SQFI Aquaculture Checklist

Use this SQF Aquaculture Checklist Edition 9 to perform internal audits and/or gap assessments to implement your SQF-compliant operations, or in preparation of your SQFI (Safe Quality Food Institute) certification. This comprehensive checklist can be used to inspect aquaculture product safety, materials management, food safety management system, food safety plan, product sampling and more.

SQFI Aquaculture Checklist



General Information

1. Opening Meeting - People Present at the Opening Meeting (Please list names and roles in the following format Name: Role separated by comas)


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2. Closing Meeting - People Present at the Closing Meeting (Please list names and roles in the following format Name: Role separated by comas)


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3. Facility Description - Auditor Description of Facility (Please provide facility description include # of employees, size, production schedule, general layout, and any additional pertinent details


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4. Auditor Recommendation


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Management Commitment - Management Responsibility (Mandatory)

1. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: i. Supply safe food;


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2. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: ii. Establish and maintain a food safety culture within the site;


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3. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: iii. Establish and continually improve the site’s food safety management system; and


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4. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: iv. Comply with customer and regulatory requirements to supply safe food. The policy statement shall be:


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5. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: v. Signed by the senior site manager and displayed in prominent positions; and


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6. Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to: vi. Effectively communicated to site personnel in language(s) understood by all staff.


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7. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: i. The establishment and documentation of clear and concise food safety objectives and performance measures and their communication to all relevant staff;


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8. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: ii. Adequate resources are available to meet food safety objectives and performance measures;


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9. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: iii. Food safety practices and all applicable requirements of the SQF System are adopted and maintained;


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10. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: iv. Staff are informed and are aware of their food safety and regulatory responsibilities;


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11. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: v. Staff are aware of their role in meeting the requirements of the SQF Food Safety Code: Aquaculture and are held accountable for meeting these requirements;


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12. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: vi. Staff are positively encouraged and required to notify management of actual or pending food safety issues; and


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13. Senior site management shall lead and support a food safety culture within the site that ensures at a minimum: vii. Staff are empowered to act to resolve food safety issues within their scope of work.


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14. The reporting structure shall identify and describe the site personnel with specific responsibilities for tasks within the food safety management system. Job descriptions for those personnel shall be documented and include a provision to cover for the absence of key personnel.


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15. Senior site management shall designate a primary and substitute SQF practitioner for each site with responsibility and authority to: i. Oversee the development, implementation, review, and maintenance of the SQF System, including Good Aquaculture Practices outlined in 2.4.2 and the food safety plan outlined in 2.4.3.


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16. Senior site management shall designate a primary and substitute SQF practitioner for each site with responsibility and authority to: ii. Take appropriate action to ensure the integrity of the SQF System; and


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17. Senior site management shall designate a primary and substitute SQF practitioner for each site with responsibility and authority to: iii. Communicate to relevant personnel all information essential to ensure the effective implementation and maintenance of the SQF System.


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18. The SQF practitioner shall: i. Be employed by the site;


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19. The SQF practitioner shall: ii. Hold a position of responsibility in relation to the management of the site’s SQF System;


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20. The SQF practitioner shall: iii. Be competent to implement and maintain HACCP-based food safety plans; and


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21. The SQF practitioner shall: iv. Have an understanding of the SQF Food Safety Code: Aquaculture and the requirements to implement and maintain an SQF System relevant to the site’s scope of certification. The substitute Practitioner shall have the same competencies as the assigned SQF practitioner.


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22. Senior site management shall ensure the training needs of the site are resourced, implemented, and meet the requirements outlined in system elements 2.9 and that site personnel have met the required competencies to carry out those functions affecting the legality and safety of food products.


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23. Senior site management shall ensure the integrity and continued operation of the food safety system in the event of organizational or personnel changes within the company or associated facilities.


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24. Senior site management shall designate defined blackout periods that prevent unannounced re-certification audits from occurring out of season or when the site is not operating for legitimate business reasons. The list of blackout dates and their justification shall be submitted to the certification body a minimum of one (1) month before the sixty (60) day re-certification window for the agreed-upon unannounced audit.


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Management Commitment - Management Review (Mandatory)

1. The SQF System shall be reviewed by senior site management at least annually and include: i. Changes to food safety management system documentation (policies, procedures, specifications, food safety plan);


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2. The SQF System shall be reviewed by senior site management at least annually and include: ii. Food safety culture performance;


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3. The SQF System shall be reviewed by senior site management at least annually and include: iii. Food safety objectives and performance measures;


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4. The SQF System shall be reviewed by senior site management at least annually and include: iv. Corrective and preventative actions and trends in findings from internal and external audits, customer complaints, and verification and validation activities;


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5. The SQF System shall be reviewed by senior site management at least annually and include: v. The hazard and risk management system; and


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6. The SQF System shall be reviewed by senior site management at least annually and include: vi. Follow-up action items from previous management reviews. Records of all management reviews and updates shall be maintained.


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7. The SQF practitioner(s) shall update senior site management on at least a monthly basis on matters impacting the implementation and maintenance of the SQF System. The updates and management responses shall be documented.


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Management Commitment - Complaint Management (Mandatory)

1. The methods and responsibility for handling and investigating the cause and resolution of complaints from commercial customers, consumers, and authorities that may result in a food safety issue arising from products grown or handled on-site shall be documented and implemented. Records of customer complaints, their investigation, and resolution shall be maintained.


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2. Adverse trends of customer complaint data shall be investigated and analyzed and root cause established by personnel knowledgeable about the incidents.


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3. Corrective and preventative action shall be implemented based on the seriousness of the incident and the root cause analysis as outlined in 2.5.3.


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Document Control And Records - Food Safety Management System (Mandatory)

1. Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include: i. Food safety policies and organization chart;


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2. Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include: ii. Products covered in the scope of certification;


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3. Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include: iii. Food safety regulations that apply to the site and to the country of sale if known;


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4. Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include: iv. Aquacultural input/materials and finished product specifications; and


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5. Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include: v. Written procedures and programs (Good Aquaculture Practices) and other documentation necessary to support the development, implementation, maintenance, and control of the SQF System (e.g., food safety plans, validation, and verification).


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6. Food safety plans, Good Manufacturing Practices, and all relevant aspects of the SQF System shall be reviewed, updated, and communicated as needed when any changes implemented have an impact on the site's ability to deliver safe food. All changes to food safety plans, Good Manufacturing Practices, and other aspects of the SQF System shall be validated or justified prior to their implementation. The reasons for the change shall be documented.


