This Indicator requires the UoC to conduct a site-specific risk assessment to proactively identify and mitigate risks associated with handling and containment of cultured animals. The Indicator emphasises the need for tailored evaluation rather than a generic approach as site-specific circumstances might require different responses. Management approval ensures that the assessment is formally reviewed, acknowledged and integrated into wider management structures.

Documentational evidence of a risk assessment, the identification of appropriate risk levels and any mitigation actions taken (including the implementation thereof). The evidence should also include proof of management approval and periodic review of the risk assessment to ensure that it remains relevant.

Presence of a documented risk assessment, which:

That the risk assessment identifies:

This Indicator requires the UoC to prevent the escape of cultured animals. It focuses on three key aspects:

Inspection of containment structures to check for structure integrity, including:

Escape prevention measures are installed according to construction specifications that incorporate environmental conditions and species-specific characteristics.

Documents demonstrating inspection and maintenance is occurring regularly and when needed (e.g. after a storm).

Escape prevention measures have been installed according to construction specifications and are appropriate to environmental conditions and species-specific characteristics.

Documents have been presented which demonstrate inspection and maintenance has occurred regularly and as required.

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The stocking and culture of transgenic animals is not permitted on ASC certified sites.

Transgenic animals are not common in aquaculture, but transgenic stocks of Atlantic salmon, rainbow trout, channel catfish and Nile tilapia are known to exist.

Evidence that non-transgenic animals are stocked should be presented to the auditor. This could consist of a declaration from the hatcheries that non-transgenic animals are used.

All stock is from non-transgenic origin.

Records of data submissions to ASC.

Data on wildlife mortalities has been submitted to ASC and is accessible.

Wildlife mortalities are disclosed and are easily and publicly available.

Hardcopies of mortalities are available to stakeholders, if requested.

Records are kept demonstrating when mortalities have been disclosed.

Sampling results are easily and publicly available. If applicable, confirm that the site has made hard copies of test results easily available to stakeholders.

Mortalities have been disclosed per site within 30 days of each incident.

Wild abalone populations can be impacted through selectively bred animals recruiting into, and breeding with, wild abalone populations.

Potential genetic impacts to at-risk populations can be mitigated by means of minimising escapes from abalone sites and by farming with stock originating from the same genetic stock as the local wild populations surrounding the site.

Documentation demonstrating the origin of seed and that it originates from native wild broodstock.

Documentation has been presented demonstrating the origin of seed and that it originates from native wild broodstock.

Documentation (e.g. batch records) demonstrating that the species used for wild caught seed is not listed as a Threatened Species.

The IUCN Red List can be used to check whether the species used for wild caught seed is listed as Threatened.

Evidence has been presented that the species used for wild caught seed is not a Threatened Species.

IUCN: The IUCN Red List of Threatened Species: IUCN Red List of Threatened Species.

The translocation of wild bivalve seed can pose risks to the genetic diversity of wild populations.

Genetic risks to wild populations therefore need to be assessed and procedures need to be implemented to address any genetic risks. These will be based on the species and geographic region where the seed will be stocked.

Efforts should be made to address genetic concerns specific to the species and the geographic region where the seed will be stocked.

This may include preserving diversity of broodstock and seed by:

An assessment of genetic risks presented from the translocation of wild bivalve seed, based on the species and geographic region where the seed will be stocked.

The hatchery has procedures and measures in place to address any genetic concerns. For example:

Evidence has been presented that genetic risks to wild populations have been assessed and the hatchery has implemented procedures and measures to address these risks. For example:

Hatchery permits and import licences which demonstrate the source of the larvae.

If applicable, documentation that confirms crustacean production is extensive.

Hatchery permits and import licences are presented which demonstrate wild larvae is hatchery-raised.

If crustacean production is extensive and wild larvae are stocked, documents are presented demonstrating the exception in Indicator 2.3.8 is met.

Documentation (e.g. batch records) demonstrating the wild broodstock species is not listed as a Threatened Species.

The IUCN Red List can be used to check whether the wild broodstock species is listed as Threatened.

Evidence has been presented that wild broodstock is not a Threatened Species.

IUCN: The IUCN Red List of Threatened Species: IUCN Red List of Threatened Species.