NATIONAL SHELLFISH SANITATION PROGRAM

GUIDE FOR THE CONTROL

OF
MOLLUSCAN SHELLFISH

2009 Revision
(Printed June 2011)

Interstate Shellfish Sanitation Conference US Food and Drug Administration

209-2 Dawson Road Center for Food Safety and Applied Nutrition
Columbia, SC 29223-1740 5100 Paint Branch Parkway
Phone: 803-788-7559 College Park, MD 20740-3835
Fax: 803-788-7576 1-888-SAFEFOOD
[Link] [Link]
 National Shellfish Sanitation Program
Guide for the Control of Molluscan Shellfish
2009

This document is intended to provide guidance and shall supersede the 2007 NSSP Model
Ordinance. It represents the Agency's current thinking on the safe and sanitary control of the
growing, processing, and shipping of molluscan shellfish for human consumption. It does not
create any rights for or on any persons and does not operate to bind FDA or the public under
federal law. However, through their participation in the National Shellfish Sanitation Program
and membership in the Interstate Shellfish Sanitation Conference, states have agreed to enforce
the Model Ordinance as the requirements which are minimally necessary for the sanitary
control of molluscan shellfish.

U.S. Department of Health and Human Interstate Shellfish Sanitation

Services Conference
Public Health Service
Food and Drug Administration

2009 Revision
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 2009 NSSP GUIDE FOR THE CONTROL OF MOLLUSCAN SHELLFISH

TABLE OF CONTENTS

SECTION I. PURPOSE.......................................................................................................................................... 1
Purpose of the National Shellfish Sanitation Program

SECTION II. MODEL ORDINANCE.................................................................................................................... 2

(NOTE: This Model Ordinance is in no way intended to discourage or limit States in establishing more stringent requirements.)

Purpose ............................................................................................................................................................ 2

Definitions........................................................................................................................................................ 2

Chapter I. Shellfish Sanitation Program............................................................................................. 9

Requirements for the Authority

@. 01 Administration
A. Scope
B. Records
C. Shared Responsibilities
D. Administrative Procedures
E. Epidemiologically Implicated Outbreaks of Shellfish Related Illnesses
F. Commingling
@. 02 Dealer Certification
A. General
B. Initial Certification
C. Renewal of Certification
D. Revocation or Suspension of Certification
E. Interstate Certified Shellfish Shippers List (ICSSL)
F. Inspections
G. Performance Based Inspection Program
H. Enforcement

Chapter II. Risk Assessment and Risk Management .......................................................................... 13

Requirements for the Authority

@. 01 Outbreaks of Shellfish Related Illnesses
@. 02 Presence of Human Pathogens in Shellfish Meats
A. Finding
B. Growing Area Investigation
C. Distribution and Processing Investigation
D. Risk Management and Tolerance Levels
@. 03 Presence of Toxic Substance in Shellfish Meats
@. 04 Vibrio vulnificus Risk Management for Oysters
@. 05 Vibrio parahaemolyticus Control Plan

Chapter III. Laboratory .......................................................................................................................... 22

Requirements for the Authority

@. 01 Quality Assurance
A. NSSP Conformance Required
B. State Program Requirements
C. FDA Certified State Shellfish Laboratory Officer
D. Laboratory Evaluation
E. Time Limit on Provisionally Conforming Status

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F. Laboratory Services for Depuration Processors

@. 02 Methods
A. Microbiological
B. Chemical and Physical
C. Biotoxin

Chapter IV. Shellstock Growing Areas.................................................................................................. 26

Requirements for the Authority

@. 01 Sanitary Survey
A. General
B. Sanitary Survey Required
C. Sanitary Survey Performance
D. Shoreline Survey Requirements
@. 02 Bacteriological Standards
A. General
B. Water Sample Stations
C. Exceptions
D. Standard for the Approved Classification of Growing Areas in the Remote Status
E. Standard for the Approved Classification of Growing Areas by Point Sources
F. Standard for the Approved Classification of Growing Areas Affected by Non Point
Sources
G. Standard for the Restricted Classification of Growing Areas Affected by Point
Sources and Used as a Shellstock Source for Shellstock Depuration
H. Standard for the Restricted Classification of Growing Areas Affected by Non Point
Sources and Used as a Shellstock Source for Shellstock Depuration
@. 03 Growing Area Classification
A. General
B. Approved Classification
C. Conditional Classification
D. Restricted Classification
E. Prohibited Classification
@. 04 Marine Biotoxin Control
A. Contingency Plan
B. Marine Biotoxin Monitoring
C. Closed Status of Growing Areas
D. Heat Processing
E. Records
@. 05 Marinas
A. Marina Proper
B. Adjacent Waters

Chapter V. Shellstock Relaying............................................................................................................. 40

Requirements for the Authority

@. 01 General
@. 02 Contaminant Reduction
@. 03 Licenses to Relay Shellstock or Harvest Shellstock
@. 04 Management of Relaying Activities

Requirement for Harvesters

.01 Harvester License Required

Chapter VI. Shellfish Aquaculture......................................................................................................... 43

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Requirements for the Authority

@. 01 General
@. 02 Seed Shellstock
@. 03 Land Based Aquaculture
Requirements for the Harvester/Dealer
.01 Exceptions
.02 General
.03 Seed Shellstock
.04 Open Water Aquaculture
.05 Land Based Aquaculture
A. Operational Plan
B. Water Systems
C. Shellstock Quality
.06 Polyculture Systems

Chapter VII. Wet Storage in Approved and Conditionally Approved Growing Areas ...................... 47

Requirements for the Dealer

.01 Source of Shellstock
.02 General
.03 Wet Storage Sites

Chapter VIII. Control of Shellfish Harvesting ......................................................................................... 52

Requirements for the Authority

@. 01 Control of Shellstock Growing Areas
A. General
B. Patrol of Growing Areas
C. Licensing of Harvesting
D. Penalties
E. Identification of Certain Growing Areas
F. Prohibited Classification

Requirements for Harvesters

.01 General
.02 Shellstock Harvesting and Handling
A. Harvesters
B. Vessels
C. Disposal of Human Sewage from Vessels
D. Shellstock Washing
E. Shellstock Identification
.03 Shellstock Temperature Control
Option 1
Option 2
Option 3

Chapter IX. Transportation ..................................................................................................... 63

Requirements for the Authority

@. 01 General
@. 02 Shipment Acceptability
@. 03 Shipment Rejection
@. 04 Bacteriological Examination of Shellfish Shipments

Requirements for Harvester/Dealer

.01 Trucks or Other Vehicles Used to Transport Shellstock to the Original Dealer

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.02 Receiving Shellfish

.03 Transportation Containers
.04 Cargo Protection from Cross Contamination
A. General
B. Shellfish Cargo Only
C. Mixed Cargos
D. Ice
.05 Shipping Times
A. Shipping Time is No More Than Four Hours
B. Shipping Time is Greater Than Four Hours

Chapter X. General Requirements for Dealers.................................................................................... 67

.01 General HACCP Requirements

A. Hazard Analysis
B. HACCP Plan
C. Contents of the HACCP Plan
D. Signing and Dating the HACCP Plan
E. Sanitation
F. Corrective Actions
G. Verification
H. Records
I. Training
.02 General Sanitation Requirements
A. Sanitation Monitoring
B. Sanitation Monitoring Records
C. Relationship to HACCP Plan
.03 Other Model Ordinance Requirements
.04 Certification Requirements
A. General
B. Types of Certification
.05 Shellstock Identification
A. General
B. Tags
C. Bulk Tagging Lots of Shellstock for Sales Between Dealers
D. Tagging of a Lot of Shellstock During Intermediate Processing
E. Transaction Record
.06 Shucked Shellfish Labeling
A. Shellfish Labeling
B. Shucked Shellfish
.07 Post Harvest Process Labeling
.08 Shipping Documents and Records
A. Shipping Documents
B. Transaction and Shipping Records

Chapter XI. Shucking and Packing........................................................................................................ 78

Requirements for the Authority

@. 01 Heat Shock

Requirements for Dealers

.01 Critical Control Points
A. Receiving Critical Control Point - Critical Limits
B. Shellstock Storage Critical Control Point - Critical Limit
C. Processing Critical Control Point - Critical Limits
D. Shucked Meat Storage Critical Control Point - Critical Limit

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.02 Sanitation
A. Safety of Water for Processing and Ice Production
B. Condition and Cleanliness of Food Contact Surfaces
C. Prevention of Cross Contamination
D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities
E. Protection from Adulterants
F. Proper Labeling, Storage and Use of Toxic Compounds
G. Control of Employees with Adverse Health Conditions
H. Exclusion of Pests
.03 Other Model Ordinance Requirements
A. Plants and Grounds
B. Plumbing and Related Facilities
C. Utilities
D. Disposal of Other Wastes
E. Equipment Condition, Cleaning, Maintenance, and Construction for Non-Food
Contact Surfaces
F. Shellfish Storage and Handling
G. Heat Shock
H. Supervision

Chapter XII. Repacking of Shucked Shellfish ........................................................................................ 89

.01 Critical Control Points

A. Receiving Critical Control Point - Critical Limits
B. Processing Critical Control Point - Critical Limits
C. Shucked Meat Storage Critical Control Point - Critical Limit
.02 Sanitation
A. Safety of Water for Processing and Ice Production
B. Condition and Cleanliness of Food Contact Surfaces
C. Prevention of Cross Contamination
D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities
E. Protection from Adulterants
F. Proper Labeling, Storage and Use of Toxic Compounds
G. Control of Employees with Adverse Health Conditions
H. Exclusion of Pests
.03 Other Model Ordinance Requirements
A. Plants and Grounds
B. Plumbing and Related Facilities
C. Utilities
D. Disposal of Other Wastes
E. Equipment Condition, Cleaning, Maintenance, and Construction for Non-Food
Contact Surfaces
F. Shellfish Storage and Handling
G. Heat Shock
H. Supervision

Chapter XIII. Shellstock Shipping ............................................................................................................ 97

.01 Critical Control Points

A. Receiving Critical Control Point - Critical Limits
B. Shellstock Storage Critical Control Point - Critical Limits
.02 Sanitation
A. Safety of Water for Processing and Ice Production
B. Condition and Cleanliness of Food Contact Surfaces
C. Prevention of Cross Contamination
D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities

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E. Protection from Adulterants

F. Proper Labeling, Storage and Use of Toxic Compounds
G. Control of Employees with Adverse Health Conditions
H. Exclusion of Pests
.03 Other Model Ordinance Requirements
A. Plants and Grounds
B. Plumbing and Related Facilities
C. Utilities
D. Disposal of Other Wastes
E. Equipment Condition, Cleaning, Maintenance, and Construction for Non-Food
Contact Surfaces
F. Shellfish Storage and Handling
G. Heat Shock
H. Supervision

Chapter XIV. Reshipping........................................................................................................................... 106

.01 Critical Control Points

A. Receiving Critical Control Point - Critical Limits
B. Shellstock Storage Critical Control Point - Critical Limits
C. Shucked Meat Storage Critical Control Point - Critical Limit
.02 Sanitation
A. Safety of Water for Processing and Ice Production
B. Condition and Cleanliness of Food Contact Surfaces
C. Prevention of Cross Contamination
D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities
E. Protection from Adulterants
F. Proper Labeling, Storage and Use of Toxic Compounds
G. Control of Employees with Adverse Health Conditions
H. Exclusion of Pests
.03 Other Model Ordinance Requirements
A. Plants and Grounds
B. Plumbing and Related Facilities
C. Utilities
D. Disposal of Other Wastes
E. Equipment Condition, Cleaning, Maintenance, and Construction for Non-Food
Contact Surfaces
F. Shellfish Storage and Handling
G. Heat Shock
H. Supervision

Chapter XV. Depuration ......................................................................................................................... 113

Requirements for the Authority

Requirements for the Dealer

.01 Critical Control Points
A. Receiving Critical Control Point - Critical Limits
B. Processing Critical Control Point - Critical Limits
C. Finished Shellstock Storage Critical Control Point - Critical Limits
.02 Sanitation
A. Safety of Water for Processing and Ice Production
B. Condition and Cleanliness of Food Contact Surfaces
C. Prevention of Cross Contamination
D. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities
E. Protection from Adulterants

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F. Proper Labeling, Storage and Use of Toxic Compounds

G. Control of Employees with Adverse Health Conditions
H. Exclusion of Pests
.03 Other Model Ordinance Requirements
A. Plant and Grounds
B. Plumbing and Related Facilities
C. Utilities
D. Disposal of Other Wastes
E. Equipment Condition, Cleaning, Maintenance, and Construction for Non-Food
Contact Surfaces
F. Shellfish Storage and Handling
G. Heat Shock
H. Supervision
I. Plant Operating Manual
J. Process Verification

Chapter XVI. Post-Harvest Processing ..................................................................................................... 127

Post-Harvest Processing

SECTION III. PUBLIC HEALTH REASONS AND EXPLANATIONS ............................................................... 129

Introduction..................................................................................................................................................... 129

Chapter I. Shellfish Sanitation Program............................................................................................. 131

Requirements for the Authority.