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Document Control And Records - Document Control (Mandatory)

1. The methods and responsibility for maintaining document control, including records, shall be documented and implemented. They shall ensure that documents and records are i. Controlled;


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2. The methods and responsibility for maintaining document control, including records, shall be documented and implemented. They shall ensure that documents and records are ii. Current;


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3. The methods and responsibility for maintaining document control, including records, shall be documented and implemented. They shall ensure that documents and records are iii. Safely stored to prevent unauthorized access, loss, damage, and deterioration;


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4. The methods and responsibility for maintaining document control, including records, shall be documented and implemented. They shall ensure that documents and records are iv. Organized in a registry or listing form; and


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5. The methods and responsibility for maintaining document control, including records, shall be documented and implemented. They shall ensure that documents and records are v. Readily accessible in a manner that ensures employees use up-to-date and current policies, procedures (work instructions/task lists), and forms when documenting food safety related activities.


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Document Control And Records - Records (Mandatory)

1. All manual or electronic/digital records shall be legible, suitably authorized, and/or signed by those undertaking activities to demonstrate that inspections, supervisory reviews, testing, and other essential activities have been completed.


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2. Records shall be retained in accordance with periods specified by a customer or regulations or at a minimum no less than the product shelf life.


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Specifications, Species Development, And Supplier Approval - Species Development

1. The methods and responsibility for designing, developing, and converting product concepts (e.g., new aquaculture species, genetics) to commercial realization shall be documented and implemented and comply with regulatory and customer requirements. Records of new aquacultural product testing, shelf life (if applicable), and final approvals shall be maintained.


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2. The food safety plan shall be reviewed and revised accordingly for each new aquacultural product and its associated process through conversion to commercial production and distribution, or where a change to inputs or processes occurs that may impact food safety.


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3. New products shall be tested and inspected to ensure they meet stated shelf life, maximum drug residue limits, and other regulatory and customer requirements.


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4. The process flows for all new and existing processes shall be designed to ensure that product meets specifications and to prevent cross-contamination.


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Specifications, Species Development, And Supplier Approval - Specifications

1. Specifications and/or descriptions for aquacultural inputs (e.g., medications, feed) and contract services that impact finished aquacultural product safety shall be documented, approved, comply with relevant legislation, and kept current through a review process.


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2. Aquacultural inputs shall be verified to ensure aquacultural product safety is not compromised and the material is fit for its intended purpose. Verification shall include certificates of conformance, certificates of analysis, or sampling and testing (refer to 2.4.4.1).


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3. Finished aquacultural product specifications shall be documented, approved by the site and their customers where applicable, accessible to relevant staff, and kept current through a review process that may include: i. Weight, composition;


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4. Finished aquacultural product specifications shall be documented, approved by the site and their customers where applicable, accessible to relevant staff, and kept current through a review process that may include: ii. Maximum drug residue limits; and


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5. Finished aquacultural product specifications shall be documented, approved by the site and their customers where applicable, accessible to relevant staff, and kept current through a review process that may include: iii. Labeling, identification, regulatory, and customer requirements.


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6. The methods and responsibilities for managing contract operation and services (e.g., veterinarian) shall be documented and implemented to ensure the following are being met: i. Contract operations and services comply with the SQF Food Safety Code: Aquaculture, relevant regulatory, and customer requirements;


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7. The methods and responsibilities for managing contract operation and services (e.g., veterinarian) shall be documented and implemented to ensure the following are being met: ii. Changes to contractual agreements are approved by both parties and communicated to relevant personnel; and


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8. The methods and responsibilities for managing contract operation and services (e.g., veterinarian) shall be documented and implemented to ensure the following are being met: iii. Records of all contract reviews and changes to contractual agreements and their approvals are maintained.


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9. A register or listing of all specifications and/or descriptions for agricultural inputs and finished aquacultural products and contract services shall be maintained and kept current.


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Specifications, Species Development, And Supplier Approval - Approved Supplier/Input Purchasing Program (Mandatory)

1. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: i. A risk level assigned to each supplier that is based on the prior performance of the supplier, criticality to the site, food safety risk, and other factors evaluated by the site;


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2. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: ii. Agreed specifications;


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3. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: iii. A summary of the food safety controls implemented by the approved supplier, including regulatory compliance and licensing where applicable;


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4. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: iv. Methods for granting approved supplier status;


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5. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: v. Methods and frequency of monitoring approved suppliers, which may include testing, receiving inspection, and/or supplier audits;


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6. Aquacultural inputs that impact aquacultural product food safety shall be supplied by an approved supplier. The methods and responsibility for selecting, evaluating, approving, and monitoring an approved supplier shall be documented and implemented. The approved supplier program shall contain: vi. Methods and frequency of reviewing approved supplier performance and status. Where supplier audits are used as a monitoring tool they shall be based on risk and shall be conducted by individuals knowledgeable of applicable regulatory and food safety requirements and risk and trained in auditing techniques. A register or list of approved suppliers and records of monitoring activities shall be maintained.


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7. The receipt of aquacultural inputs from non-approved suppliers shall be acceptable in an emergency provided they are inspected or analyzed before use.


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8. Aquacultural inputs received from other sites under the same corporate ownership shall be subject to the same specification requirements (refer to 2.3.2) and approved supplier requirements as all other input providers.


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Food Safety System - Food Legislation (Mandatory)

1. The owner/senior site manager shall ensure that, at the time of delivery to its customer, the aquacultural products supplied shall comply with the legislation that applies to the product and its production in the country of use or sale, if known. Any specific licensing requirements or product/species-specific regulations shall be maintained and kept current.


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2. The methods and responsibility for ensuring the organization is kept informed of changes to relevant legislation, scientific and technical developments, emerging food safety issues, and relevant industry codes of practice shall be documented and implemented.


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3. SQFI and the certification body shall be notified in writing within twenty-four (24) hours as a result of a regulatory warning or event. Notification to SQFI shall be by email to foodsafetycrisis@sqfi.com.


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Food Safety System - Good Aquaculture Practices (Mandatory)

1. The site shall ensure the applicable Good Aquaculture Practices described in Module 6 of this Food Safety Code are documented and implemented (refer to 2.2.1.1) or exempted according to a written risk analysis outlining the justification for exemption or evidence of the effectiveness of alternative control measures to ensure that food safety is not compromised.


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Food Safety System - Food Safety Plan (Mandatory)

1. An HACCP-based referenced food safety plan, developed by a responsible authority, shall be implemented in the absence of a specifically developed food safety plan for the site. The site shall: i. Maintain a current record indicating that is has reviewed the food safety plan and ensures its scope of hazard analysis, risk assessments, and control measures such as Good Aquaculture Practices cover all products produced and sold by the site and are within the scope of certification;


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2. An HACCP-based referenced food safety plan, developed by a responsible authority, shall be implemented in the absence of a specifically developed food safety plan for the site. The site shall: ii. Document where changes in the food safety plan have impacted their Good Aquaculture Practices. (Note: Sites shall choose either 2.4.3.1 or 2.4.3.2 with the subsequent 2.4.3 requirements as the mandatory element.)


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3. Where a site has developed its own food safety plan, either by choice or due to product(s) not included within the scope of a HACCP-based model as per 2.4.3.1, it shall be implemented and maintained and outline the means by which the site controls and assures food safety of the products or product groups included in the scope of the SQF certification and their associated processes. More than one HACCP food safety plan may be required to cover all products included in the scope of certification.


