SQF Checklist: Aquaculture - Edition 9

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

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

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

Auditor Recommendation Auditor Recommendation

2.1.1.1 Senior site management shall prepare and implement a policy statement that outlines at a minimum the commitment of all site management to:

• Supply safe foo

• Establish and maintain a food safety culture within the site;

• Establish and continually improve the site’s food safety management system; and

• Comply with customer and regulatory requirements to supply safe food. The policy statement shall be:

• Signed by the senior site manager and displayed in prominent positions; and

• Effectively communicated to site personnel in language(s) understood by all staff.

2.1.1.2 Senior site management shall lead and support a food safety culture within the site that ensures at a minimum:

• The establishment and documentation of clear and concise food safety objectives and performance measures and their communication to all relevant staff;

• Adequate resources are available to meet food safety objectives and performance measures;

• Food safety practices and all applicable requirements of the SQF System are adopted and maintained

• Staff are informed and are aware of their food safety and regulatory responsibilities

• 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;

• Staff are positively encouraged and required to notify management of actual or pending food safety issues; and

• Staff are empowered to act to resolve food safety issues within their scope of work.

2.1.1.4 Senior site management shall designate a primary and substitute SQF practitioner for each site with responsibility and authority to:

• 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.

• Take appropriate action to ensure the integrity of the SQF System; and

• Communicate to relevant personnel all information essential to ensure the effective implementation and maintenance of the SQF System.

2.1.1.5 The SQF practitioner shall:

• Be employed by the site;

• Hold a position of responsibility in relation to the management of the site’s SQF System;

• Be competent to implement and maintain HACCP-based food safety plans; and

• 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.

2.1.2.1 The SQF System shall be reviewed by senior site management at least annually and include:

• Changes to food safety management system documentation (policies, procedures, specifications, food safety plan);

• Food safety culture performance;

• Food safety objectives and performance measures;

• Corrective and preventative actions and trends in findings from internal and external audits, customer complaints, and verification and validation activities;

• The hazard and risk management system; and

• Follow-up action items from previous management reviews.

• Records of all management reviews and updates shall be maintained.

2.2.1.1 Electronic and/or hard copy documentation shall be maintained and kept current. It will be made available to relevant staff and include:

• Food safety policies and organization chart;

• Products covered in the scope of certification;

• Food safety regulations that apply to the site and to the country of sale if known;

• Aquacultural input/materials and finished product specifications; and

• 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).

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

• Controlled;

• Current;

• Safely stored to prevent unauthorized access, loss, damage, and deterioration;

• Organized in a registry or listing form; and

• 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.

2.3.2.3 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:

• Weight, composition

• Maximum drug residue limits; and

• Labeling, identification, regulatory, and customer requirements.

2.3.2.4 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:

• Contract operations and services comply with the SQF Food Safety Code: Aquaculture, relevant regulatory, and customer requirements;

• Changes to contractual agreements are approved by both parties and communicated to relevant personnel; and

• Records of all contract reviews and changes to contractual agreements and their approvals are maintained.

2.3.3.1 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:

• 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;

• Agreed specifications;

• A summary of the food safety controls implemented by the approved supplier, including regulatory compliance and licensing where applicable;

• Methods for granting approved supplier status;

• Methods and frequency of monitoring approved suppliers, which may include testing, receiving inspection, and/or supplier audits;

• 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.

2.4.3.1 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:

• 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;

• 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.)

2.4.3.5 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:

• The finished product specifications;

• Information relevant to product safety, such as production techniques, types of tanks, pens, or ponds; and

• 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.

2.4.4.1 The sampling, inspecting, and/or analyzing of aquacultural inputs and finished product shall be documented and implemented. The procedures applied shall ensure:

• Inspections and analyses are completed at regular intervals as required and to agreed specification and regulatory and labeling requirements;

• Records of all inspections and analyses are maintained; and

• 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 (refer to 2.3.2.1).

• 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.

2.4.4.2 On-site laboratories conducting chemical and microbiological analyses that may pose a risk to product safety shall ensure the following:

• Be located separately from any aquacultural product handling activity and designed to limit access only to authorized personnel;

• 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

• Signage is displayed that identifies the laboratory area as a restricted area, accessible only by authorized personnel.

2.4.5.1 The methods and responsibility for how to control non-conforming aquaculture inputs and/or products shall be documented and implemented. The procedures shall ensure:

• 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;

• All relevant personnel are aware of the sites hold-and-release instructions and approvals, and

• Records of non-conforming product holds, release, and dispositions are maintained.