@. 01 Administration
@. 02 Dealer Certification

Chapter II. Risk Assessment and Risk Management .......................................................................... 133

Requirements for the Authority

@ .01 Outbreaks of Shellfish Related Illness
@ .02 Presence of Human Pathogen in Shellfish Meats
@ .03 Presence of Toxic Substances in Shellfish Meats

Chapter III. Laboratory .......................................................................................................................... 135

Requirements for the Authority
@ .01 Quality Assurance
@ .02 Methods

Chapter IV. Shellstock Growing Areas.................................................................................................. 135

Requirements for the Authority

@ .01 Sanitary Survey
@ .02 Bacteriological Standards
@ .03 Growing Area Classification
@ .04 Marine Biotoxin Control
@ .05 Marinas

Chapter V. Shellstock Relaying............................................................................................................. 150

Requirements for the Authority

@ .01 General
@ .02 Contaminant Reduction

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@ .03 Licenses to Relay Shellstock

@ .04 Management of Relaying Activities

Requirements for Harvesters

Chapter VI. Shellfish Aquaculture......................................................................................................... 151

Chapter VII. Wet Storage in Approved and Conditionally Approved Growing Area........................ 152

Chapter VIII. Control of Shellfish Harvesting ......................................................................................... 153

Requirements for the Authority

Requirements for Harvesters

Chapter IX. Transportation.................................................................................................................... 156

Requirements for the Authority

Chapter X. General Requirements for Dealers.................................................................................... 157

.01 General HACCP Requirements
.02 General Sanitation Requirements
.03 Other Model Order Requirements
.04 Certification Requirements
.05-.07 Shellstock Identification, Shucked Shellfish Labeling,
Shipping Documents, Records
.08 Wet Storage in Artificial Bodies of Water

Chapter XI., XII., XIII., and XIV. Shellfish Processing and Handling ..................................................... 161

Requirements for Dealers

.01 Critical Control Points
.02 Sanitation Requirements
.03 Other Model Ordinance Requirements

Chapter XV. Depuration .......................................................................................................................... 165

Requirements for the Authority

.01 Administration
Requirements for the Depuration Processor
.01 Critical Control Points
.02 Sanitation
.03 Other Model Ordinance Requirements

Chapter XVI. Background & Performance of Post Harvest Processing (PHP)

Validation/ Verification Protocols..................................................................................... 172

SECTION IV. GUIDANCE DOCUMENTS ............................................................................................................. 176

Chapter I. General ................................................................................................................................ 176

.01 Evaluation Standards
.02 Procedures for Initiating a New State Program
.03 Patrol Evaluation Guidance

Chapter II. Growing Areas.................................................................................................................... 182

.01Total Coliform Standards

.02 Guidance for Developing Marine Biotoxin Contingency Plans

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.03 Sanitary Survey and the Classification of Growing Waters

.04 Action Levels, Tolerances and Guidance Documents for
Poisonous or Deleterious Substances in Seafood
.05 Management Plans for Growing Areas in the Conditional Classification
.06 Shellstock Relay
.07 Systematic Random Sampling Monitoring Strategy
.08 Growing Area Patrol and Enforcement
.09 Control of Shellfish Harvesting
.10 Approved NSSP Laboratory Test
.11Evaluation of Laboratories by State Laboratory Evaluation Officers
Including Laboratory Evaluation Checklists
.12 Bacteriological Examination of Shellfish Shipments Decision Tree
.13 Protocol For Reviewing Classification Of Areas Implicated
By Pathogens In Shellfish Meat Samples
.14 Calculating the 90th Percentile for End-Product Depurated Shellfish
.15 Decision Tree – Shellfish From Non-MOU Countries

Chapter III. Harvesting, Handling, Processing, and Distribution ....................................................... 285

.01 Shellfish Industry Equipment Construction Guide

.02 Shellfish Plant Inspection Standardization Procedures
NSSP Standardized Shellfish Processing Plant Inspection Form
.03 Dealer Certification and the Interstate Certified Shellfish Shippers List
.04 Shellstock Tagging
.05 Protocol for Addressing Positive Coliform Sample in an Artificial
Wet Storage Water Body
.06 Guidance for Reinstating a Previously Infected Employee

Chapter IV. Naturally Occurring Pathogens ....................................................................................... 349

.01 Vibrio Risk Management for Oysters
.02 Vibrio vulnificus Management Plan
.03 Vibrio parahaemolyticus Control Plan
.04 Post Harvest Processing Validation/Verification Interim Guidance for
Vibrio vulnificus and Vibrio parahaemolyticus
.05 Guidance for Demonstrating the Effectiveness of Time to Temperature
Reduction Criteria for Vibrio vulnificus and Vibrio parahaemolyticus

Chapter V. Illness Outbreaks and Recall Guidance............................................................................ 367

.01 Guidance for Investigating an Illness Outbreak and Conducting Recall
.02 Guidance for a Time-Temperature Evaluation of a Shellfish Implicated Outbreak

SECTION V. SUGGESTED FORMS ....................................................................................................................... 395

Shellfish Harvest Record

Shellfish Harvest / Purchase Record
Restricted Use Shellstock-Shellfish Harvest/Purchase Record
Shellfish Sales Record
Restricted Use Shellstock-Sales/Disposition Record
Export Health Certificate

SECTION VI. NSSP POLICY SETTING DOCUMENTS...................................................................................... 401

Department of Health and Human Services FDA Policy Statement

Consumption of Raw Molluscan Shellfish
ISSC Policy Statement Consumption of Raw Molluscan Shellfish

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Interstate Shellfish Sanitation Conference Resolution 97–01

Educational Outreach Common Carrier Associations Resolution 09-001

SECTION VII. FEDERAL REGULATIONS – SHELLFISH ................................................................................ 405

SECTION VIII. FDA MANUAL OF INTERPRETATIONS ................................................................................. 462

Manual of Interpretations Codification System

09-I@.02-100
09-I@02-101
09-III@.02-100
09-IV-@.02-100
09-IV-@.02.101
09-IV-@.02.102
09-VIII-.03-100
09-XI-.01-100
09-XI-.02-100
09-XI-.02.101
09-XV-.03-100

SECTION IX. HISTORY OF THE NSSP................................................................................................................. 496

Introduction
A Declaration of Principles
National Shellfish Sanitation Program
Interstate Shellfish Sanitation Program

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National Shellfish Sanitation Program Page 1 of 1

Section I. Purpose

The National Shellfish Sanitation Program (NSSP) is the federal/state cooperative program recognized by
the U. S. Food and Drug Administration (FDA) and the Interstate Shellfish Sanitation Conference (ISSC)
for the sanitary control of shellfish produced and sold for human consumption. The purpose of the NSSP
is to promote and improve the sanitation of shellfish (oysters, clams, mussels and scallops) moving in
interstate commerce through federal/state cooperation and uniformity of State shellfish programs.
Participants in the NSSP include agencies from shellfish producing and non-producing States, FDA, EPA,
NOAA, and the shellfish industry. Under international agreements with FDA, foreign governments also
participate in the NSSP. Other components of the NSSP include program guidelines, State growing area
classification and dealer certification programs, and FDA evaluation of State program elements.

In 1984, the FDA entered into a Memorandum of Understanding (MOU) with the Interstate Shellfish
Sanitation Conference recognizing the ISSC as the primary voluntary national organization of State
shellfish regulatory officials that provide guidance and counsel on matters for the sanitary control of
shellfish. The purpose of the ISSC is to provide a formal structure for State regulatory authorities to
participate in establishing updated regulatory guidelines and procedures for uniform state application of
the Program. The ISSC has adopted formal procedures for state representatives to review shellfish
sanitation issues and develop regulatory guidelines. Following FDA concurrence, these guidelines are
published in revisions of the NSSP Model Ordinance.

The NSSP Guide for the Control of Molluscan Shellfish consists of a Model Ordinance, supporting
guidance documents, recommended forms, and other related materials associated with the Program. The
Model Ordinance includes guidelines to ensure that the shellfish produced in States in compliance with
the guidelines are safe and sanitary. The Model Ordinance provides readily adoptable standards and
administrative practices necessary for the sanitary control of molluscan shellfish.

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section I. Definitions Page 1 of 7

Purpose.

This Ordinance established the minimum requirements necessary to regulate the interstate commerce of
molluscan shellfish and to establish a program to protect the public health of consumers by assuring the
sale or distribution of shellfish from safe sources and assuring shellfish have not been adulterated during
cultivating, harvesting, processing, shipping, or handling.

Definitions.

A. General. The definitions provided below are consistent in intent with the National Shellfish
Sanitation Program.
B. Definition of Terms.
(1) Adverse pollution condition means a state or situation caused by meteorological,
hydrological or seasonal events or point source discharges that has historically resulted in
elevated fecal coliform levels in a particular growing area. [In States using total coliform
standard, insert "total coliform" for "fecal coliform".]
(2) Air gap means the unobstructed vertical distance through the free atmosphere between
the lowest opening from any pipe or faucet supplying water to a tank, plumbing fixture or
other device and the flood level rim of that receptacle.
(3) AOAC means the Association of Official Analytical Chemists.
(4) APHA means the American Public Health Association.
(5) Approved means a classification used to identify a growing area where harvest for direct
marketing is allowed.
(6) Aquaculture means the cultivation of seed in natural or artificial growing areas, or the
cultivation of shellstock other than seed in growing areas.
(7) Authority means the State or local shellfish control authority or authorities or its
designated agents, which are responsible for the enforcement of this Code.
(8) Assure means to make best efforts within the reasonable limits of manpower and
resources to fulfill the objectives of this Ordinance.
(9) Backflow means the flow of water or other liquids, mixtures or substances into the
distribution pipes of a potable water supply from any source or sources other than the
intended source.
(10) Back siphonage means the flowing back of used, contaminated or polluted water from
a plumbing fixture, vessel or other source into potable water supply pipes because of negative
pressure in the water supply pipes.
(11) Blower means a receptacle for washing shucked shellfish which uses forced air as a
means of agitation.
(12) Broker means any person who is not a dealer but who arranges the packaging, shipping,
sale, or distribution of molluscan shellfish without taking ownership or physical custody of
the shellfish.

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Section I. Definitions Page 2 of 7

(13) Certification or certify means the issuance of a numbered certificate to a person for a
particular activity or group of activities that indicates:
(a) Permission from the Authority to conduct the activity; and
(b) Compliance with the requirements of this Code.
(14) Certification number means the unique identification number issued by the Authority
to each dealer for each location. Each certification number shall consist of a one to five digit
Arabic number preceded by the two letter State abbreviation and followed by a two letter
abbreviation for the type of activity or activities the dealer is qualified to perform in
accordance with this Ordinance using the following terms:
(a) Shellstock shipper (SS);
(b) Shucker-packer (SP);
(c) Repacker (RP);
(d) Reshipper (RS); and
(e) Depuration processor (DP).
(15) Coliform group means all of the aerobic and facultative anaerobic, gram negative,
nonspore forming, rod shaped bacilli which ferment lactose broth with gas formation within
48 hours at 95 Fahrenheit (35 + 0.5°Centigrade) .
(16) Commingle or Commingling means the act of combining different lots of shellfish.
(17) Compliance schedule means a written schedule that provides a correction time period to
eliminate Key and Other deficiencies.
(18) Conditionally approved means a classification used to identify a growing area which
meets the criteria for the approved classification except under certain conditions described in
a management plan.
(19) Conditionally restricted means a classification used to identify a growing area that
meets the criteria for the restricted classification except under certain conditions described in
a management plan.
(20) Container means any bag, sack, tote, conveyance or other receptacle used for containing
shellfish for holding or transporting.
(21) Corrosion resistant materials means materials that maintain their original surface
characteristics under normal exposure to the foods being contacted, normal use of cleaning
compounds and bactericidal solutions, and other conditions of use.
(22) Critical Control Point (CCP) means a point, step or procedure in a food process at
which control can be applied, and a food safety hazard can as a result be prevented,
eliminated or reduced to acceptable levels.
(23) Critical deficiency means a condition or practice which:
(a) Results in the production of a product that is unwholesome; or
(b) Presents a threat to the health or safety of the consumer.
(24) Critical limit means the maximum or minimum value to which a physical, biological, or
chemical parameter must be controlled at a critical control point to prevent, eliminate or
reduce to an acceptable level the occurrence of the identified food safety hazard.
(25) Critical Nonconformity means a deviation of a laboratory requirement which has the
highest likelihood of adversely affecting the quality of the analytical results if out of
conformance.
(26) Cross connection means an unprotected actual or potential connection between a
potable water system and any source or system containing unapproved water or a substance
that is not or cannot be approved as safe and potable. Examples are bypass arrangements,
jumper connection, removable sections, swivel or change over devices, or other devices
through which backflow could occur.
(27) Cull means to remove dead or unsafe shellstock from a lot of shellstock.
(28) Dealer means a person to whom certification is issued for the activities of shellstock
shipper, shucker-packer, repacker, reshipper, or depuration processor.
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Section I. Definitions Page 3 of 7