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4. The food safety plan or plans shall be developed and maintained by a team that includes the SQF practitioner and those site personnel with aquacultural, technical, and/or machinery knowledge relevant to the commodities and products. Where the relevant expertise is not available on-site, advice may be obtained from other sources to assist the food safety team.


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5. The scope of each food safety plan shall be developed and documented including the start and endpoint of the processes under consideration and all relevant inputs and outputs.


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6. Product descriptions shall be developed and documented for all products included in the scope of the food safety plans. This shall reference and/or include: i. The finished product specifications;


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7. Product descriptions shall be developed and documented for all products included in the scope of the food safety plans. This shall reference and/or include: ii. Information relevant to product safety, such as production techniques, types of tanks, pens, or ponds; and


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8. Product descriptions shall be developed and documented for all products included in the scope of the food safety plans. This shall reference and/or include: iii. The intended use of each product, which includes target consumer groups, the potential for consumption by vulnerable groups of the population, requirements for further processing if applicable, and potential alternative use of the product.


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9. The food safety team shall develop and document a flow diagram covering the scope of each food safety plan. The flow diagram shall include every step in the aquaculture process, all inputs, packaging material, service inputs (e.g., water, air or other gasses as appropriate), process delays, and all process outputs including feed, waste, and rework. Each flow diagram shall be confirmed by the food safety team to cover all stages and hours of operation.


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10. The food safety team shall identify and document all food safety hazards that can reasonably be expected to occur at each step in the processes, including inputs.


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11. The food safety team shall conduct a hazard analysis for every identified hazard, to identify which hazards are significant, i.e., their elimination or reduction to an acceptable level is necessary to ensure food safety. The methodology for determining hazard significance shall be documented and used consistently to assess all potential hazards.


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12. The food safety team shall determine and document the control measures that must be applied to all significant hazards. More than one control measure may be required to control an identified hazard, and more than one significant hazard may be controlled by a specific control measure.


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13. Based on the results of the hazard analysis the food safety team shall identify the steps in the process where control must be applied to eliminate a significant hazard or reduce it to an acceptable level (a critical control point or CCP). In instances where a significant hazard has been identified at a step in the process but no control measure exists, the food safety team shall modify the process to include an appropriate control measure.


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14. For each identified CCP, the food safety team shall identify and document the critical limits. The food safety team shall validate the critical limits to ensure the designated level of control of the identified food safety hazard(s) and that all critical limits and control measures individually or in combination effectively provide the level of control required (refer to 2.5.2.1).


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15. The food safety team shall develop and document procedures to monitor CCPs to ensure they remain within the established limits (refer to 2.4.3.11). Monitoring procedures shall identify the personnel assigned to conduct testing, the sampling and test methods, and the test frequency.


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16. The food safety team shall develop and document deviation procedures that identify the disposition of affected product when monitoring indicates a loss of control at a CCP. The procedures shall also prescribe actions to correct the process step to prevent recurrence of the safety failure.


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17. The documented and approved food safety plan(s) shall be implemented in full. The effective implementation shall be monitored by the food safety team, and a full review of the documented and implemented plans shall be conducted at least annually or when changes to the process, equipment, inputs, or other changes affecting product safety occur.


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18. Verification procedures shall be in place to ensure that critical control points are effectively monitored and appropriate corrective actions are applied. Implemented food safety plans shall be verified as part of SQF System verification (refer to 2.5).


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19. Critical control point monitoring, corrective action, and verification records shall be maintained and appropriately used.


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20. Where food safety regulations in the country of production and destination (if known) prescribe a food safety control methodology other than the Codex Alimentarius Commission HACCP guidelines, the food safety team shall implement food safety plans that meet both Codex and food regulatory requirements.


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Food Safety System - Input And Product Sampling, Inspection, And Analysis

1. The sampling, inspecting, and/or analyzing of aquacultural inputs and finished product shall be documented and implemented. The procedures applied shall ensure: i. Inspections and analyses are completed at regular intervals as required and to agreed specification and regulatory and labeling requirements;


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2. The sampling, inspecting, and/or analyzing of aquacultural inputs and finished product shall be documented and implemented. The procedures applied shall ensure: ii. Records of all inspections and analyses are maintained; and


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3. The sampling, inspecting, and/or analyzing of aquacultural inputs and finished product shall be documented and implemented. The procedures applied shall ensure: iii. All analyses are conducted to nationally recognized methods or alternative methods that are validated as equivalent to the nationally recognized methods. Where external laboratories are used to conduct input or product analyses, the laboratories shall be accredited to ISO 17025 or an equivalent national standard, licensed, or recognized by a regulatory authority if required, and shall be included on the site’s contract service specifications register. Where internal laboratories are used to conduct input or product analyses, appropriate sampling and testing methods shall be used in accordance and with the applicable requirements of ISO 17025, including annual proficiency testing for personnel conducting analyses.


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4. On-site laboratories conducting chemical and microbiological analyses that may pose a risk to product safety shall ensure the following: i. Be located separately from any aquacultural product handling activity and designed to limit access only to authorized personnel;


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5. On-site laboratories conducting chemical and microbiological analyses that may pose a risk to product safety shall ensure the following: ii. Provisions are made to isolate and contain all laboratory waste held on the premises and manage it separately from farm waste. Laboratory wastewater outlets are at a minimum downstream of drains that service aquacultural production and handling areas; and


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6. On-site laboratories conducting chemical and microbiological analyses that may pose a risk to product safety shall ensure the following: iii. Signage is displayed that identifies the laboratory area as a restricted area, accessible only by authorized personnel.


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Food Safety System - Non-conforming Inputs And Aquacultural Products

1. The methods and responsibility for how to control non-conforming aquaculture inputs and/or products shall be documented and implemented. The procedures shall ensure: i. Items are identified, quarantined (held), handled, re-worked, or disposed of in a manner that minimizes the risk of inadvertent use, improper use, or risk to the integrity of aquacultural products;


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2. The methods and responsibility for how to control non-conforming aquaculture inputs and/or products shall be documented and implemented. The procedures shall ensure: ii. All relevant personnel are aware of the sites hold-and-release instructions and approvals, and


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3. The methods and responsibility for how to control non-conforming aquaculture inputs and/or products shall be documented and implemented. The procedures shall ensure: iii. Records of non-conforming product holds, release, and dispositions are maintained.


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Food Safety System - Product Rework

1. The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure: i. Reworking operations are supervised by qualified personnel;


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2. The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure: ii. Reworked aquacultural product is clearly identified and traceable;


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3. The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure: iii. Each batch/lot of reworked aquacultural product is inspected or analyzed as required before release;


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4. The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure: iv. Inspections and analyses conform to the requirements outlined in element 2.4.4.1; and


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5. The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure: v. Records of all reworking operations are maintained.


