae989e/ae989e00.HTMOIE Aquatic Animal Health Codehttp://www.oie.int/international-standard-setting/aquatic-code/http://www.oie.int/fileadmin/Home/eng/Health_standards/aahc/2010/chapitre_antibio_resp_prudent_use.pdfOIE Manual of Diagnostic Tests for Aquatic Animalshttp://www.oie.int/international-standard-setting/aquatic-manual/access-online/FAO Fisheries and Aquaculture Technical Paper No. 527, Rome, 2009; Environmental impact assessment and monitoring in aquaculturehttp://www.fao.org/docrep/012/i0970e/i0970e00.htmSainsbury’s Supermarkets Ltd. Farm Policy on Ethical Trade - Code of Conduct on Ethical Trade and referring to the Ethical Trade Initiative (ETI) Base Code and consistent with ILO Conventions and national legislation. http://j-sainsbury.co.uk/media/1586898/sainsbury_s_code_of_conduct_for_ethical_trade.pdfVeterinary Medicines Products Directive (EC Directive 2001/82/EC and amendments). EC Regulation 37/2010 – Prohibited substances. http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CONSLEG:2001L0082:20090807:EN:PDFCOMMISSION REGULATION (EU) No 37/2010 of 22 December 2009 on pharmacologically active substances and their classification regarding maximum residue limits in foodstuffs of animal origin. http://ec.europa.eu/health/files/eudralex/vol-5/reg_2010_37/reg_2010_37_en.pdfRefer to C087- Freedom of Association and Protection of the Rights to Organise Convention, 1984 (No. 87); C100-Equal Remuneration Convention, 1951 (No. 100); C105- Abolition of Forced Labour Convention, 1957 (No. 105); C111- Discrimination (Employment and Occupation Convention 1958 (No. 111); C138- Minimum Age Convention, 1973 (No 138); C182- Worst Forms of Child Labour Convention, 1999 (No. 182)http://www.ilo.org/global/standards/subjects-covered-by-international-labour-standards/lang--en/index.htm

Blue North – Sustainability Performance Management Tool 03.15

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http://www.gaalliance.org/cmsAdmin/uploads/bap-fishcrustf-413.pdf


http://www.ilo.org/dyn/normlex/en/f?p=NORMLEXPUB:12100:0::NO::P12100_ILO_CODE:C138

http://info.ices.dk/pubs/Miscellaneous/ICESCodeofPractice.pdf

http://www.fao.org/docrep/009/ae989e/ae989e00.HTM

http://www.oie.int/international-standard-setting/aquatic-code/

http://www.oie.int/international-standard-setting/aquatic-manual/access-online/

http://www.fao.org/docrep/012/i0970e/i0970e00.htm

http://j-sainsbury.co.uk/media/1586898/sainsbury_s_code_of_conduct_for_ethical_trade.pdf

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CONSLEG:2001L0082:20090807:EN:PDF

http://ec.europa.eu/health/files/eudralex/vol-5/reg_2010_37/reg_2010_37_en.pdf

http://www.ilo.org/global/standards/subjects-covered-by-international-labour-standards/lang--en/index.htm

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