(29) Depletion means the removal, under the direct control of the Authority, of shellstock
from a growing area classified as prohibited.
(30) Depuration or depurate means the process of reducing the pathogenic organisms that
may be present in shellstock by using a controlled aquatic environment as the treatment
process.
(31) Depuration Processor (DP) means a person who harvests or receives shellstock from
growing areas in the approved or conditionally approved, restricted, or conditionally
restricted classification and submits such shellstock to an approved depuration process.
(32) Direct marketing means the sale for human consumption of shellfish which:
(a) Does not require depuration or relaying prior to sale; or
(b) Has been subjected to depuration or relaying activities.
(33) Dry storage means the storage of shellstock out of water.
(34) Easily cleanable means a surface which is:
(a) Readily accessible; and
(b) Is made of such materials, has a finish, and is so fabricated that residues may be
effectively removed by normal cleaning methods.
(35) (35) EPA means the United States Environmental Protection Agency.
(36) Facility means a structure. For other connotations, use person or activity.
(37) Fecal coliform means that portion of the coliform group which will produce gas from
lactose in an EC or A-1 multiple tube procedure liquid medium within 24 (± 2) hours in a
water bath maintained at 112 °Fahrenheit (44.5 ± 0.2 °Centigrade).
(38) FDA means the United States Food and Drug Administration.
(39) Float Aquaculture means open water aquaculture where the shellfish product is
suspended at the water surface using floats.
(40) Food contact surface means an equipment surface or utensil which normally comes into
direct or indirect contact with shucked shellfish.
(41) Food Safety Hazard means any biological, chemical or physical property that may
cause a food to be unsafe for human consumption.
(42) Geometric Mean means the antilog (base 10) of the arithmetic mean of the sample
result logarithm (base 10).
(43) Growing area means any site which supports or could support the propagation of
shellstock by natural or artificial means.
(44) HACCP is an acronym that stands for Hazard Analysis Critical Control Point, a
systematic, science-based approach used in food production as a means to assure food safety.
The concept is built upon the seven principles identified by the National Advisory Committee
on Microbiological Criteria for Foods (1992).
(45) HACCP Plan means a written document that delineates the formal procedures that a
dealer follows to implement the HACCP requirements set forth in 21 CFR 123.6 as adopted
by the Interstate Shellfish Sanitation Conference.
(46) Harvest means the act of removing shellstock from growing areas and its placement on
or in a manmade conveyance or other means of transport.
(47) Harvest area means an area that contains commercial quantities of shellstock and may
include aquaculture sites and facilities.
(48) Harvester means a person who takes shellstock by any means from a growing area.
(49) Heat shock means the process of subjecting shellstock to any form of heat treatment
prior to shucking, including steam, hot water or dry heat, to facilitate removal of the meat
from the shell without substantially altering the physical or organoleptic characteristics of the
shellfish.
(50) Importer means any dealer who introduces molluscan shellfish into domestic
commerce. An importer has ownership of the shellfish, but need not take physical custody of
the shellfish.
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(51) Includes or including means includes or including by way of illustration and not by
way of limitation.
(52) In Shell Product means non-living, processed shellfish with one or both shells present.
(53) In-Shell Product Packing means the process of placing in-shell product into containers
for introduction into commerce.
(54) Inspection item means one of the standard criteria listed in the NSSP Plant Inspection
Form under which single or multiple observations of specific critical , key or other
deficiencies can be debited. [Note: term "item" appears several places in the Ordinance with a
larger connotation than this definition. In the section addressing the use of the inspection
form, however, the Ordinance uses the term "inspection item" hence that is provided here as
the defined term.]
(55) Interstate Certified Shellfish Shippers List (ICSSL) means a FDA publication of
shellfish dealers, domestic and foreign, who have been certified by a state or foreign
Authority as meeting the public health control measures specified in this Ordinance.
(56) Interstate Shellfish Sanitation Conference (ISSC) means the organization which
consists of agencies from shellfish producing and receiving States, FDA, the shellfish
industry, the National Marine Fisheries Service of the U.S. Department of Commerce, and the
U.S. Environmental Protection Agency. The ISSC provides the formal structure wherein
State regulatory authorities, with FDA concurrence, can establish updated guidelines and
procedures for sanitary control of the shellfish industry.
(57) Key deficiency means a condition or practice which may result in adulterated,
decomposed, misbranded or unwholesome product.
(58) Key Nonconformity means a deviation of a laboratory requirement has a significant
potential to adversely affect the quality of the analytical results if out of conformance.
(59) Label means any written, printed or graphic matter affixed to or appearing upon any
package containing shellfish.
(60) License means the document issued by the Authority to a person to harvest or transport
shellstock for commercial sale. [In those States issuing permits as opposed to licenses, the
term license would be replaced with the term "permit" which would be defined the same as
"license".]
(61) Lot of In-Shell Product means a single type of container of in-shell product of no more
than one day's harvest from a single defined growing area.
(62) Lot of shellstock means a single type of bulk shellstock or containers of shellstock of no
more than one day's harvest from a single defined growing area gathered by one or more
harvesters.
(63) Lot of shellstock for depuration means shellstock harvested from a particular area
during a single day's harvest and delivered to one depuration plant.
(64) Lot of shucked shellfish means a collection of containers of no more than one day's
shucked shellfish product produced under conditions as nearly uniform as possible, and
designated by a common container code or marking.
(65) Male-specific Coliphage are a group of bacterial viruses that infect and lyse E. coli
Famp and produce plaques within 18±2 hours at 35-37±0.5°C.
(66) Marina means any water area with a structure (docks, basin, floating docks, etc.) which
is:
(a) Used for docking or otherwise mooring vessels; and
(b) Constructed to provide temporary or permanent docking space for more than ten
boats.
(67) Marine biotoxin means any poisonous compound produced by marine microorganisms
and accumulated by shellstock. Examples include Alexandrium spp. [Protogonyaulax
species], and Karenia brevis.
(68) May means discretionary and is not mandatory or required.
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(69) Milliliter (ml) means a unit of measurement equal to the 0.001 portion of a liter.
(70) Monoculture means the culture of a single bivalve species.
(71) MPN (Most Probable Number) means a statistical estimate of the number of bacteria
per unit volume and is determined from the number of positive results in a series of
fermentation tubes.
(72) National Shellfish Sanitation Program (NSSP) means the cooperative State-FDA-
Industry program for the sanitary control of shellfish that is adequate to ensure that the
shellfish produced in accordance with these guidelines will be safe and sanitary.
(73) Open water aquaculture means the cultivation of bivalve shellfish in natural shellfish
growing areas.
(74) Other deficiency means a condition or practice that is not defined as critical or key and
is not in accordance with the requirements of this Model Ordinance.
(75) Other Nonconformity means a deviation of a laboratory requirement which does not
normally compromise the quality of the analytical results, but generally serve to enhance the
overall operation of the laboratory.
(76) Person means any individual, receiver, trustee, guardian, personal representative,
fiduciary, or representative of any kind, and any partnership, association, corporation or other
entity. Person includes the federal government, the State, and any other public or private
entity.
(77) Point source means any discernible, confined and discrete conveyance including any
pipe, ditch, channel, tunnel or conduit that carries pollution.
(78) Poisonous or deleterious substance means a toxic substance occurring naturally or
added to the environment for which a regulatory tolerance limit or action level has been
established in shellfish to protect public health.
(79) Polyculture means the cultivation of:
(a) Two or more species of shellfish; or
(b) Shellfish with other species in a common environment.
(80) Post Harvest Processing means any process which has been validated using NSSP
validation procedures which reduces the levels of pathogenic hazards to below the
appropriate FDA action level or in the absence of such a level, below the appropriate level as
determined by the ISSC.
(81) Post Harvest Processor means a designation given to a shellfish dealer that has
incorporated a post harvest process.
(82) Potable water means a water supply, which meets the requirements of the Safe
Drinking Water Act, as, administered by the EPA, and any applicable state or local
requirements.
(83) Principal display panel means that part of a label that is most likely to be displayed,
presented, shown or examined under customary conditions of retail sale.
(84) Process batch means a quantity of shellstock used to fill each separate tank or a series
of tanks supplied by a single process water system for a specified depuration cycle in a
depuration activity.
(85) Process water means the water used in the scheduled depuration process.
(86) Prohibited means a classification used to identify a growing area where the harvest of
shellstock for any purpose, except depletion or gathering of seed for aquaculture, is not
permitted.
(87) Raw means shellfish that have not been thermally processed:
(a) to an internal temperature of 145° or greater for 15 seconds (or equivalent); or
(b) altering the organoleptic characteristics.
(88) Relay means to transfer shellstock from a growing area classified as restricted or
conditionally restricted to a growing area classified as approved or conditionally approved for
the purpose of reducing pathogens as measured by the coliform indicator group or poisonous
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or deleterious substances that may be present in the shellstock by using the ambient
environment as the treatment process.
(89) Remote status means a designation applied to a shellfish growing area that has no
human habitation and is not impacted by any actual or potential pollution sources.
(90) Repacker (RP) means any person, other than the original certified shucker-packer, who
repackages shucked shellfish into other containers.
(91) Repacking In-Shell Product means the practice of removing in-shell product from
containers and placing it into other containers.
(92) Repacking Shellstock means the practice of removing shellstock from containers and
placing it into other containers.
(93) Replicate is defined as two (2) filters for tdh analysis from the same homogenate at the
same dilution.
(94) Reshipper (RS) means a person who purchases shellfish from dealers and sells the
product without repacking or relabeling to other dealers, wholesalers, or retailers.
(95) Restricted means a classification used to identify a growing area where harvesting shall
be by special license and the shellstock, following harvest, is subjected to a suitable and
effective treatment process through relaying or depuration.
(96) Restricted Use Shellstock means shellstock that is harvested from growing areas
classified as approved under conditions that do not allow the sale of the shellstock for direct
marketing for raw consumption. Restricted use shellstock is identified with a tag indicating
that the shellstock is intended for further processing prior to distribution to retail or food
service.
(97) Safe materials means articles manufactured from or composed of materials that may not
reasonably be expected to, directly or indirectly, become a component of or otherwise
adversely affect the characteristics of any food.
(98) Sanitation control record means records that document the monitoring of sanitation
practices and conditions during processing.
(99) Sanitary survey means the written evaluation report of all environmental factors,
including actual and potential pollution sources, which have a bearing on the water quality in
a shellfish growing area.
(100) Sanitize means to adequately treat food contact surfaces by a process that is effective
in:
(a) Destroying vegetative cells of microorganisms of public health significance;
(b) Substantially reducing the numbers of other undesirable microorganisms; and
(c) Not adversely affecting the product or its safety for the consumer.
(101) Seed means shellstock which is less than market size.
(102) Shall means mandatory and required.
(103) Shellfish means all species of:
(a) Oysters, clams or mussels, whether:
(i) Shucked or in the shell;
(ii) Raw, including post harvest processed;
(iii) Frozen or unfrozen;
(iv) Whole or in part; and
(b) Scallops in any form, except when the final product form is the adductor muscle only.
(104) Shellfish Gardening is non-commercial shellfish culture for the purposes of enhancing
water quality, or enhancing natural stocks and not for sale for consumption.
(105) Shellstock means live molluscan shellfish in the shell.
(106) Shellstock packing means the process of placing shellstock into containers for
introduction into commerce.
(107) Shellstock Shipper (SS) means a dealer who grows, harvests, buys, or repacks and
sells shellstock. They are not authorized to shuck shellfish nor to repack shucked shellfish. A
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shellstock shipper may also buy, repack, and sell in-shell product as well as ship shucked
shellfish.
(108) Should means recommended but is not required.
(109) Shucker-Packer (SP) means a person who shucks and packs shellfish. A shucker-
packer may act as a shellstock shipper or reshipper or may repack shellfish originating from
other certified dealers.
(110) Standardization means a process in which applicable staffs from the FDA and the
Authority conduct evaluations using standard criteria in a uniform manner.
(111) State shellfish standardization inspector means a person that has successfully
completed the FDA standardization training course (or one deemed acceptable by the FDA
and the field evaluation phase of shellfish plant inspection with either an FDA standardization
officer or a state standardization officer.
(112) State shellfish standardization officer means a person that has successfully
completed the FDA standardization training course and the field evaluation phase of shellfish
plant inspection with an FDA standardization officer.
(113) Swing deficiency means a deficiency noted on the NSSP Standardized Shellfish
Processing Plant Inspection Form which, depending upon the severity and circumstances, can
be either a "Critical" or a "Key" deficiency.
(114) Transaction record means the form or forms used to document each purchase or sale
of shellfish at the wholesale level, and includes shellfish harvest and sales records, ledgers,
purchase records, invoices and bills of lading.
(115) Wet storage means the storage, by a dealer, of shellstock from growing areas in the
approved classification or in the open status of the conditionally approved classification in
containers or floats in natural bodies of water or in tanks containing natural or synthetic
seawater at any permitted land-based activity or facility.

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Section II. Model Ordinance

Chapter I. Shellfish Sanitation Program Page 1 of 4

Requirements for the Authority.

Additional Guidance - Section IV Guidance Documents

Chapter I - General .02 Procedures for Initiating a New State Program

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 Administration.

