The short version
- Third-party certification audits assess conformance against all five principles, due diligence systems, and ingredient accounting rules.
- Senior management must conduct regular management reviews to evaluate audit findings, corrective action progress, and resource allocation.
- Objective evidence must be maintained systematically across all operational areas, including purchasing records, labor logs, and risk assessments.
- Internal self-audits performed by competent auditors are mandatory before hosting initial or surveillance assessments by Conformity Assessment Bodies.
Overview of Third-Party Certification Audits
Achieving and maintaining certification under the ASC Feed Standard V1.2 requires undergoing independent third-party assessments conducted by accredited Conformity Assessment Bodies. Audits evaluate whether a feed manufacturing facility operates effectively across all five standard principles, implements robust Due Diligence pathways, and manages ingredient volume accounting accurately.
The certification journey includes an initial audit, followed by annual surveillance audits during the three-year validity cycle, and a recertification audit prior to certificate expiration. Unannounced audits may also be conducted by the certification body to verify ongoing daily compliance.
The Role of Management Reviews and Governance
Under Criterion 1.2, top management holds overall responsibility for the continuous implementation and effectiveness of the ASC management system. Management reviews are a formal requirement under Indicator 1.2.1 and must be conducted at planned intervals.
Key inputs and outcomes of the management review include:
-
System Performance Evaluation: Reviewing internal and external audit results, status of non-conformities, and progress on corrective action plans.
-
Resource Allocation: Ensuring adequate budget, infrastructure, and trained personnel are assigned to maintain social compliance, environmental monitoring, and raw material due diligence.
-
Policy Updates: Revising health and safety procedures, supply chain commitments, and ethical labor policies in response to regulatory changes or operational findings.
-
Principle 1 Labor and Safety Records: Digital time-card logs, payroll statements, signed employee contracts, onboarding completion verification in training databases, personal protective equipment distribution logs, and chemical storage safety data sheets.
-
Principle 2 and Principle 5 Due Diligence Files: Approved supplier lists, country risk scorecards, primary raw material origin tracking documents, sector assessment reports, and active public action plans for deforestation-free sourcing.
-
Principle 3 Mass Balance Accounting: Ingredient Accounting System balancing reports, receiving tickets, supplier delivery documentation, dispatch records, and annual tolerance reconciliation sheets.
-
Principle 4 Marine Ingredient Documentation: Sourcing receipts, Fishery Improvement Project registration verification on FisheryProgress.org, and MarinTrust or Marine Stewardship Council chain of custody certificates.
-
Auditor Competency: Internal auditors must possess necessary qualifications, including completion of the ASC Feed Standard training module. Auditors evaluating social and labor criteria under Principle 1 must hold specialized social auditing qualifications.
-
Root Cause Analysis: When internal non-conformities are identified, management must perform a root cause analysis to establish targeted corrective actions rather than applying temporary fixes.
-
Closing Out Audit Findings: Timely resolution of internal audit findings prevents recurring operational lapses from escalating into major non-conformities during external audits.
-
Establish an Audit Escort Team: Assign designated quality assurance, human resources, and procurement personnel to accompany auditors during site walkthroughs and document reviews.
-
Ensure Interview Confidentiality: Provide private spaces for worker interviews where staff can speak freely without management presence.
-
Maintain Document Control: Ensure all standard operating procedures, policies, and records are up to date, controlled, and readily accessible to the audit team.
- ASC Feed Standard V1.2 (Criterion 1.2, Indicator 1.2.1, Indicator 1.2.6, Appendix 10)
- ASC Feed Standard Interpretation Manual V1.2 (Criterion 1.2 Guidance and Auditing Considerations)
- ASC Farm and Feed Certification and Accreditation Requirements
Manage this work in 4Auditee
Keep audit plans, problems, corrective actions and document versions in one place. See the records behind each change and decision.
Book a demo