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Food Safety System - Product Release (Mandatory)

1. The methods and responsibility for releasing finished aquacultural product shall be documented and implemented. The methods applied shall ensure i. The product is released by authorized personnel;


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2. The methods and responsibility for releasing finished aquacultural product shall be documented and implemented. The methods applied shall ensure ii. The product is released only after all inspections and analyses have been successfully completed, reviewed, and documented; and


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3. The methods and responsibility for releasing finished aquacultural product shall be documented and implemented. The methods applied shall ensure iii. The product meets regulatory and other established food safety controls.


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4. The methods and responsibility for releasing finished aquacultural product shall be documented and implemented. The methods applied shall ensure iv. Records of all product releases shall be maintained.


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SQF System Verification - Validation And Effectiveness (Mandatory)

1. The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF Program shall be documented, implemented, and effective. The methods applied shall ensure that: i. Good Aquaculture Practices are confirmed to ensure they achieve the required result;


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2. The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF Program shall be documented, implemented, and effective. The methods applied shall ensure that: ii. Critical food safety limits are reviewed annually and re-validated or justified by regulatory standards when changes occur; and


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3. The methods, responsibility, and criteria for ensuring the effectiveness of all applicable elements of the SQF Program shall be documented, implemented, and effective. The methods applied shall ensure that: iii. Changes to the processes or procedures are assessed to ensure the controls are still effective. Records of all validation activities shall be maintained.


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SQF System Verification - Verification Activities (Mandatory)

1. The methods, responsibility, and criteria for verifying monitoring of Good Aquaculture Practices, critical control points, other food safety controls, and the legality of certified products shall be documented and implemented. The methods applied shall ensure that personnel with responsibility for verifying monitoring activities authorize each verified record.


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2. A verification schedule outlining the verification activities, their frequency of completion, and the person responsible for each activity shall be prepared and implemented. Records of the verification of monitoring activities shall be maintained.


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SQF System Verification - Corrective And Preventative Action (Mandatory)

1. The methods and responsibility for outlining how corrective and preventative actions are determined, implemented, and verified shall be documented and implemented. The procedures shall include: i. The identification of the root cause; and


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2. The methods and responsibility for outlining how corrective and preventative actions are determined, implemented, and verified shall be documented and implemented. The procedures shall include: ii. The resolution of non-compliances of critical food safety limits and deviations from food safety requirements that are deemed significant. Records of all investigation and resolution of non-conformities including their corrections and preventative actions shall be maintained.


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SQF System Verification - Internal Audits And Inspections (Mandatory)

1. The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least annually. The methods applied shall ensure: i. All applicable requirements of the SQF Food Safety Code: Aquaculture are audited as per the SQF audit checklist or similar tool, and objective evidence is recorded to verify compliance and/ or non-compliance;


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2. The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least annually. The methods applied shall ensure: ii. Corrective and preventative actions of deficiencies identified during the internal audits are undertaken;


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3. The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least annually. The methods applied shall ensure: iii. Audit results are communicated to relevant management personnel and staff responsible for implementing and verifying corrective and preventive actions;


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4. The methods and responsibility for scheduling and conducting internal audits to verify the effectiveness of the SQF System shall be documented and implemented. Internal audits shall be conducted in full and at least annually. The methods applied shall ensure: iv. Changes implemented from the internal audit that have an impact on the site’s ability to deliver safe aquacultural products result in a review of food safety plans, Good Aquaculture Practices, and other aspects of the SQF System (refer to 2.3.1.3); and Records of internal audits and any corrections and corrective actions taken as a result of internal audits are maintained.


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5. Personnel conducting internal audits shall be trained and competent in internal audit procedures. Where practical, staff conducting internal audits shall be independent of the function being audited.


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6. Regular inspections during aquacultural production shall be planned and carried out to verify Good Aquaculture Practices and building/equipment maintenance are compliant with the SQF Food Safety Code: Aquaculture. The site shall: i. Take corrections or corrective and preventative actions; and


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7. Regular inspections during aquacultural production shall be planned and carried out to verify Good Aquaculture Practices and building/equipment maintenance are compliant with the SQF Food Safety Code: Aquaculture. The site shall: ii. Maintain records of inspections and any corrective action taken.


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Product Traceability And Crisis Management - Product Identification And Traceability (Mandatory)

1. The methods and responsibilities for the product identification system shall be documented and implemented to ensure: i. Inputs, work-in-progress, and aquacultural products are clearly identified during all stages of receipt, operations, storage, shipping, and transportation; and


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2. The methods and responsibilities for the product identification system shall be documented and implemented to ensure: ii. All aquacultural products are identified and/or labeled to customer specification and/or regulatory requirements. Product identification records shall be maintained.


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3. The responsibility and methods used to trace product shall be documented and implemented to ensure: i. Aquacultural product is traceable to the customer (one up) and provides traceability through the process to the input supplier and date of receipt of inputs, materials, and other inputs (one back);


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4. The responsibility and methods used to trace product shall be documented and implemented to ensure: ii. Traceability is maintained where product is reworked (refer to 2.4.3); and


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5. The responsibility and methods used to trace product shall be documented and implemented to ensure: iii. The effectiveness of the product trace system is reviewed at least annually as part of the product recall and withdrawal review (refer to 2.6.2.1). Records for the receipt and use of agricultural inputs and packaging and for finished product dispatch and destination shall be maintained.


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Product Traceability And Crisis Management - Product Withdrawal And Recall (Mandatory)

1. The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall: i. Identify those responsible for initiating, managing, and investigating a product withdrawal or recall;


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2. The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall: ii. Describe the procedures to be implemented by site management;


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3. The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall: iii. Outline a communication plan to inform customers, consumers, authorities, and other essential bodies in a timely manner appropriate to the nature of the incident;


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4. The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall: iv. Describe how the withdrawal and recall system is reviewed, tested, and verified at least annually (mock recall); and


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5. The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall: v. Ensure that SQFI, the certification body, and the appropriate regulatory authority are listed as essential organizations and are notified in instances of a food safety incident of a public nature or product recall. Records of all product withdrawals, recalls, and mock recalls shall be maintained.


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6. Investigation shall be undertaken to determine the cause of a withdrawal or recall, and details of investigations and any action taken shall be documented and recorded.


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7. SQFI and the certification body shall be notified in writing within twenty-four (24) hours upon identification of a food safety event that requires public notification. SQFI shall be notified at foodsafetycrisis@sqfi.com.


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Product Traceability And Crisis Management - Crisis Management Planning

1. The methods and responsibility for execution of a crisis management plan shall be documented and implemented. The plan shall include: i. A listing of known potential dangers (e.g. hurricanes, low water levels, fire, tsunami, or other severe weather or global events such as pandemics, warfare, or civil unrest) that can impact the site’s ability to deliver safe food;


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2. The methods and responsibility for execution of a crisis management plan shall be documented and implemented. The plan shall include: ii. Designated site management responsible for decision making, oversight, communication, and management of the crisis management plan; and


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3. The methods and responsibility for execution of a crisis management plan shall be documented and implemented. The plan shall include: iii. Control measures to ensure any affected product is identified, isolated, and dispositioned appropriately.