A. Scope. The Authority shall establish a statewide shellfish safety and sanitation program to
regulate:
(1) The classification of shellfish growing areas;
(2) The harvesting of shellfish;
(3) Shellfish processing procedures and facilities;
(4) Product labeling;
(5) Storage, handling and packing;
(6) Shellfish shipment in interstate commerce;
(7) Shellfish dealers; and
(8) Bivalve aquaculture.
B. State Laws and Regulations. The Authority shall have laws and regulations which provide an
adequate legal basis for the safety and sanitary control of all program elements including but not
limited to the elements outlined in @.01 A.
C. Records. The Authority shall maintain records to demonstrate the effective administration of a
statewide shellfish safety and sanitation program. These records shall be maintained in a central file
and made available physically and/or electronically to any interested person upon request, consistent
with appropriate state and federal law.
D. Shared Responsibilities. If more than one agency is involved in the administration of the
statewide shellfish safety and sanitation program, memoranda of agreement shall be developed
between the agencies to define each agency's responsibilities.
E. Administrative Procedures. The Authority shall have administrative procedures sufficient to:
(1) Regulate shellfish harvesting, sale, or shipment; and
(2) Ensure that all shellfish shipped in interstate commerce originate from a dealer located
within the state from which the shellstock are harvested or landed, unless the Authority has a
memorandum of understanding with the Authority in another State to allow dealers from its state
to purchase the shellstock.
(3) Detain, condemn, seize, and embargo shellfish.
(4) Assure compliance with Shellfish Plant Inspection Standardization.
F. Epidemiologically Implicated Outbreaks of Shellfish-Related Illness. The Authority shall have
procedures for investigating incidents of shellfish borne disease.

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G. Commingling.
(1) Except for any shellfish included in the Authority's commingling plan, the Authority shall
not permit the commingling of shellfish.
(2) If the Authority permits shellfish product commingling, the Authority shall develop a
commingling management plan. The plan shall:
(a) Minimize the commingling dates of harvest and growing areas;
(b) Define a primary dealer;
(c) Limit the practice of commingling to primary dealers;
(d) Limit commingling to shellfish harvested from specific growing areas within the State
as identified by the Authority and purchased directly from harvesters; and
(e) Define how the commingled shellfish will be identified.

Additional Guidance - Section IV Guidance Documents

Chapter III .02 Shellfish Plant Inspection Standardization Procedures
NSSP Standardized Shellfish Processing Plant Inspection Form

@.02 Dealer Certification.

A. General
(1) A person requesting certification shall be subject to a comprehensive, onsite inspection
and meet the criteria in §B. or §C., as appropriate. The plant inspection shall be conducted by
the state shellfish standardization inspector, using the appropriate inspection form, within the
120-day period immediately prior to the issuance or renewal of the certification.
(2) Certification shall be given only to persons who meet the established requirements
established for certification.
(3) All certifications shall expire annually. The month selected for certification expiration
shall be at the discretion of the Authority.
(4) The Authority shall issue only one certification number to a dealer for a location. A
person or dealer may obtain more than one certification if each business is:
(a) Maintained as a separate entity; and
(b) Is not found at the same location.
(5) The Authority may permit separate certified dealers to share a facility.
(6) The certification number issued to each dealer by the Authority shall be unique.
(7) Adequate records documenting each dealer's compliance with certification requirements
shall be maintained for at least three years. These records shall include:
(a) Inspection reports of dealers;
(b) Notification letters and enforcement actions;
(c) Shellfish sample results and follow-up actions taken;
(d) Records of complaints or inquiries and follow-up actions taken; and
(e) Administrative hearing transcripts and records.
B. Initial Certification.
(1) Initial certification shall be given only to persons who meet the following requirements:
(a) HACCP requirements:
(i) A HACCP plan accepted by the Authority;
(ii) No critical deficiencies;
(iii) ) Not more than 2 key deficiencies;
(iv) Not more than 2 other deficiencies.
(b) Sanitation and additional Model Ordinance Requirements
(i) No critical deficiencies;
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(ii) Not more than 2 key deficiencies;

(iii) ) Not more than 3 other deficiencies.
(2) The initial certification shall include a compliance schedule to correct any deficiencies not
corrected by the dealer during the inspection.
C. Renewal of Certification.
(1) A dealer shall make application for certification renewal annually at the time specified by
the Authority. The Authority shall not renew the certification for any dealer until the dealer:
(a) Meets the requirements of §B.1(a) and §B.1(b). The number of deficiencies allowed
under §B.1(a) and §B.1(b) shall include carry over deficiencies from an existing
compliance schedule approved by the Authority and new deficiencies identified during
the certification renewal inspection; and
(b) Agrees to a compliance schedule to address any new deficiencies not corrected by the
dealer during the inspection.
D. Revocation or Suspension of Certification.
(1) The Authority shall not allow any dealer whose certification has been suspended or
revoked under §H. to deal in shellfish.
(2) The Authority shall not issue certification to a dealer whose certification has been
suspended or revoked to deal in shellfish until the dealer meets the requirements for initial
certification.
E. Interstate Certified Shellfish Shippers List (ICSSL).
(1) When the Authority certifies a person to become a dealer, the Authority shall notify the
FDA for the purpose of having the dealer listed in the ICSSL. The Authority shall include any
permit designation to be included in the ICSSL. The notice shall be in the format of FDA
Form 3038.

Designations
Certification Permit
SP - Shucker Packer PHP - Post Harvest Processing
RP - Repacker AQ - Aquaculture
SS - Shellstock Shipper WS - Wet Storage
RS - Reshipper
DP - Depuration

(2) The Authority shall notify the FDA for the purpose of having the dealer removed from the
ICSSL whenever a dealer's certificate or permit is:
(a) Suspended; or
(b) Revoked.
F. Inspections.
(1) After any person is certified, the Authority shall make unannounced inspections of the
dealer's facilities:
(a) During periods of activity; and
(b) At the following minimum frequencies:
(i) Within 30 days of beginning activities if the dealer was certified on the basis of a
pre-operational inspection;
(ii) At least monthly for dealer facilities certified as depuration processors;
(iii) At least quarterly for dealer's activities certified as shucker-packer or repacker;
and
(iv) At least semiannually for other dealer activities
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(2) The Authority shall provide a copy of the completed inspection form to the person in-
charge at the dealer's operation at the time of inspection. The inspection form shall contain a
listing of deficiencies by area in the operation and inspection item with corresponding
citations to this Model Ordinance.
G. Performance Based Inspection Program (PIP).
(1) A performance based inspection program may be instituted by the Authority for any
dealer who meets the requirements of this section.
(2) The minimum frequency of inspection under a PIP shall be no less than one inspection per
certification period. The recertification inspection may qualify as the required minimum
inspection frequency.
(3) To be eligible for a PIP, the dealer shall have demonstrated a history of satisfactory
compliance for the previous three-year period. The three-year demonstration shall include:
(a) Full compliance with the minimum inspection frequency shown under §F.;
(b) Recertification of the dealer by the Authority;
(c) Verification that no critical deficiencies, no more than one key deficiency and no
more than two other deficiencies have occurred in any one inspection;
(d) Correction of all identified deficiencies in accordance with the compliance schedule
approved by the Authority; and
(e) No repetition of the identified deficiencies.
H. Enforcement.
(1) General.
(a) The Authority shall use any combination of administrative hearings, fines,
certification cancellations, temporary suspension of operating licenses, embargoes,
product condemnations or product seizures to accomplish the implementation of this
Ordinance.
(b) When a dealer has failed to meet the compliance schedule, the Authority shall:
(i) Consider whether it is appropriate to revise the compliance schedule, suspend or
revoke the dealer's certification, or seek other administrative remedies; and
(ii) Document why an option was selected.
(2) Actions Triggered by Inspections.
(a) When any inspection detects a critical deficiency:
(i) The deficiency shall be corrected during that inspection; or
(ii) The dealer must cease production affected by the deficiency.
(b) When the dealer fails to comply with (a) above, the Authority shall immediately begin
actions to suspend or revoke the dealer's certification.
(c) Product affected by a critical deficiency shall be controlled to prevent contaminated or
adulterated product from reaching consumers. When necessary the Authority shall:
(i) Detain or seize any undistributed lots of shellfish that may have been adulterated;
(ii) Initiate a recall of any distributed shellfish; and
(iii) Immediately notify the enforcement officials for FDA and any other Authorities
where the product was distributed.
(d) When any inspection detects any key or other deficiencies not already covered in a
compliance schedule, the Authority, working with the dealer, shall develop a compliance
schedule to correct the new key or other deficiencies.
(e) When any inspection detects four or more new key deficiencies, the Authority shall
consider the following options and document the reasons for the selection of a particular
option:
(i) Revise the existing compliance schedule;
(ii) Suspend or revoke the dealer's certification; or
(iii) Seek other administrative remedies.
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Section II. Model Ordinance

Chapter II. Risk Assessment and Risk Management Page 1 of 9

Requirements for the Authority

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 Outbreaks of Shellfish-Related Illness.

A. When shellfish are implicated in an illness outbreak involving two (2) or more persons not from
the same household (or one or more persons in the case of paralytic shellfish poisoning [PSP]),
the Authority shall determine whether an epidemiological association exists between the illness
and the shellfish consumption by reviewing:
(1) Each consumer's food history;
(2) Shellfish handling practices by the consumer and/or retailer;
(3) Whether the disease has the potential or is known to be transmitted by shellfish; and
(4) Whether the symptoms and incubation period of the illnesses are consistent with the
suspected etiologic agent.

NOTE: For additional guidance refer to the International Association of Milk, Food, and
Environmental Sanitarians' Procedures to Investigate Food Borne Illness.

B. When the Authority has determined an epidemiological association between an illness outbreak
and shellfish consumption, the Authority shall conduct an investigation of the illness outbreak
within 24 hours to determine whether the illness is growing area related or is the result of post-
harvest contamination or mishandling.
C. When the investigation outlined in §.02B. does not indicate a post-harvest contamination
problem, or illegal harvesting from a closed area, the Authority shall:
(1) Immediately place the implicated portion(s) of the harvest area(s) in the closed status;
(2) Notify receiving states and the FDA Regional Shellfish Specialist that a potential health
risk is associated with shellfish harvested from the implicated growing area;
(3) As soon as determined by the Authority, transmit to the FDA and receiving states
information identifying the dealers shipping the implicated shellfish; and
(4) Promptly initiate recall procedures consistent with the Recall Enforcement Policy, Title
21 Code of Federal Regulations Part 7. The recall shall include all implicated products.
D. When the investigation outlined in §.02B demonstrates that the illnesses are related to post-
harvesting contamination or mishandling, growing area closure is not required. However, the
Authority shall:
(1) Notify receiving states and the FDA Regional Shellfish Specialist of the problem; and
(2) Promptly initiate recall procedures consistent with the Recall Enforcement Policy Title 21
Code of Federal Regulations Part 7. The recall shall include all implicated products.
E. When the investigation outlined in §.02B. cannot be completed within 24 hours, the Authority
shall:
(1) Follow the closure procedure outlined in § .01C; and if the investigation does not indicate
a growing area problem, the area shall be immediately reopened and product recall
terminated.

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F. Upon closing an implicated area for problems other than natural occurring pathogens and/or
Biotoxins, the Authority shall review the growing area classification and determine if a growing
area classification problem exists. The review shall include at a minimum:
(1) A review of the growing area classification file records;
(2) A field review of existing pollution sources;
(3) A review of actual and potential intermittent pollution sources, such as vessel waste
discharge and wastewater discharge from treatment plant collection systems; and
(4) Examination of water quality subsequent to the illness outbreak.
G. Upon closing an implicated portion(s) of the harvest area(s) for naturally occurring pathogens
and/or Biotoxins, the Authority:
(1) Shall follow an existing marine Biotoxin contingency plan, if appropriate.
(2) Shall collect and analyze samples relevant to the investigation, if appropriate.
(3) Shall keep the area closed until it has been determined that levels of naturally occurring
pathogens and/or Biotoxins are not a public health concern.
(4) May limit the closure to specific shellfish species when FDA concurs that the threat of
illness is species specific.
H. When the growing area is determined the problem, the Authority shall:
(1) Place the growing area in the closed status until:
(a) The Authority verifies that the area is properly classified, using current data, in
compliance with the NSSP Model Ordinance; or
(b) Shellfish from the growing area are confirmed as the cause of illness but it has been
determined that the event which caused the contamination no longer exists;
(2) Keep the area closed for a minimum of 21 days if the illness is consistent with viral
etiology; and
(3) Develop a written report summarizing the findings of the investigation and actions taken.
I. Whenever an Authority or dealer initiates a recall of shellfish products because of public health
concerns, the Authority will monitor the progress and success of the recall. The Authority will
immediately notify the FDA and the Authorities in other states involved in the recall. The
Authority shall submit periodic recall status reports to the FDA Regional Shellfish Specialist
consistent with the Recall Enforcement Policy Title 21 Code of Federal Regulations Part 7,
Subpart C, §7.53 (b) (1-6) until such time that the Authority deems the recall to be completed.
Each Authority involved in a recall will implement actions to ensure removal of recalled product
from the market, issue public warnings if necessary to protect public health and provide periodic
reports to the Authority in the state of product origin regarding recall efforts within their state
until such time that the Authority in the state of product origin deems the recall to be completed.
FDA will decide whether to audit or issue public warnings after consultation with the
Authority/Authorities, and after taking into account the scope of the product distribution and
other related factors. If the FDA determines that the Authority in any state involved in the recall
fails to implement effective actions to protect public health, the FDA may classify, publish and
audit the recall, including issuance of public warnings when appropriate.

