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.

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.

Acoustic deterrence includes any device or method used in which acoustic (‘sound’/’noise’) is used to deter wildlife. This includes, but is not limited to, the use of acoustic deterrent devices (ADDs) and acoustic harassment devices (AHDs).

Records of the use of any aquatic acoustic deterrence, which includes the frequency and duration and duration of the deterrence.

If aquatic acoustic deterrence is used, scientific reports/publications are obtained which demonstrate that the deterrence does not result in significant stress, injuries to, or mortality of, the species impacted/targeted by the deterrence.

Records are provided to demonstrate whether any aquatic acoustic deterrence has been used.

If aquatic acoustic deterrence has been used, scientific reports/publications have been presented by the UoC to demonstrate that the deterrence does not result in significant stress, injuries to, or mortality of, the species impacted/targeted by the deterrence.