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4. The crisis management plan shall be reviewed, tested, and verified at least annually with gaps and appropriate corrective actions documented. Records of reviews of the crisis management plan shall be maintained.


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Food Defense And Food Fraud - Food Defense Plan (Mandatory)

1. A food/product defense threat assessment shall be conducted to identify potential threats as a result of a deliberate act of sabotage or terrorist-like incident.


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2. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: i. The methods, responsibility, and criteria for preventing food adulteration caused by a deliberate act of sabotage or terrorist-like incident;


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3. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: ii. The name of the senior site management person responsible for food defense;


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4. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: iii. The methods implemented to ensure only authorized personnel have access to production equipment, vehicles, and storage areas through designated access points;


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5. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: iv. The methods implemented to protect sensitive operational points from intentional adulteration;


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6. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: v. The measures taken to ensure the secure receipt and storage of inputs, equipment, and hazardous chemicals to protect them from deliberate acts of sabotage or terrorist-like incident;


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7. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: vi. The measures implemented to ensure inputs and products are held under secure storage and transportation conditions; and


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8. A food defense plan shall be documented, implemented, and maintained based on the threat assessment (refer to 2.7.1.1). The food defense plan shall meet legislative requirements as applicable and shall include at a minimum: vii. The methods implemented to record and control access to the premises by employees, contractors, and visitors.


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9. Instruction shall be provided to all relevant staff on the effective implementation of the food defense plan (refer to 2.9.2.1).


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10. The food defense threat assessment and prevention plan shall be reviewed and tested at least annually or when the threat level, as defined in the threat assessment, changes. Records of reviews of the food defense plan shall be maintained.


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Food Defense And Food Fraud - Food Fraud (Mandatory)

1. The methods, responsibility, and criteria for identifying the site’s vulnerability to food fraud shall be documented, implemented, and maintained. The food fraud vulnerability assessment shall include the site’s susceptibility to product substitution, mislabeling, dilution, and counterfeiting or stolen goods that may adversely impact food safety.


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2. A food fraud mitigation plan shall be developed and implemented that specifies the methods by which the identified food fraud vulnerabilities shall be controlled and how the plan is communicated to relevant staff to ensure effective implementation.


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3. The food fraud vulnerability assessment and mitigation plan shall be reviewed and verified at least annually with gaps and corrective actions documented. Records of reviews shall be maintained.


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Allergen Management - Allergen Management (Mandatory)

1. The methods and responsibility for the control of allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include: i. A hazard and risk analysis and control measures of those inputs, including food grade lubricants, that contain food allergens (refer to 2.4.3 food safety plan);


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2. The methods and responsibility for the control of allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include: ii. An assessment of workplace-related food allergens that may originate from change rooms, vending machines, lunchrooms, and visitors;


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3. The methods and responsibility for the control of allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include: iii. A register of allergens that is applicable in the country of production and the country(ies) of destination if known;


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4. The methods and responsibility for the control of allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include: iv. A list of allergens that is accessible by relevant staff; and


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5. The methods and responsibility for the control of allergens and to prevent sources of allergens from contaminating product shall be documented and implemented. The allergen management program shall include: v. Individual management plans for control of identified allergens.


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6. Product labeling, in accordance with regulatory requirements, shall include allergens where risks from cross-contamination have been documented.


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Training - Training Requirements

1. The responsibility for establishing and implementing the training needs of the site’s personnel to ensure they have the required competencies to carry out those functions affecting products, legality, and safety shall be defined and documented (refer to 2.1.1.6).


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2. Appropriate training shall be provided for personnel carrying out the tasks essential to the effective implementation of the SQF System and the maintenance of food safety and regulatory requirements.


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Training - Training Program (Mandatory)

1. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: i. Appropriate HACCP training for personnel involved in developing and maintaining food safety plans, if applicable;


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2. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: ii. Monitoring and corrective action procedures for personnel engaged in operating critical control points (CCPs);


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3. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: iii. Personal hygiene training for personnel involved in the handling of aquacultural products and contact surfaces;


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4. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: iv. Good Aquaculture Practices for personnel engaged in product handing operations;


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5. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: v. Allergen management, food defense, and food fraud for on-site personnel; and


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6. A training program shall be documented and implemented. It shall outline the necessary competencies for specific duties and the training methods to be applied to relevant personnel upon initial hire and for ongoing refresher training. The training program shall include at a minimum: vi. Identification and implementation of refresher training.


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7. Training materials, the delivery of training, and work instructions on tasks critical to meeting regulatory compliance and the maintenance of food safety shall be provided in language understood by personnel.


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8. Training records shall be maintained and include: i. Participant name;


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9. Training records shall be maintained and include: ii. Skills description;


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10. Training records shall be maintained and include: iii. Description of the training provided;


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11. Training records shall be maintained and include: iv. Date training completed;


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12. Training records shall be maintained and include: v. Trainer or training provider; and


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13. Training records shall be maintained and include: vi. Verification that the trainee is competent to complete the required tasks.


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Site Requirements - Property Location

1. The farm and facilities shall have a risk assessment conducted to evaluate and document the risk to aquacultural production due to prior water body use, adjacent land use, and other environmental factors including structures and equipment. Consideration shall be given to the following: i. History of water body, land, and building use;


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2. The farm and facilities shall have a risk assessment conducted to evaluate and document the risk to aquacultural production due to prior water body use, adjacent land use, and other environmental factors including structures and equipment. Consideration shall be given to the following: ii. Geography;


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3. The farm and facilities shall have a risk assessment conducted to evaluate and document the risk to aquacultural production due to prior water body use, adjacent land use, and other environmental factors including structures and equipment. Consideration shall be given to the following: iii. Adjacent land use; and


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4. The farm and facilities shall have a risk assessment conducted to evaluate and document the risk to aquacultural production due to prior water body use, adjacent land use, and other environmental factors including structures and equipment. Consideration shall be given to the following: iv. Other factors that may impact on the ability to supply safe aquacultural products. Where risks are identified, control measures shall be implemented to reduce the identified hazards to an acceptable level, and the risk analysis shall be re-evaluated in the event of any circumstance or changes that may impact on the production of safe aquacultural products.