Additional Guidance - Section IV Guidance Documents

Chapter IV .03 Vibrio Control Plan Guidance Template

J. The Authority shall assess annually Vibrio parahaemolyticus illnesses associated with the
consumption of molluscan shellfish. The assessment will include a record of all V.
parahaemolyticus shellfish-associated illnesses reported within the state and from receiving
states, the numbers of illnesses per event, and actions taken by the Authority in response to the
illnesses.
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@. 02 Presence of Human Pathogens in Shellfish Meats.

Additional Guidance - Section IV Guidance Documents

Chapter II .13 Protocol for Reviewing Classification of Area Implicated by Pathogens in Shellfish Meat
Samples

A. Finding. Upon determination that human pathogens are present in shellfish meats, the Authority
shall investigate the harvesting, the distribution, and the processing of the shellfish.
B. Growing Area Investigation.
(1) The Authority shall review the following factors:
(a) The documentation to trace the shellfish to its source;
(b) (The classification assigned to the growing area and whether the sanitary survey data
supporting that classification is current; and
(c) The probability of illegal harvesting from areas classified as restricted or prohibited,
or in the closed status.
(2) The Authority shall take no further action when the Authority determines that:
(a) The growing area is properly classified;
(b) No illegal harvesting is taking place; and
(c) There is no reason to believe that the growing area is the source of the pathogens.
(3) When the Authority determines that the growing area is not properly classified, the
Authority shall take immediate action to:
(a) Change the existing classification to the correct classification; or
(b) Close the growing area until the correct classification can be determined; and
(c) Promptly initiate recall procedures consistent with the Recall Enforcement Policy
Title 21 of Code of Federal Regulations Part 7.
(4) When the Authority determines that the growing area may be the source of pathogens the
Authority shall promptly initiate recall procedures consistent with the Recall Enforcement
Policy Title 21 of Code of Federal Regulations Part 7 if the pathogens exceed tolerance
levels.
(5) When the Authority determines that illegal harvesting is taking place, the Authority shall
promptly initiate recall procedures consistent with the Recall Enforcement Policy Title 21
Code of Federal Regulations Part 7 for all shellfish that may be falsely represented.
C. Distribution and Processing Investigation.
(1) The Authority shall evaluate the distribution and processing of the shellfish. This
investigation may include collection of additional meat samples.
(2) The Authority shall take no further action when the Authority determines that there is no
reason to believe a problem exists in the distribution or processing of the shellfish.
(3) When the Authority determines that a problem exists in the distribution or processing of
the shellfish, the Authority shall take immediate steps to correct the problem and promptly
initiate recall procedures consistent with the Recall Enforcement Policy Title 21 of Code of
Federal Regulations Part 7.
D. Risk Management and Tolerance Levels.

Additional Guidance - Section IV Guidance Documents Chapter II @ .04 Action Levels,

Tolerances and Guidance Levels for Poisonous or Deleterious Substances in Seafood

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(1) Pathogen Present. When a growing area continues to demonstrate the presence of human
pathogen isolates in shellfish meats in the absence of illness, the Authority shall perform a
risk assessment to determine the correct classification for an area.
(2) Established Tolerance Levels.
(a) When the established tolerance level for a particular pathogen isolate is not exceeded,
the Authority:
(i) Shall maintain a written summary of its finding and the data supporting its finding
in its central file; and
(ii) May leave the growing area in its present classification.
(b) When the established tolerance level for a particular pathogen isolate is known and
there are no known outbreaks of shellfish associated disease caused by that pathogen in a
particular growing area, the Authority shall:
(i) Leave the area in the open status of its classification when the tolerance level is
not exceeded; and
(ii) Place the area in the closed status of its classification when the tolerance level is
exceeded.
(c) When the tolerance level is exceeded, the Authority may:
(i) Maintain the growing area in the closed status of its current classification;
(ii) Reclassify the growing area to the restricted or prohibited classification;
or
(iii) Reclassify the growing area to the conditionally restricted classification and
establish a management plan.
(d) Any management plan based on shellstock exceeding established tolerance levels
shall:
(i) Meet all appropriate requirements for a management plan for the
conditionally approved or conditionally restricted classification;
(ii) Specify the additional criteria associated with the particular pathogen isolate that
the growing area must meet to be in the open status of its classification;
(iii) Document the scientific basis for the additional criteria;
(iv) Provide for periodic retesting of the shellfish meats; and
(v) Provide for the growing area to be placed in the closed status if the criteria are
exceeded.
(3) Established Tolerance Levels Not Known.
(a) When an established tolerance level does not exist for the particular pathogen
isolated, the Authority shall assess the public health significance of the levels of the
pathogen found in the growing area shellfish meats. The Authority may consider FDA
recommended action levels or levels of concern in this determination. When the
Authority determines that:
(i) The levels are acceptable, the growing area shall remain in the open status of its
classification; or
(ii) The levels are unacceptable, the growing area shall be placed in the closed status
of its classification.
(b) If a growing area is placed in the closed status, the Authority may elect to
(i) Maintain that status indefinitely;
(ii) Reclassify the area to the restricted or prohibited classification; or
(iii) Reclassify the area to the conditionally restricted classification and establish a
management plan. The management plan shall meet the requirements of §D.(2)(d).

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Chapter II. Risk Assessment and Risk Management Page 5 of 9

@.03 Presence of Toxic Substances in Shellfish Meats.

Additional Guidance - Section IV Guidance Documents Chapter II @ .04 Action Levels,

Tolerances and Guidance Levels for Poisonous or Deleterious Substances in Seafood

A. Upon determination that toxic substances, including heavy metals, chlorinated hydrocarbons, and
natural toxins are present in levels of public health significance in shellfish meats, the Authority
shall investigate the harvesting, distribution, and processing of shellfish and take necessary
corrective action in accordance with the procedures described in § @.02.
B. When a growing area continues to demonstrate the presence of toxic substances in the absence of
illness, the Authority shall perform a risk assessment to determine the correct classification of the
area. The risk assessment and subsequent risk management shall follow the procedures outlined
in § @.02D., Risk Management and Tolerance Levels.

@.04 Vibrio vulnificus Risk Management for Oysters.

Additional Guidance - Section IV Guidance Documents Chapter IV- Naturally Occurring

Pathogens

A. For states having 2 or more etiologically confirmed shellfish-borne Vibrio vulnificus illnesses
since 1995 traced to the consumption of commercially harvested raw or undercooked oysters that
originated from the waters of that state (Source State), the Authority shall develop and implement
a Vibrio vulnificus Management Plan.
B. The Source State's Vibrio vulnificus Management Plan shall define the administrative procedures
and resources necessary to accomplish (i.e. establish and maintain) involvement by the state in a
collective illness reduction program. The goal of the Vibrio vulnificus Management Plan will be
to reduce the rate of etiologically confirmed shellfish-borne Vibrio vulnificus septicemia illnesses
reported collectively by California, Florida, Louisiana, and Texas, from the consumption of
commercially harvested raw or undercooked oysters by 40 percent for years 2005 and 2006
(average) and by 60 percent for years 2007 and 2008 (average) from the average illness rate for
the years 1995 -1999 of 0.303/million. The list of states (California, Florida, Louisiana, Texas)
used to calculate rate reduction may be adjusted if after a thorough review, epidemiological and
statistical data demonstrates that it would be appropriate. The illness rate shall be calculated as
the number of illnesses per unit of population. The goal may be reevaluated prior to the year 2006
and adjusted in the event that new science, data, or information becomes available. State’s
compliance with the Plan will require States to maintain a minimum of 60% reduction in years
subsequent to 2008. Determination and compliance after 2008 will be based on two-year averages
beginning in 2009.
C. The Source State's Vibrio vulnificus Management Plan shall include, at a minimum:
(1) The ISSC Consumer Education Program targeted toward individuals who consume raw
oysters and whose health condition(s) increase their risk for Vibrio vulnificus illnesses;
(2) A process to collected standardized information for each Vibrio vulnificus illness:
including underlying medical conditions; knowledge of disease status; prior counseling on
avoidance of high risk foods, including raw oysters; existence of consumer advisories at point
of purchase or consumption; and, if possible, whether consumer was aware and understood
the advisories;
(3) A standardized process for tracking products implicated in Vibrio vulnificus illnesses;
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(4) Identification and preparation for achieving a goal of post harvest processing capacity of
25 percent of all oysters intended for the raw, half-shell market during the months of May
through September harvested from a Source State by the end of the third year (December 31,
2004). The percentage of post harvest processing will include the capacity of all operational
plants and the capacity of plants under construction;
(5) Identification and preparation for implementation of required post harvest processing
capacity of 50% of all oysters intended for the raw, half-shell market during the months of
May through September, harvested from a Source State, which shall be implemented should
the 40 percent illness reduction goal not be achieved by December 31, 2006. The percentage
of post harvest processing will include the capacity of all operational plants and the capacity
of plants under construction. In the alternative, the state may utilize the control measures, or
equivalent control measures, listed in @.04, (C), (6) (a), (b), (c), and (d) below for such
periods of time which, in combination with post harvest processing, will provide equivalent
outcomes. This portion of the plan shall be completed no later than December 31, 2005; and
(6) Identification and preparation for implementation of one or more of the following
controls, or equivalent controls, which shall be implemented should the 60 percent rate of
illness reduction goal not be achieved collectively by 2008. The control measures identified
in the plan shall be appropriate to the state and reflect that state's contribution to the number
of Vv illnesses and the controls that have been implemented by each state. This portion of the
Plan shall be completed no later than December 2007. The temperature and month-of the-
year parameters identified in the following controls may be adjusted by the ISSC Executive
Board as recommended by the Vibrio Management Committee (VMC) on a state by state
basis, as needed to achieve the established illness reduction goal. The adjustment to the
State's plan can take into account the illness rate reduction that has occurred since the last
review of the plan.
(a) Labeling all oysters, "For shucking by a certified dealer", when the Average Monthly
Maximum Water Temperature exceeds 75°F;
(b) Subjecting all oysters intended for the raw, half-shell market to an Authority-
approved post harvest processing that reduces the Vibrio vulnificus levels to <30
MPN/gram when the Average Monthly Maximum Water Temperature exceeds 75°F;
(c) Closing shellfish growing areas for the purpose of harvest of oysters intended for the
raw, half-shell market when the Average Monthly Maximum Water Temperature exceeds
75°F;
(d) Labeling all oysters, "For shucking by a certified dealer", during the months of May
through September, inclusive;
(e) Subjecting all oysters intended for the raw, half-shell market to a post harvest
processing that is both approved by the Authority and reduces the Vibrio vulnificus levels
to <30 MPN/gram during the months of May through September, inclusive;
and
(f) Closing shellfish growing areas for the purpose of harvesting oysters intended for the
raw, half-shell market during the months of May through September, inclusive.

Effective January 1, 2012:

@.04 Vibrio vulnificus Risk Management for Oysters

A. For states having 2 or more etiologically confirmed shellfish-borne Vibrio vulnificus illnesses
since 1995 traced to the consumption of commercially harvested raw or undercooked oysters that
originated from the waters of that state (Source State), the Authority shall develop and
implement a Vibrio vulnificus Risk Management Plan.
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B. The Source State's Vibrio vulnificus Risk Management Plan shall define the administrative
procedures and resources necessary to accomplish (i.e. establish and maintain) involvement by
the state in a collective illness risk reduction program. The goal of the Vibrio vulnificus Risk
Management Plan will be to reduce the risk per serving to a 60% illness rate reduction for
etiologically confirmed shellfish-borne Vibrio vulnificus septicemia illnesses reported
collectively by California, Florida, Louisiana, and Texas, from the consumption of commercially
harvested raw or undercooked oysters to a level equivalent to a 60% illness rate reduction from
1995 – 1999 baseline average illness rate of 0.278 per million.
C. The Source State's Vibrio vulnificus Risk Management Plan shall include, at a minimum:
(1) The ISSC Consumer Education Program targeted toward individuals who consume raw
oysters and whose health condition(s) increase their risk for Vibrio vulnificus illnesses;
(2) A process to collect standardized information for each Vibrio vulnificus illness: including
underlying medical conditions; knowledge of disease status; prior counseling on avoidance
of high risk foods, including raw oysters; existence of consumer advisories at point of
purchase or consumption; and, if possible, whether consumer was aware and understood the
advisories;
(3) A standardized process for tracking products implicated in Vibrio vulnificus illnesses;
and
(4) Identification and implementation of the controls, or equivalent controls, which produced
an illness per serving equivalent to a 60% illness rate reduction in the core states.

@.05 Vibrio parahaemolyticus Control Plan

The goal of the Control Plan is to reduce the probability of occurrence of Vibrio parahaemolyticus illness
during periods that have been historically associated with annual illnesses. The Plan is to be implemented
as part of a comprehensive program which includes all the time and temperature requirements contained
in the Model Ordinance.

