This Indicator requires the UoC to report the relevant data to ASC, as per data submission procedure.

Evidence that data has been submitted and received by ASC.

Verify that UoC holds evidence that data has been submitted to ASC.

This indicator requires the UoC to log (i.e. register) all handling and containment incidents, including near misses, in order to inform the risk assessment (see Indicator 2.4.3) and the training (2.4.4) on situations that could result, or have resulted, in registered escapes.

A documented register of all handling and containment incidents and near misses.

Presence of the register.

Interviews with employees to confirm that employees are aware of the register and that it is being used.

Training and handling procedures includes:

Training documents and records of staff attendance.

Presence of relevant procedures/protocols.

Training documents and records of staff attendance.

Presence of relevant procedures/protocols.

Interviews with staff.

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.

<https://www.gov.scot/publications/aquaculture-code-practice-containment-prevention-escape-fish-fish-farms-relation-marine-mammal-interactions/pages/1/>

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.

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.

Batch records or other documentations are maintained to demonstrate stocked fish are hatchery-raised.

For Seriola/Cobia, where wild caught fingerlings are stocked, documentation demonstrating the species is not listed as a Threatened Species and records demonstrating the traceability of the fish.

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

Traceability documentation should include the species, catch method and area in which the fish was caught.

Batch records or other documentation are presented to demonstrate stocked fish are hatchery-raised.

For Seriola/Cobia stocked from a wild fishery, adequate documentation is presented to demonstrate traceability back to the fishery and the certification of the originating fishery (to an ASC-recognised fisheries certification scheme).

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