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Water Bodies/Ponds, Buildings, Storage, And Equipment - Water Bodies/Ponds And Buildings

1. Pens in water bodies, ponds, and other open areas where living stock are farmed shall be designed, located, constructed, and maintained so as to minimize stress, injury, or disease and have minimal impact on the surrounding area and natural resources. The following shall be included: i. The site and/or pond entry points prevent the entry by unauthorized visitors either by a lock or other control entry devices;


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2. Pens in water bodies, ponds, and other open areas where living stock are farmed shall be designed, located, constructed, and maintained so as to minimize stress, injury, or disease and have minimal impact on the surrounding area and natural resources. The following shall be included: ii. Entry and exit points to the site are equipped for cleaning and sanitizing of vehicle wheels;


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3. Pens in water bodies, ponds, and other open areas where living stock are farmed shall be designed, located, constructed, and maintained so as to minimize stress, injury, or disease and have minimal impact on the surrounding area and natural resources. The following shall be included: iii. Netting, gates, and other surfaces in water bodies and ponds are free from paints, dips, sanitizers, and other materials that are likely to cause contamination through ingestion, inhalation, or contact; and


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4. Pens in water bodies, ponds, and other open areas where living stock are farmed shall be designed, located, constructed, and maintained so as to minimize stress, injury, or disease and have minimal impact on the surrounding area and natural resources. The following shall be included: iv. Living stock, when held for extended periods in water bodies and ponds, have access to adequate supplies of food and quality water.


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5. The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. The design shall include the following: i. Meet regulatory and/or industry/national codes of practice;


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6. The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. The design shall include the following: ii. Provide sufficient space to enable the living stock densities to be appropriately maintained;


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7. The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. The design shall include the following: iii. Have minimal impact on the surrounding area and natural resources;


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8. The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. The design shall include the following: iv. Provide adequate oxygen and nutrient uptake for a satisfactory living environment; and


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9. The design, location, and construction of pens in water bodies and ponds shall be fit for purpose and protect the living stock in expected extremes of climate or holding conditions. The design shall include the following: v. Ensure signs are posted or other forms of controlled entry (refer to 6.2.1.1) that manage the entry of unauthorized persons.


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10. All buildings used to store equipment, veterinary and nutritional chemicals, or aquacultural feed shall be designed and constructed to permit compliance to good hygiene practices and avoid product contamination.


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11. Silos or other large holding containers used to store feed shall be constructed of approved materials and designed to remain dry, clean, and free from any dirt residues. They shall remain fit for purpose and in an acceptable condition to enable safe fumigation practices and prevent the invasion of pests.


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12. Storage rooms shall be designed and constructed to allow for the separate hygienic storage of feedstuffs, veterinary chemicals, and containers and equipment used to dispense feed and veterinary chemicals. Items shall be kept separate from farm machinery, hazardous chemicals, and other toxic substances. Veterinary medicines and medical equipment shall be stored in a secure area and accessed only by authorized personnel.


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Water Bodies/Ponds, Buildings, Storage, And Equipment - Storage Of Aquacultural Chemicals And Toxic Substances

1. Aquaculture chemicals and other toxic substances shall be stored so as not to present a hazard to employees, living stock handling equipment, or areas in which product is handled, stored, or transported. Specifically, they shall not be stored inside feed handling or storage areas and where veterinary medications are stored or handled.


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2. Chemical storage locations shall: i. Be compliant with national and local legislation;


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3. Chemical storage locations shall: ii. Be designed to ensure there is no cross-contamination between chemicals, that there is proper ventilation to the exterior, and spill control or containment (including tank capacity);


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4. Chemical storage locations shall: iii. Be equipped with details of purchase, appropriate and compliant labels, vendor approval, and an up-to-date inventory of all chemicals contained in and taken from the storage location; and


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5. Chemical storage locations shall: iv. Be equipped with employee health and safety requirements such as signage, safety data sheets, instruction, emergency wash facilities, and other labor law requirements.


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6. Product contact chemicals such as pesticides, rodenticides, fumigants, insecticides, sanitizers, and detergents shall be stored separately and in their original containers.


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7. The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure that: i. Empty chemical containers are not re-used;


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8. The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure that: ii. Empty containers are labeled or rendered unusable, isolated, and securely stored while awaiting collection; and


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9. The site shall dispose of chemical waste and empty containers in accordance with regulatory requirements and ensure that: iii. Unused and obsolete chemicals are stored under secure conditions while waiting authorized disposal by an approved vendor.


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Water Bodies/Ponds, Buildings, Storage, And Equipment - Farm Machinery, Living Stock Health/Feed Handling Equipment, And Utensils

1. The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, aquacultural product harvest containers, storage tanks, and other items or materials used in aquaculture operations do not pose a risk to aquacultural product safety shall be documented and implemented. Procedures shall ensure that these items are: i. Designed and constructed to be fit for purpose and allow for the efficient handling of aquacultural product and that those surfaces in direct contact with aquacultural products are constructed of materials that do not contribute to contamination;


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2. The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, aquacultural product harvest containers, storage tanks, and other items or materials used in aquaculture operations do not pose a risk to aquacultural product safety shall be documented and implemented. Procedures shall ensure that these items are: ii. Identified and included in preventive maintenance, inspection, and cleaning schedules;


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3. The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, aquacultural product harvest containers, storage tanks, and other items or materials used in aquaculture operations do not pose a risk to aquacultural product safety shall be documented and implemented. Procedures shall ensure that these items are: iii. Stored in such a way as to avoid contamination of inputs or aquacultural products; and


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4. The methods and responsibilities to ensure that farm machinery, equipment, vehicles, tools, utensils, aquacultural product harvest containers, storage tanks, and other items or materials used in aquaculture operations do not pose a risk to aquacultural product safety shall be documented and implemented. Procedures shall ensure that these items are: iv. Not used for non-harvest purposes unless clearly identified, and not then returned for harvest use.


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5. Vehicles used for the transport of feedstuff shall be adequate for this purpose and shall not be used to carry waste materials, chemicals, or other hazardous substances that could cause product contamination without thorough cleaning and inspection.


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6. Tractors and machinery driven in close proximity or directly over water bodies and ponds where living stock reside shall be fitted with drip trays to prevent contamination by lubricants and oils.


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Farm Maintenance, Cleaning, And Pest/Animal Control - Equipment Maintenance And Calibration

1. The maintenance of equipment and buildings shall be planned, scheduled, and carried out in a manner that prevents any risk of contamination of aquacultural products or equipment. Maintenance and calibration (refer to 6.3.1.2) records shall be maintained.


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2. The calibration and re-calibration of chemical application, measuring, testing, and inspection equipment used for feed application, chemical application, and veterinary medicines shall be documented and implemented. A list of equipment requiring calibration shall be maintained.


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3. Equipment shall be calibrated against manufacturer, national or international reference standards, methods, and schedules. In cases where such standards are not available the site shall indicate this and provide evidence to support the calibration reference method used.


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Farm Maintenance, Cleaning, And Pest/Animal Control - Pest Prevention

1. The site, living stock growing facilities, storage facilities, machinery, and equipment shall be kept free of waste or accumulated debris so as not to attract pests and vermin.