A. Risk Evaluation.
Every State from which oysters are harvested shall conduct a Vibrio parahaemolyticus risk
evaluation annually. The evaluation shall consider each of the following factors, including
seasonal variations in the factors, in determining whether the risk of Vibrio parahaemolyticus
infection from the consumption of oysters harvested from an area (hydrological, geographical, or
growing) is reasonably likely to occur: (For the purposes of this section, "reasonably likely to
occur" shall mean that the risk constitutes an annual occurrence)
(1) The number of Vibrio parahaemolyticus cases epidemiologically linked to the
consumption of oysters commercially harvested from the State; and
(2) Levels of total and tdh+ Vibrio parahaemolyticus in the area, to the extent that such data
exists; and
(3) The water temperatures in the area; and
(4) The air temperatures in the area; and
(5) Salinity in the area; and
(6) Harvesting techniques in the area; and
(7) The quantity of harvest from the area and its uses i.e. shucking, halfshell, PHP.
B. Control Plan
(1) If a State’s Vibrio parahaemolyticus risk evaluation determines that the risk of Vibrio
parahaemolyticus illness from the consumption of oysters harvested from a growing area is
reasonably likely to occur, the State shall develop and implement a Vibrio parahaemolyticus
Control Plan; or
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Chapter II. Risk Assessment and Risk Management Page 8 of 9

(2) If a State has a shellfish growing area in which harvesting occurs at a time when average
monthly daytime water temperatures exceed those listed below, the State shall develop and
implement a Vibrio parahaemolyticus Control Plan. The average water temperatures
representative of harvesting conditions (for a period not to exceed thirty (30) days) that
prompt the need for a Control Plan are:
(a) Waters bordering the Pacific Ocean - 60°F.
(b) Waters bordering the Gulf of Mexico and Atlantic Ocean (NJ and south) - 81°F.
(c) However, development of a Plan is not necessary if the State conducts a risk
evaluation, as described in §A., that determines that it is not reasonably likely that Vibrio
parahaemolyticus illness will occur from the consumption of oysters harvested from
those areas.
(i) In conducting the evaluation, the State shall evaluate the factors listed in §A. for
the area during periods when the temperatures exceed those listed in this section;
(ii) In concluding that the risk is not reasonably likely to occur, the State shall
consider how the factors listed in §A differ in the area being assessed from other
areas in the state and adjoining states that have been the source of shellfish that have
been epidemiologically linked to cases of Vibrio parahaemolyticus illness; or
(3) If a State has a shellfish growing area that was the source of oysters that were
epidemiologically linked to an outbreak of Vibrio parahaemolyticus within the prior five
(5) years, the State shall develop and implement a Vibrio parahaemolyticus Control Plan for
the area.
(4) For States required to implement Vibrio parahaemolyticus Control Plans, the Plan shall
include the administrative procedures and resources necessary to accomplish the following:
(a) Establish one or more triggers for when control measures are needed. These triggers
shall be the temperatures in § B. (2) where they apply, or other triggers as determined by
the risk evaluation.
(b) Implement one or more control measures to reduce the risk of Vibrio
parahaemolyticus illness at times when it is reasonably likely to occur. The control
measures may include:
(i) Post harvest processing using a process that has been validated to achieve a 2 log
reduction in the levels of total Vibrio parahaemolyticus for Gulf and Atlantic Coast
oysters and a 3 log reduction for the Pacific Coast oysters;
(ii) Closing the area to oyster harvest;
(iii) Restricting oyster harvest to product that is labeled for shucking by a certified
dealer, or other means to allow the hazard to be addressed by further processing;
(iv) Limiting time from harvest to refrigeration to no more than five hours, or other
times based on modeling or sampling, as determined by the Authority in consultation
with FDA;
(v) Limiting time from harvest to refrigeration such that the levels of total Vibrio
parahaemolyticus after the completion of initial cooling to 60 °F (internal
temperature of the oysters) do not exceed the average levels from the harvest water at
time of harvest by more than 0.75 logarithms, based on sampling or modeling, as
approved by the Authority;
(vi) Other control measures that based on appropriate scientific studies are designed
to ensure that the risk of Vp illness is no longer reasonably likely to occur, as
approved by the Authority.
(c) Require the original dealer to cool oysters to an internal temperature of 50°F (10°C)
or below within 10 hours or less as determined by the Authority after placement into
refrigeration during periods when the risk of Vibrio parahaemolyticus illness is
reasonably likely to occur. The dealer’s HACCP Plan shall include controls necessary to
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Chapter II. Risk Assessment and Risk Management Page 9 of 9

ensure, document and verify that the internal temperature of oysters has reached 50°F
(10°C) or below within 10 hours or less as determined by the Authority of being placed
into refrigeration. Oysters without proper HACCP records demonstrating compliance
with this cooling requirement shall be diverted to PHP or labeled “for shucking only”, or
other means to allow the hazard to be addressed by further processing.
(d) Evaluate the effectiveness of the Plan.
(e) Modify the Control Plan when the evaluation shows the Plan is ineffective, or when
new information is available or new technology makes this prudent as determined by the
Authority.
(f) Optional cost benefit analysis of the Vibrio parahaemolyticus Control Plan.
C. The Time When Harvest Begins
For the purpose of time to temperature control, time begins once the first shellstock harvested is
no longer submerged.

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Section II. Model Ordinance

Chapter III. Laboratory Page 1 of 4

Requirements for the Authority.

Additional Guidance - Section IV Guidance Documents

Chapter II. 11. Evaluation of Laboratories by State Shellfish Laboratory Evaluation Officers Including
Laboratory Evaluation Checklists

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 Quality Assurance.

A. NSSP Conformance Required. All laboratory analyses shall be performed by a laboratory found
to conform or provisionally conform by the FDA or FDA certified State Shellfish Laboratory
Evaluation Officer (LEO) in accordance with the requirements established under the NSSP.
B. State Program Requirements. The Authority shall assure that all samples are collected,
maintained, transported, and analyzed in a manner that assures the validity of the analytical
results. The Authority shall:
(1) Require laboratories to develop a written quality assurance plan that:
(a) Describes the organization and management structure of the laboratory;
(b) Describes the laboratory staff training program ensuring that all laboratory personnel
are qualified, properly trained, and supervised;
(c) Describes all procedures and methods used to collect, maintain, transport and analyze
samples;
(d) Describes quality control measures, their frequency and tolerance limits, for
determining equipment performance;
(e) Requires maintenance of records of analytical performance, quality control results,
and equipment maintenance and calibration; and
(f) Provides a quality assessment program to demonstrate laboratory and analyst
competence. At a minimum this program must include triennial onsite laboratory
evaluations conducted by either FDA laboratory evaluation officers or FDA certified
state laboratory evaluation officers, and annual internal laboratory audits. For
microbiological laboratories, participation in the annual FDA sponsored proficiency test
programs is also required; and
(g) Requires corrective action for any deficiencies found in the laboratory quality
assurance program.
(2) Require laboratories to implement their quality assurance plan;
(3) Ensure that the laboratory has appropriate facilities and resources to effectively manage
the workload;
(4) Require triennial or more frequent evaluations of all laboratories which conduct both
microbial and marine biotoxin and analyses used to officially support the state shellfish
program; and
(5) Require a laboratory to be re-evaluated when any major changes in personnel, workload,
or facilities occur and when a laboratory is found in nonconformance.

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Chapter III. Laboratory Page 2 of 4

C. An FDA certified State Shellfish Laboratory Officer may evaluate laboratories in a different State
under a memorandum of understanding agreement between the States and FDA. The agreement
shall be consistent with NSSP requirements.
D. Laboratory Evaluation.
(1) Laboratory status is determined by the number and types of nonconformities found in the
evaluation using NSSP standardized criteria contained in the FDA Shellfish Laboratory
Evaluation Checklists, Guidance Documents Chapter II Growing Areas 11. Evaluation of
Laboratories by State Shellfish Laboratory Evaluation Officers Including Laboratory
Evaluation Checklists.
(a) Conforms. In order to achieve or maintain its conforms status, a laboratory shall meet
the following requirements under the NSSP standardized laboratory evaluation criteria:
(i) No critical nonconformities have been identified;
(ii) Not more than 12 key nonconformities for microbiological or 5 for paralytic
shellfish poisoning component have been identified;
(iii) Not more than 17 critical, key, and other nonconformities in total or 9 for
paralytic shellfish poisoning component have been identified (not to exceed the
critical and key criteria); and
(iv) No repeat key nonconformities have been identified in consecutive evaluations.
(b) Provisionally Conforms. In order to achieve provisionally conforming status, a
laboratory shall meet the following requirements under the NSSP standardized
microbiological laboratory evaluation criteria:
(i) Not more than 3 critical nonconformities for the microbiological or 2 for paralytic
shellfish poisoning component have been identified;
(ii) Not more than 12 key nonconformities for the microbiological or 5 for paralytic
shellfish poisoning component have been identified; and
(iii) Not more than one repeat Key nonconformity has been identified in consecutive
evaluations.
(c) Nonconformance. When a laboratory exceeds the following criteria, the laboratory
shall be determined to be in nonconformance:
(i) More than 3 critical nonconformities for the microbiological or 2 for paralytic
shellfish poisoning component have been identified;
(ii) More than 12 key nonconformities for the microbiological or 5 for paralytic
shellfish poisoning component have been identified;
(iii) More than 17 critical, key, and other nonconformities for microbiological or 9
for paralytic shellfish poisoning component have been identified; or
(iv) One or more repeat critical or two or more key nonconformities have been
identified in consecutive evaluations.
E. Time Limit on Laboratory Status.
(1) Conforming Status. A laboratory found to be in conforming status has up to ninety (90)
days to successfully correct all nonconformities noted in the evaluation or has an approved
action plan. After this period, the laboratory's status shall be downgraded to nonconforming if
any key nonconformities remain to be successfully corrected. As a result, data being
generated by the laboratory is no longer acceptable for use in support of the NSSP.
(2) Provisionally Conforms Status. A laboratory found to be in the provisionally conforming
status has up to sixty (60) days to successfully correct all nonconformities found or has an
approved action plan. After this period, the laboratory shall be assigned a status of:
(a) Conforms if all the critical and key nonconformities have been successfully corrected;
or
(b) Nonconforming if any critical or key nonconformities remain to be successfully
corrected. As a result, data being generated by the laboratory is no longer acceptable for
use in support of the NSSP.
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Section II. Model Ordinance
Chapter III. Laboratory Page 3 of 4

(3) Nonconformance.
(a) Upon a determination of nonconforming status, the laboratory has up to thirty (30)
days to demonstrate successful correction of all nonconformities found. After this period,
if all critical and key nonconformities have been successfully corrected, the status of the
laboratory will be upgraded to conforming. However, if any critical or key
nonconformities remain to be successfully corrected, the status of the laboratory shall
continue to be nonconforming; and as a result, data being generated by the laboratory is
no longer acceptable for use in support of the NSSP.
(b) When a laboratory is found to be nonconforming either for failure to successfully
implement the required corrective action, or for having repeated critical or key
nonconformities in consecutive evaluations, the Authority shall ensure that an action plan
is developed to correct the situation in an expeditious manner.
(c) When all critical and key nonconformities have been successfully corrected by a
nonconforming laboratory, the laboratory will be reevaluated either on-site or through a
careful review of appropriate documentation as determined by the FDA or FDA certified
State Shellfish LEO. Only a finding of fully conforming in laboratories whose data has
ceased to be acceptable to the NSSP will restore its acceptability for use in the NSSP.
F. Laboratory Services for Depuration Processors. For any laboratory providing services for the
quality assurance program (e.g. water quality) including end-product testing of any depuration
processor, the Authority shall:
(1) Require the annual inspection of the laboratory in accordance with 01 and 02 of this
Chapter; and
(2) Require the laboratory to retain its records for a minimum of the previous two years.

Additional Guidance - Section IV Guidance Documents

Chapter II.10 Approved NSSP Laboratory Tests

@.02 Methods.

A. Microbiological. Methods, practices, and procedures for the analyses of shellfish and shellfish
growing or harvest waters shall be the methods validated for use in the National Shellfish
Sanitation Program under Procedure XVI of the Constitution, Bylaws and Procedures of the ISSC
and / or cited in the Guidance Documents, Chapter II. Growing Areas .10 Approved National
Shellfish Sanitation Program Laboratory Tests.
B. Chemical and Physical.
(1) Methods for the analysis of shellfish and shellfish growing or harvest waters shall:
(a) Be the current AOAC or APHA method for all physical and chemical measurements;
and
(b) Express results of all chemical and physical measurements in standard units, and not
instrument readings.
(2) When an AOAC or APHA method is not available, EPA methods may be used.
(3) If a method is not approved or validated by AOAC, APHA, or EPA then the method shall
be validated in accordance with Procedure XVI of the Constitution, Bylaws and Procedures
of the ISSC.
C. Biotoxin. Methods for the analyses of shellfish and shellfish harvest waters shall be:
(1) The current AOAC and APHA methods used in the bioassay for paralytic shellfish
poisoning toxins : and
(2) The current APHA method used in the bioassay for Karenia brevis toxins; or
(3) Methods validated for use in the National Shellfish Sanitation Program under Procedure
XVI of the Constitution, Bylaws and Procedures of the ISSC and / or cited in the Guidance
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Chapter III. Laboratory Page 4 of 4

Documents, Chapter II. Growing Areas .10 Approved National Shellfish Sanitation Program
Laboratory Tests.
D. Emerging Methods.
(1) When there is an immediate or critical need and no NSSP approved methods exists, and
the ISSC Executive Board considers allowing an unapproved or non-validated method to be
used for a specific purpose, the minimum requirements as defined in the Lab Method Review
Committee Advisory for Emerging Methods will be provided to the Executive Board and
shall contain the following criteria:
(a) Name of Method
(b) Date of Submission
(c) Specific purpose or intent of the method for use in the NSSP
(d) Step by step procedure including equipment, reagents and safety requirements
necessary to run the method
(e) Data generated in the development and/or trials of the method and/or comparing to
approved methods if applicable
(f) Any peer reviewed articles detailing the method
(g) Name of developer(s)/submitters
(h) Developer/submitter contact information
(2) Within two years of the initial allowed use of the method, the entire Single Lab Validation
Protocol should be submitted. The Lab Methods Review Committee will report to the
Executive Board on the status of the Single Lab Validation data submission.