2.4.6.1 The responsibility and methods outlining how aquacultural products are reworked shall be documented and implemented. The methods applied shall ensure:

• Reworking operations are supervised by qualified personnel;

• Reworked aquacultural product is clearly identified and traceable;

• Each batch/lot of reworked aquacultural product is inspected or analyzed as required before release;

• Inspections and analyses conform to the requirements outlined in element 2.4.4.1; and

• Records of all reworking operations are maintained.

2.4.7.1 The methods and responsibility for releasing finished aquacultural product shall be documented and implemented. The methods applied shall ensure

• The product is released by authorized personnel;

• The product is released only after all inspections and analyses have been successfully completed, reviewed, and documented; and

• The product meets regulatory and other established food safety controls.

• Records of all product releases shall be maintained.

2.5.1.1 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:

• Good Aquaculture Practices are confirmed to ensure they achieve the required result;

• Critical food safety limits are reviewed annually and re-validated or justified by regulatory standards when changes occur; and

• Changes to the processes or procedures are assessed to ensure the controls are still effective. Records of all validation activities shall be maintained.

2.5.3.1 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:

• The identification of the root cause; and

• 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.

2.5.4.1 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:

• 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;

• Corrective and preventative actions of deficiencies identified during the internal audits are undertake

• Audit results are communicated to relevant management personnel and staff responsible for implementing and verifying corrective and preventive actions;

• 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.

2.5.4.3 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:

• Take corrections or corrective and preventative actions; and

• Maintain records of inspections and any corrective action taken.

2.6.1.1 The methods and responsibilities for the product identification system shall be documented and implemented to ensure:

• Inputs, work-in-progress, and aquacultural products are clearly identified during all stages of receipt, operations, storage, shipping, and transportation; and

• All aquacultural products are identified and/or labeled to customer specification and/or regulatory requirements.

• Product identification records shall be maintained.

2.6.1.2 The responsibility and methods used to trace product shall be documented and implemented to ensure:

• 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);

• Traceability is maintained where product is reworked (refer to 2.4.3); and

• 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.

2.6.2.1 The responsibility and methods used to withdraw or recall product shall be documented and implemented. The procedure shall:

• Identify those responsible for initiating, managing, and investigating a product withdrawal or recall;

• Describe the procedures to be implemented by site management;

• Outline a communication plan to inform customers, consumers, authorities, and other essential bodies in a timely manner appropriate to the nature of the incident;

• Describe how the withdrawal and recall system is reviewed, tested, and verified at least annually (mock recall); and

• 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.

2.6.3.1 The methods and responsibility for execution of a crisis management plan shall be documented and implemented. The plan shall include:

• 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;

• Designated site management responsible for decision making, oversight, communication, and management of the crisis management plan; and

• Control measures to ensure any affected product is identified, isolated, and dispositioned appropriately.

2.7.1.2 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:

• The methods, responsibility, and criteria for preventing food adulteration caused by a deliberate act of sabotage or terrorist-like incident;

• The name of the senior site management person responsible for food defense;

• The methods implemented to ensure only authorized personnel have access to production equipment, vehicles, and storage areas through designated access points;

• The methods implemented to protect sensitive operational points from intentional adulteration;

• 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;

• The measures implemented to ensure inputs and products are held under secure storage and transportation conditions; and

• The methods implemented to record and control access to the premises by employees, contractors, and visitors.

2.8.1.1 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:

• 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);

• An assessment of workplace-related food allergens that may originate from change rooms, vending machines, lunchrooms, and visitors;

• A register of allergens that is applicable in the country of production and the country(ies) of destination if known;

• A list of allergens that is accessible by relevant staff; and

• Individual management plans for control of identified allergens

2.9.2.1 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:

• Appropriate HACCP training for personnel involved in developing and maintaining food safety plans, if applicable;

• Monitoring and corrective action procedures for personnel engaged in operating critical control points (CCPs);

• Personal hygiene training for personnel involved in the handling of aquacultural products and contact surfaces;

• Good Aquaculture Practices for personnel engaged in product handing operations;

• Allergen management, food defense, and food fraud for on-site personnel; and

• Identification and implementation of refresher training.

2.9.2.3 Training records shall be maintained and include:

• Participant name;

• Skills description;

• Description of the training provided;

• Date training completed;

• Trainer or training provider; and

• Verification that the trainee is competent to complete the required tasks.