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2. The pest prevention program shall: i. Describe the methods and responsibility for the development, implementation, and maintenance of the pest prevention program;


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3. The pest prevention program shall: ii. Record pest sightings and trend the frequency of pest activity so as to target pesticide applications;


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4. The pest prevention program shall: iii. Outline the methods used to prevent pest problems;


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5. The pest prevention program shall: iv. Outline the methods used to eliminate pests when found;


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6. The pest prevention program shall: v. Outline the frequency with which pest status is to be checked;


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7. The pest prevention program shall: vi. Include on a site map the identification, location, number, and type of pest control devices; and


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8. The pest prevention program shall: vii. List the chemicals used. Chemicals are required to be approved by the relevant authority and their Safety Data Sheets (SDS) made available. Records of pest inspections and pest applications shall be maintained.


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Farm Maintenance, Cleaning, And Pest/Animal Control - Animal Control

1. The operation shall have a written risk assessment on animal activity in and around the living stock production areas and feed storage that has been implemented and monitored.


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2. Measures shall be in place to exclude domestic and wild animals from feed storage and aquacultural products, ponds, and/or pens.


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Farm Maintenance, Cleaning, And Pest/Animal Control - Cleaning

1. The cleaning of aquacultural product handling equipment, feed contact equipment, aquaculture health equipment, and sanitary facilities shall be documented and implemented. Cleaning procedures and schedules shall include: i. A list of equipment, aquaculture health and feed handling tools, sanitary facilities, aquacultural production areas, and storage areas that require periodic cleaning;


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2. The cleaning of aquacultural product handling equipment, feed contact equipment, aquaculture health equipment, and sanitary facilities shall be documented and implemented. Cleaning procedures and schedules shall include: ii. Instructions on how cleaning is performed for the various areas and equipment;


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3. The cleaning of aquacultural product handling equipment, feed contact equipment, aquaculture health equipment, and sanitary facilities shall be documented and implemented. Cleaning procedures and schedules shall include: iii. The frequency of when cleaning is to be completed; and


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4. The cleaning of aquacultural product handling equipment, feed contact equipment, aquaculture health equipment, and sanitary facilities shall be documented and implemented. Cleaning procedures and schedules shall include: iv. Personnel responsible for performing and verifying or evaluating the cleaning; Records of cleaning activities shall be maintained.


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5. A schedule shall be prepared indicating the frequency of verifying the effectiveness of the cleaning of items and areas listed in 6.3.4.1 and indicating who is responsible for completing verification activities.


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Personal Hygiene - Personnel Practices

1. A documented and implemented personal hygiene and personnel practices procedure shall ensure that personnel engaged in the handling of living stock and feedstuffs observe appropriate personal practices. The procedure shall include provisions for: i. Jewelry and other loose objects that pose a threat to the health and safety of the aquacultural product are not be worn or taken into any product handling or storage operations; and


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2. A documented and implemented personal hygiene and personnel practices procedure shall ensure that personnel engaged in the handling of living stock and feedstuffs observe appropriate personal practices. The procedure shall include provisions for: ii. Eating, drinking (potable water is available for employees), and clothing (refer to 6.4.3) requirements where health and safety of aquacultural products is at risk.


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3. A documented and implemented personal hygiene and personnel practices procedure shall ensure that personnel engaged in the handling of living stock and feedstuffs observe appropriate personal practices. The procedure shall include provisions for: iii. Personnel and visitor practices listed in 6.4.1 shall be routinely monitored for compliance and any resulting corrective actions implemented and recorded for personnel who violate food safety practices


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4. Personnel who are known to be carriers of infectious diseases that present a health risk to others through the handling of living stock or feedstuffs shall not engage in those activities or enter storage areas where product is exposed.


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5. A medical screening procedure shall be in place for all employees who handle living stock or feedstuffs and shall also be applicable to visitors and contractors.


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6. Procedures shall be in place that specify the handling of living stock, feed, and feed contact surfaces that have been in contact with blood or other bodily fluids.


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7. Personnel with exposed cuts, sores, lesions, or abrasions shall ensure that they are covered with a suitable waterproof and colored dressing.


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Personal Hygiene - Sanitary Facilities And Handwashing

1. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. i. Toilets shall cater for the maximum number of employees and be constructed so that they can be easily cleaned and maintained;


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2. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. ii. Handwash basins with clean, potable water, hand soap, disposable towels or effective hand drying device, waste bins, and a tank that captures used handwash water for disposal (if not connected to drains) shall be provided inside or adjacent to toilet facilities;


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3. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. iii. Signage in appropriate languages shall be provided adjacent to handwash basins instructing people to wash their hands after each toilet visit;


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4. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. iv. Racks shall be provided for protective clothing used by employees;


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5. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. v. Toilets shall be located to provide easy access for staff; and


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6. Toilet facilities shall be provided and designed, constructed, and located in a manner that minimizes the potential risk for aquacultural product contamination. vi. Toilet and wash stations shall be maintained in a clean and sanitary condition


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7. Personnel shall have clean hands, and hands shall be washed by all personnel: i. Before handling aquacultural product;


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8. Personnel shall have clean hands, and hands shall be washed by all personnel: ii. Before putting on gloves;


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9. Personnel shall have clean hands, and hands shall be washed by all personnel: iii. After each visit to a toilet;


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10. Personnel shall have clean hands, and hands shall be washed by all personnel: iv. After using a handkerchief, handling dirty or contaminated material; and


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11. Personnel shall have clean hands, and hands shall be washed by all personnel: v. After smoking, eating, or drinking.


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Personal Hygiene - Protective Clothing

1. Protective clothing (e.g., uniforms, smocks, coats) shall be effectively maintained, stored, laundered, and worn to protect product from the risk of contamination.


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2. Where applicable, clothing, including footwear, shall be in good condition, cleaned, and sanitized, and worn to protect product from the risk of contamination. Entry annex points of the buildings shall be equipped with materials for cleaning and sanitizing footwear.


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3. If rubber or disposable gloves are used, the operation shall have a glove-use policy, and personnel shall still adhere to the handwashing practices outlined above.


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Personal Hygiene - Visitors

1. All visitors (including management and maintenance employees) shall follow all personnel practices as designated by the site for employees when entering or in close living stock handling, feed storage, or operations. These practices include, but are not limited to, the removal of jewelry and other loose objects and wearing suitable protective clothing.


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2. Visitors who are exhibiting visible signs of illness or have been in recent direct contact with other sites, aquacultural, or agricultural commodities shall be prohibited from entering any living stock handling, feed storage, or aquaculture operations.


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3. Unsupervised children shall not be permitted to enter any living stock handling, feed storage, or operations.


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Personal Hygiene - Personnel Food, Drink, And Personal Storage

1. Provision shall be made to store employee personal belongings away from living stock, feed, or operations and equipment.


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2. Areas for meal breaks shall be designated and located away from aquaculture or feed contact/handling zones and equipment.