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Section II. Model Ordinance

Chapter IV. Shellstock Growing Areas Page 1 of 14

Additional Guidance - Section IV. Guidance Documents

Chapter II.03 Sanitary Survey and the Classification of Growing Waters
Chapter II.05 Management Plans for Growing Areas in the Conditional Classification
Chapter II.07 Systematic Random Sampling Monitoring Strategy

Requirements for the Authority

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this chapter in regulation.]

@.01 Sanitary Survey.

A. General.
(1) The sanitary survey is the written evaluation report of all environmental factors, including
actual and potential pollution sources, which have a bearing on water quality in a shellfish
growing area. The sanitary survey shall include the data and results of:
(a) A shoreline survey;
(b) A survey of the bacteriological quality of the water;
(c) An evaluation of the effect of any meteorological, hydrodynamic, and geographic
characteristics on the growing area;
(d) An analysis of the data from the shoreline survey, the bacteriological and the
hydrodynamic, meteorological and geographic evaluations; and
(e) A determination of the appropriate growing area classification.
(2) The sanitary survey shall be periodically updated through the triennial reevaluation and
the annual review in accordance with §C. to assure that data is current and that conditions are
unchanged.
(3) The documentation supporting each sanitary survey shall be maintained by the Authority.
For each growing area, the central file shall include all data, results, and analyses from:
(a) The sanitary survey;
(b) The triennial reevaluation; and
(c) The annual review.
(4) Wherever possible, the Authority shall provide the necessary information to Federal,
State, or local agencies which have the responsibility to minimize or eliminate pollution
sources identified in the sanitary survey.
(5) The Authority shall maintain a current comprehensive, itemized list of all growing areas,
including maps showing the boundaries and classification of each shellstock growing area.
B. Sanitary Survey Required.
(1) A sanitary survey shall not be required to classify growing areas as prohibited. The
findings of a sanitary survey, however, may result in a growing area being classified as
prohibited.
(2) A sanitary survey, including the triennial reevaluation, when available, of each growing
area shall be required prior to:
(a) The harvest of shellstock for human consumption; and
(b) The classification of a growing area as approved, conditionally approved, restricted,
or conditionally restricted.
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C. Sanitary Survey Performance.

(1) A sanitary survey of each growing area shall be performed at least once every twelve
years and shall include the components in §A. (1).
(2) When a written sanitary survey report is not completed, the area shall be placed in the
closed status.
(3) The growing area classification and the supporting data from the sanitary survey shall be
reviewed at least every three years.
(a) This triennial reevaluation shall include:
(i) A review in accordance with §C. (5) and (6) of the water quality samples;
(ii) Documentation of any new pollution sources and an evaluation of their effect on
the growing area;
(iii) Reevaluation of all pollution sources, including the sources previously identified
in the sanitary survey, as necessary to fully evaluate any changes in the sanitary
conditions of the growing area. The reevaluation may or may not include a site visit;
(iv) A comprehensive report which analyzes the sanitary survey data and makes a
determination that the existing growing area classification is correct or needs to be
revised; and
(v) If the triennial reevaluation determines that conditions have changed based on the
information and data collected during the triennial review and that the growing area
classification is incorrect, immediate action shall be initiated to reclassify the area.
(b) When a written triennial reevaluation report is not completed, the Authority shall
place the growing area in the closed status.
(4) The triennial reevaluation may include:
(a) Inspection of wastewater treatment plants or collection of additional effluent samples
to determine their impact on the growing area;
(b) Hydrodynamic studies;
(c) Additional field work to determine the actual impact of pollution sources; and
(d) Collection of additional water samples.
(5) On an annual basis, the sanitary survey shall be updated to reflect changes in the
conditions in the growing area. The annual reevaluation shall include:
(a) A field observation of the pollution sources which may include:
(i) A drive-through survey;
(ii) Observations made during sample collection; and
(iii) Information from other sources.
(b) Review, at a minimum, of the past year's water quality sample results by adding the
year's sample results to the data base collected in accordance with the requirements for
the bacteriological standards and sample collection required in §.02;
(c) Review of available inspection reports and effluent samples collected from pollution
sources;
(d) Review of available performance standards for various types of discharges that
impact the growing area; and
(e) A brief report which documents the findings of the annual reevaluation.
(6) If the annual reevaluation determines that conditions have changed based on the
information and data collected during the annual review and that the growing area
classification is incorrect, immediate action shall be initiated to reclassify the area.
D. Shoreline Survey Requirements.
(1) In the shoreline survey for each growing area, the Authority shall:
(a) Identify and evaluate all actual and potential sources of pollution which may affect
the growing area;

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(b) Determine the distance from the pollution sources to the growing area and the impact
of each source on the growing area;
(c) Assess the reliability and effectiveness of sewage or other waste treatment systems;
(d) Determine if poisonous or deleterious substances adversely affect the growing area;
and
(e) Consider the presence of domestic, wild animal or resident and migrating bird
populations for possible adverse effects on growing areas.
(2) The Authority shall assure that the shoreline survey meets the following minimum
requirements:
(a) The boundaries, based on the area topography, of each shoreline survey area are
determined by an in-field investigation which identifies only the properties with the
potential to impact the shellfish waters;
(b) Each shoreline survey area is identified by a unique designation which results in
identification of all data associated with each shoreline survey by the unique designation;
(c) Each shoreline survey area is investigated and pollution sources evaluated by
qualified, trained personnel; and
(d) Documentation for each pollution source identified by the Authority as affecting a
growing area includes:
(i) The location of the site on a comprehensive map of the survey area; and
(ii) The determination that the pollution source has a direct or indirect impact on
shellfish waters: and
(e) A written summary of the survey findings.

Additional Guidance - Section IV. Guidance Documents

Chapter II.01 Total Coliform Standards

@.02 Bacteriological Standards.

Note: The NSSP allows for a growing area to be classified using either a total or fecal coliform standard.
The NSSP further allows the application of either standard to different water bodies within the state. The
NSSP also allows for two sample collection strategies for the application of the total or fecal coliform
standard: adverse pollution condition and systematic random sampling. The 1992 Task Force II
recommended that this portion of the Ordinance be codified in two ways: a total coliform strategy and a
fecal coliform strategy so that the state may choose sampling plans on a growing area basis. Within each
strategy, provisions would appear for use of both systematic and adverse pollution condition sample
collection. The Ordinance has been recodified in this manner. For maximum flexibility, a state may wish
to adopt the use of both standards and both sampling strategies for each standard. This codification
represents the fecal coliform standards.

A. General. Either the total coliform or fecal coliform standard shall be applied to a growing area.
B. Water Sample Stations. The Authority shall assure that the number and location of sampling
stations is adequate to effectively evaluate all pollution sources.
C. Exceptions.
(1) Except for growing areas classified as prohibited, in growing areas where there are
pollution sources having an impact on the water quality, a minimum of 30 samples, collected
under various environmental conditions, shall be required to classify any growing area not
previously classified under §.03.
(2) Except for growing areas classified as prohibited or when the systematic random
sampling standard is applied, in growing areas where there are no pollution sources having an
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impact on the water quality, a minimum of 15 samples shall be required to classify any
growing area not previously classified under §.03.
D. Standard for the Approved Classification of Growing Areas in the Remote Status.
(1) Water Quality. The bacteriological quality of every station in the growing area shall meet
the fecal coliform standard below.
(2) Fecal Coliform Standard for the Remote Status. The fecal coliform median or geometric
mean MPN or MF (mTEC) of the water sample results shall not exceed 14 per 100 ml, and
not more than 10 percent of the samples shall exceed an MPN or MF (mTEC) of:
(a) 43 MPN per 100 ml for a five tube decimal dilution test;
(b) 49 MPN per 100 ml for a three-tube decimal dilution test;
(c) 28 MPN per 100 ml for a twelve-tube single dilution test; or
(d) 31 CFU per 100 ml for a MF (mTEC) test.
(3) Required Sample Collection.
(a) A minimum of two samples shall be collected annually.
(b) A minimum of the most recent 15 samples collected shall be used to calculate the
median or geometric mean and percentage to determine compliance with the standard
established for the approved classification of remote growing areas.
E. Standard for the Approved Classification of Growing Areas Affected By Point Sources.
(1) Water Quality. The bacteriological quality of every station in the growing area shall meet
the fecal coliform standard in §E. (2).
(2) Fecal Coliform Standard for Adverse Pollution Conditions. The fecal coliform median or
geometric mean MPN or MF (mTEC) of the water sample results shall not exceed 14 per 100
ml, and not more than 10 percent of the samples shall exceed an MPN or MF (mTEC) of:
(a) 43 MPN per 100 ml for a five tube decimal dilution test;
(b) 49 MPN per 100 ml for a three-tube decimal dilution test;
(c) 28 MPN per 100 ml for a twelve-tube single dilution test; or
(d) 31 CFU per 100 ml for a MF (mTEC) test.
(3) Required Sample Collection.
(a) A minimum of five samples shall be collected annually under adverse pollution
conditions from each sample station in the growing area.
(b) A minimum of the most recent 15 samples collected under adverse pollution
conditions from each sample station shall be used to calculate the median or geometric
mean and percentage to determine compliance with this standard.
(c) Sample station locations shall be adjacent to actual or potential sources of pollution.
F. Standard for the Approved Classification of Growing Areas Affected by Nonpoint Sources.
(1) Exception. If the tidal stage increases the fecal coliform concentration, the authority shall
use sample results collected during that tidal stage to classify the area.
(2) Pollution Sources. Growing areas shall be:
(a) Impacted only by randomly occurring, intermittent events; and
(b) Not impacted by discharges from sewage treatment facilities or combined sewer
overflows.
(3) Water Quality. The bacteriological quality of every station in the growing area shall meet
the fecal coliform standard in §E.(2) or §F.(4).
(4) Fecal Coliform Standard for Systematic Random Sampling. The fecal coliform median
(or geometric mean MPN or MF (mTEC) of the water sample results shall not exceed 14 per
100 ml and the estimated 90th percentile shall not exceed an MPN or MF (mTEC) of:
(a) 43 MPN per 100 ml for a five tube decimal dilution test;
(b) 49 MPN per 100 ml for a three-tube decimal dilution test; or
(c) 31 CFU per 100 ml for a MF (mTEC) test.
(5) Estimated 90th Percentile. The estimated 90th percentile shall be calculated by:
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(a) Calculating the arithmetic mean and standard deviation of the sample result
logarithms (base 10);
(b) Multiplying the standard deviation in (a) by 1.28;
(c) Adding the product from (b) to the arithmetic mean;
(d) Taking the antilog (base 10) of the results in (c) to get the estimated 90th percentile;
and
(e) The MPN values that signify the upper or lower range of sensitivity of the MPN tests
in the 90th percentile calculation shall be increased or decreased by one significant
number.
(6) Required Sample Collection.
(a) Adverse Pollution Condition Standard. The Authority shall collect samples in the
same intensity and frequency as described in §E. (3) for application of the standard under
§E.(2).
(b) Systematic Random Sampling Standard. The requirement for systematic random
sample collection shall be met when:
(i) Sample station locations are adequate to produce the data to effectively evaluate
all nonpoint sources of pollution;
(ii) Sample collection is scheduled sufficiently far in advance to support random
collection with respect to environmental conditions. Compliance requires that, prior
to implementation, the schedule for random sampling shall be documented in the
master file for the growing area, and if conditions at the time of scheduled sample
collection are believed to be hazardous to the safety of the individuals assigned to
collect samples, sample collection shall be rescheduled at a later date as soon as
practical;
(iii) A minimum of six random samples shall be collected annually from each sample
station in the growing area;
(iv) A minimum of two random samples shall be collected annually from each
sample station in the growing area while in the inactive status. The sample collection
frequency of six random samples per station per year specified under
@.02F(6)(b)(iii) must resume at least six months before an area is reactivated; and
(v) A minimum of the 30 most recent randomly collected samples from each sample
station shall be used to calculate the median or geometic mean and 90th percentile to
determine compliance with this standard.
(c) Transition from Adverse Pollution Condition Standard to Systematic Random
Sampling Standard. If the Authority:
(i) Does not have 30 recent randomly collected sample results from each station, then
the previous 15 samples collected under adverse pollution conditions may be used
with the most recent random samples to meet the minimum 30 sample requirement
for a transition period not to exceed three years; and
(ii) Uses the transition period described in (i), as additional random samples are
collected; the random samples shall replace chronologically the samples collected
under adverse pollution conditions (e.g. sample 31 replaces sample 1).
G. Standard for the Restricted Classification of Growing Areas Affected by Point Sources and Used
as a Shellstock Source for Shellstock Depuration.
(1) Water Quality. The bacteriological quality of every station in the growing area shall meet
the fecal coliform standard in §G. (2).
(2) Fecal Coliform Standard for Adverse Pollution Conditions. The fecal coliform median or
geometric mean MPN or MF (mTEC) of the water sample results shall not exceed 88 per 100
ml and the estimated 90th percentile shall not exceed an MPN or MF (mTEC) of:
(a) 300 MPN per 100 ml for a three tube decimal dilution test;
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(b) 173 MPN per 100 ml for a twelve tube single dilution test; or
(c) 163 CFU per 100 ml for a MF (mTEC) test.
(3) Required Sample Collection. Samples shall be collected in accordance with §E. (3).
H. Standard for the Restricted Classification of Growing Areas Affected by Nonpoint Sources and
Used as a Shellstock Source for Shellstock Depuration.
(1) Exception. If the tidal stage increases the fecal coliform concentration, the Authority shall
use samples collected under that tidal stage to classify the area.
(2) Pollution Sources. Growing areas shall meet the requirements in §F. (2).
(3) Water Quality. The bacteriological quality of every sample station in the growing area
shall meet the fecal coliform standard in §G. (2) or §H. (4).
(4) Fecal Coliform Standard for Systematic Random Sampling. The fecal coliform median or
geometric mean MPN or MF (mTEC) of the water sample results shall not exceed 88 per 100
ml and the estimated 90th percentile shall not exceed a MPN or MF (mTEC) of:
(a) 260 MPN per 100 ml for a five tube decimal dilution test;
(b) 300 MPN per 100 ml for a three-tube decimal dilution test; or
(c) 163 CFU per 100 ml for a MF (mTEC) test.
(5) Estimated 90th Percentile. The estimated 90th percentile shall be calculated by the same
method described in §F. (5).
(6) Required Sample Collection.
(a) Adverse Pollution Condition Standard. The Authority shall collect samples in the
same intensity and frequency as described in §E. (3) for application of the standard under
§G. (2).
(b) Systematic Random Sampling Standard. The Authority shall collect samples in the
same intensity and frequency, and shall apply the sample results in the manner described
in §F. (6) for the application of the standard under §H. (4).