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Aquaculture Handling Practices And Transport

1. The methods and responsibility for conducting inspections to assess chemical hazards and their risks to aquaculture and feed products shall be documented and implemented. Inspections shall occur during all phases of aquaculture and through to the transport of the aquacultural products to their next destination (refer to 2.5.4.3). Records of inspections shall be maintained.


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2. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: i. Employees are trained and competent in aquacultural handling and welfare so they are able to recognize the early signs of distress and disease and ensure stress to living stock is minimized;


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3. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: ii. Living stock have an adequate source of clean feed and uncontaminated water at all times;


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4. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: iii. Living stock are housed in such a way to avoid damage or stress to the living stock;


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5. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: iv. Waste is contained in bins identified for this purpose and regularly removed;


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6. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: v. Measures to inspect for physical hazards and procedures to remove physical hazards are in place;


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7. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: vi. Diseased or medicated living stock are segregated from healthy living stock; and


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8. The methods and responsibilities for the care, handling, and management of aquacultural products and living stock shall be documented and implemented. It shall ensure: vii. Personnel dealing with or treating diseased living stock do not come into contact with healthy living stock.


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9. The methods and responsibilities for loading, transport, and unloading of living stock and/or aquacultural products, and to ensure that product integrity is maintained, shall be documented and implemented. Training and supervised employee practices shall include: i. The inspection to ensure that vehicles or other modes of transport are clean and functional;


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10. The methods and responsibilities for loading, transport, and unloading of living stock and/or aquacultural products, and to ensure that product integrity is maintained, shall be documented and implemented. Training and supervised employee practices shall include: ii. Verification that appropriate aquacultural product handling conditions are maintained during transportation to the final destination;


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11. The methods and responsibilities for loading, transport, and unloading of living stock and/or aquacultural products, and to ensure that product integrity is maintained, shall be documented and implemented. Training and supervised employee practices shall include: iii. Prevention of cross-contamination with other hazards and spoilage; and


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12. The methods and responsibilities for loading, transport, and unloading of living stock and/or aquacultural products, and to ensure that product integrity is maintained, shall be documented and implemented. Training and supervised employee practices shall include: iv. Appropriate aquacultural product rotation practices. Records for vehicle inspection, transport conditions, and aquacultural product rotation are maintained.


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Water Management - Water Systems

1. A water description plan shall be prepared that describes the water sources and the aquaculture production areas they serve, and shall include one or more of the following: maps, photographs, drawings, or other means to communicate the location of the water sources, permanent fixtures such as ponds and tanks, and the flow of the water system. The plan shall be kept current and revised when changes occur.


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2. Water used for living stock and aquacultural product production shall be sourced from a location and in a manner that is compliant with applicable regulations.


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3. Water systems intended to convey aquacultural waste shall be separated from conveyances utilized to deliver water for living stock and aquacultural products.


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Water Management - Water Treatment

1. The water system described in 6.6.1.1 shall have a documented hazard analysis conducted annually and whenever changes occur to its sources, methods of transportation, storage conditions, or the environmental conditions impacting it (refer to 2.4.3). Control methods applied to minimize the risk associated with the hazards shall be included in the water management plan (refer to 6.6.3.2).


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2. In circumstances where water is treated to render it acceptable, the water shall thereafter conform to the microbiological and/or chemical standards as outlined in element 6.6.3.


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Water Management - Water Management Plan

1. Rooms used for the storage of product ingredients, packaging, and other dry goods shall be located away from wet areas and constructed to protect the product from contamination and deterioration and prevent packaging from becoming a harborage for pests or vermin.


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2. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: i. Description of water sources and management (e.g., pond water addition, equipment cleaning, medicated water etc);


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3. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: ii. Maintenance and cleaning of the water system (refer to 6.3.1 and 6.3.4);


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4. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iii. A hazard analysis and resulting prevention controls applied to water during living stock and aquacultural production including monitoring, verification, and corrective action for each control measure; and


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5. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: i. Water treatment and/or testing;


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6. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: ii. Water temperature;


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7. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: iii. Re-circulation, aeration;


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8. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: iv. Source alteration or change scheduling;


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9. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: v. Timing of use or application; and/or


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10. A Water Management Plan describing the methods and responsibilities for managing the different types and uses of water at the site shall be documented and implemented. The plan shall include: iv. Documentation and records referenced Control measures may include: vi. Temporary or permanent protection of water sources from possible contamination (e.g., sewage treatment, human habitation, heavy rains, flooding).


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11. Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: i. A schedule indicating the location and frequency of monitoring (refer to 6.6.3.2), which shall be decided by the risk assessment, best practices within country of production, or applicable legislation;


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12. Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: ii. Reference to the potable water criteria or standards;


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13. Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: iii. List of microbiological and/or chemical testing being conducted;


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14. Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: iv. Reference to the approved laboratory that is accredited to ISO 17025 or equivalent; and


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15. Water used for living stock production, mixing feeds, cleaning feed and veterinary equipment, mixing sanitizer solutions, and handwashing shall be monitored to ensure it complies with potable water microbiological and chemical standards or criteria established in the country of production and destination. The monitoring procedures shall include: v. Corrective actions that shall be undertaken if water does not meet established criteria or standards including further water treatment, other source possibilities, non-conforming aquacultural product that might be affected, or other alternative actions. Records for monitoring and/or corrective actions shall be maintained.


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Medications, Aquaculture Feeds, And Chemicals - Purchasing Chemicals

1. Vaccines, medications, vitamins, and chemicals shall be approved for use in the country of production (site location) and the country of destination for the specific aquacultural product. Purchased chemicals, where required by regulation, shall be labeled with the active ingredient(s), applicable dosage rates, and application instructions. Where no regulations or partial regulations govern the use of chemicals, the site shall have a documented risk assessment on the justification for use of nonregulated chemicals.


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2. Chemicals that are specifically banned for use in the country of production or the country of destination shall not be purchased or stored.


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3. Suppliers of chemicals shall be included in the approved supplier program (refer to 2.3.4) and a current inventory of all chemicals purchased and used shall be maintained (refer to 6.2.2).


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Medications, Aquaculture Feeds, And Chemicals - Medicines And Feed

1. The methods and responsibilities outlining the use of a vaccine or medication for a target disease shall be documented and implemented (i.e., an aquaculture health plan). The plan shall include: i. All vaccines and medicines are used in accordance with label instructions, including withholding periods;


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2. The methods and responsibilities outlining the use of a vaccine or medication for a target disease shall be documented and implemented (i.e., an aquaculture health plan). The plan shall include: ii. Off-label use of medications are approved and documented by a registered veterinarian;


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3. The methods and responsibilities outlining the use of a vaccine or medication for a target disease shall be documented and implemented (i.e., an aquaculture health plan). The plan shall include: iii. Training and competency for personnel administering a vaccination medication (e.g., knowledge of maximum residue levels, methods of administering medication, and withholding periods);