@. 03 Growing Area Classification.

A. General. Each growing area shall be correctly classified as approved, conditionally approved,
restricted, conditionally restricted, or prohibited, as provided by this Ordinance.
(1) Emergency Conditions. A growing area shall be placed in the closed status under
§.03A(5) when pollution conditions exist which were not included in the database used to
classify the area. If it is determined that an emergency condition or situation exists, then the
growing area will be immediately (within 24 hours) placed in the closed status.
(2) Classification of All Growing Areas. All growing areas which:
(a) Are not subjected to a sanitary survey every twelve years shall be classified as
prohibited;
(b) Have a sewage treatment plant outfall or other point source outfall of public health
significance within or adjacent to the growing area shall have an area in the prohibited
classification established adjacent to the outfall in accordance with §E. Prohibited
Classification; and
(c) Are subjected to a sanitary survey shall be correctly classified based on the twelve
year sanitary survey, and its most recent triennial or annual reevaluation when available,
as only one of the following:
(i) Approved;
(ii) Conditionally Approved;
(iii) Restricted;
(iv) Conditionally Restricted; or
(v) Prohibited.

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(3) Boundaries. The boundaries of each classified growing area shall be delineated on charts
which are:
(a) Of sufficient scale and detail so as to adequately describe the boundaries; and
(b) Maintained in the central file by the Authority.
(4) Revision of Classifications.
(a) Any upward revision of a growing area classification shall be supported by an
adequate sanitary survey.
(b) The appropriate FDA regional office shall be notified of any revision in growing area
classification.
(5) Status of Growing Areas. The status of a growing area is separate and distinct from its
classification and may be open, closed or inactive for the harvesting of shellstock.
(a) Open Status. Except for an area in the prohibited classification, any correctly
classified growing area, is normally open for the purposes of harvesting shellstock,
subject to the limitations of its classification.
(b) Closed Status. Any classified growing area may be closed for a limited or temporary
period because of:
(i) An emergency condition or situation;
(ii) The presence of biotoxins in concentrations of public health significance; or
(iii) Conditions stipulated in the management plan of conditionally approved or
conditionally restricted areas; or
(iv) Failure of the Authority to complete a written sanitary survey or triennial review
evaluation report.
(v) The requirements for biotoxins or conditional area management plans as
established in §.04 and §.03, respectively, are met; and
(vi) Supporting information is documented by a written record in the central file.
(c) Reopened Status. A growing area temporarily placed in the closed status as provided
in (b) above, shall be returned to the open status only when:
(i) The emergency situation or condition has returned to normal and sufficient time
has elapsed to allow the shellstock to reduce pathogens or poisonous or deleterious
substances that may be present in the shellstock to acceptable levels. Studies
establishing sufficient elapsed time shall document the interval necessary for
reduction of contaminant levels in the shellstock to pre-closure levels. In addressing
pathogen concerns, the study may establish criteria for reopening based on coliform
levels in the water; or
(ii) For emergency closures (not applicable for conditional closures) of harvest areas
caused by the occurrence of raw untreated sewage discharged from a large
community sewage collection system or wastewater treatment plant, the analytical
sample results shall not exceed background levels or a level of 50 male-specific
coliphage per 100 grams from shellfish samples collected no sooner than 7 days after
contamination has ceased and from representative locations in each growing area
potentially impacted; or
(iii) The requirements for biotoxins or conditional area management plans as
established in §.04 and §.03, respectively, are met; and
(iv) Supporting information is documented by a written record in the central file.
(d) Inactive Status. The authority may place an approved or restricted growing area
affected by non-point sources in the inactive status for up to five years when shellstock
harvest is suspended or no longer occurring. Shellstock harvesting shall be closed while
an area is in the inactive status. The inactive status must continue for a minimum of one
year.

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(i) While in inactive status, the required bacteriological sample collection under
@.02F (6)(b)(iii) may be reduced to two water samples per station per year collected
under the systematic random sample collection strategy. Sanitary survey reports,
triennial reevaluations, and annual updates must be completed as required under
@.01C.
(ii) The sample collection frequency of six random samples per station per year
specified under @.02F (6)(b)(iii) must resume at least six months before an area is
reactivated.
(iii) Before an area is reactivated, the results of the most recent 30 samples must be
reviewed and comply with the requirements under @. 02F.
(e) Remote Status. A growing area may be placed in the remote status if:
(i) A sanitary survey determines that the area has no human habitation, and is not
impacted by any actual or potential pollution sources; and
(ii) The area is in the approved classification.
(f) Seasonally Remote/Approved Status. A growing area may be placed in a seasonally
remote/approved status requiring two water samples per year if the following criteria are
met:
(i) The area is initially classified as approved;
(ii) The closure time period is defined; and
(iii) At least one sample be taken upon reopening the area.
B. Approved Classification. Growing areas shall be classified as approved when the following
criteria are met.
(1) Survey Required. A sanitary survey finds that the area is:
(a) Safe for the direct marketing of shellfish;
(b) Not subject to contamination from human or animal fecal matter at levels that, in the
judgement of the Authority, presents an actual or potential public health hazard; and
(c) Not contaminated with:
(i) Pathogenic organisms;
(ii) Poisonous or deleterious substances;
(iii) Marine Biotoxins; or
(iv) Bacteria concentrations exceeding the bacteriological standards for a growing
area in this classification.
(2) Water Quality. The water quality in the growing area shall meet the bacteriological
standards for an approved classification in §.02.
C. Conditional Classifications. Growing areas may be classified as conditional when the following
criteria are met:
(1) Survey Required. The sanitary survey meets the following criteria:
(a) The area will be in the open status of the conditional classification for a reasonable
period of time. The factors determining this period are known, are predictable, and are
not so complex as to preclude a reasonable management approach;
(b) Each potential source of pollution that may adversely affect the growing area is
evaluated;
(c) Bacteriological water quality correlates with environmental conditions or other factors
affecting the distribution of pollutants into the growing area.
(2) Management Plan Required. For each growing area, a written management plan shall be
developed and shall include:
(a) For management plans based on wastewater treatment plant function, performance
standards that include:
(i) Peak effluent flow, average flow, and infiltration flow;
(ii) Bacteriological or viral quality of the effluent;
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(iii) Physical and chemical quality of the effluent;

(iv) Conditions which cause plant failure;
(v) Plant or collection system bypasses;
(vi) Design, construction, and maintenance to minimize mechanical failure, or
overloading;
(vii) Provisions for monitoring and inspecting the waste water treatment plant; and
(viii) Establishment of an area in the prohibited classification adjacent to a
wastewater treatment plant outfall in accordance with §E. Prohibited Classification;
(b) For management plans based on pollution sources other than waste water treatment
plants:
(i) Performance standards that reliably predict when criteria for conditional
classification are met; and
(ii) Discussion and data supporting the performance standards.
(c) For management plans based on wastewater treatment plant function or pollution
sources other than wastewater treatment plants, criteria that reliably predict when an area
that was placed in the closed status because of failure to comply with its conditional
management plan can be returned to the open status. The minimum criteria are:
(i) Performance standards of the plan are fully met;
(ii) Sufficient time has elapsed to allow the water quality in the growing area to
return to acceptable levels;
(iii) Sufficient time has elapsed to allow the shellstock to reduce pathogens that
might be present to acceptable levels. Studies establishing sufficient elapsed time
shall document the interval necessary for reduction of coliform levels in the
shellstock to pre-closure levels. The study may establish criteria for reopening based
on coliform levels in the water; and
(iv) Shellstock feeding activity is sufficient to achieve coliform reduction.
(d) For management plans based on a risk assessment made in accordance with Chapter
II, Risk Assessment and Risk Management, criteria that reliably determine when the
growing area may be placed in the open status and shellfish may be harvested;
(e) For management systems based on marine Biotoxins, the procedures and criteria that
reliably determine when the growing area may be placed in the open status;
(f) Procedures for immediate notification to the Authority when performance standards or
criteria are not met;
(g) Provisions for patrol to prevent illegal harvest; and
(h) Procedures to immediately place the growing area in the closed status in 24 hours or
less when the criteria established in the management plan are not met.
(3) Reevaluation of Conditional Classification.
(a) The classification shall be reevaluated at least once each year. The reevaluation shall
include:
(i) Evaluation of compliance with the management plan;
(ii) Determination of adequacy of reporting of failure to meet performance standards;
(iii) Review of the cooperation of the persons involved;
(iv) Evaluation of water quality in the growing area with respect to the
bacteriological standards for its classification;
(v) Field inspection of critical pollution sources, where necessary; and
(vi) Written findings, evaluations and recommendations.
(b) Water Sample Collection.
(i) When the conditional management plan is based on the absence of pollution from
marinas for certain times of the year, monthly water samples are not required when
the growing area is in the open status of its conditional classification provided that at
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least three of the water samples collected to satisfy the bacteriological standard for
the open status are collected when the growing area is in the open status.
(ii) When the conditional management plan is based on the operation and
performance of a wastewater treatment plant(s); combined sewer overflow(s); or
other point sources of pollution, monthly water samples are required when the
growing area is in the open status of its conditional classification.
(iii) If a monthly sample cannot be collected due to environmental constraints, the
monthly sampling requirement will be satisfied if an additional water sampling run is
conducted the following month.
(iv) When the conditional management plan is based on the effects of non-point
sources of pollution, such as rainfall events, stormwater runoff, and seasonal
variations, a minimum of five (5) sets of water samples (when the Adverse Pollution
Condition sampling regimen is used) or six (6) sets of water samples (when the
Systematic Random Sampling regimen is used) are required. The samples shall be
collected when the growing area is in the open status.
(v) When the conditional management plan is based on the effects of non-point
sources of pollution, such as rainfall events or storm water runoff, and the area is in
the open status for less than six months a minimum of five (5) sets of water samples
are required (Adverse Pollution Condition and Systematic Random Sampling). At
least one (1) sample shall be collected each month the area is placed in the open
status. This sample shall be collected while the area is open. If closed status samples
are used to meet the minimum sample requirements only two (2) sets of samples may
be utilized and they must have been taken within five (5) days of when the Authority
anticipates that the area will be placed in the open status. For growing areas in the
open status less than two (2) months, at least one (1) sample must be collected while
the area is in the open status. Samples collected during the closed status to meet the
minimum five (5) sets of water samples shall be applied to annual and triennial
reevaluations of the area.
(vi) When the conditional management plan is based on the seasonal opening and
closing of the area, and the area is in the open status for a predetermined period of
less than six (6) months, a minimum of five (5) sets of water samples are required
(Adverse Pollution Condition and Systematic Random Sampling). All samples shall
be collected while the area is in the open status unless the Authority has historical
water quality data to demonstrate that the area meets open status criteria while in the
closed status. If closed status samples are used to meet the minimum sample
requirements they must be collected within thirty (30) days prior to the area being
placed in the open status.
(4) Understanding of and Agreement With the Purpose of the Conditional Classification and
Conditions of Its Management Plan by All Parties Involved.
(a) The management plan shall be developed by the Authority in coordination with:
(i) The local shellfish industry;
(ii) The individuals responsible for the operation of any wastewater treatment plants
involved; and
(iii) Any local or State agencies; and
(b) Failure of any one party to agree shall constitute sufficient justification to deny the
application of the conditional classification to a growing area.
(5) Conditional Area Types. There are two types of conditional areas:
(a) Conditionally approved; and
(b) Conditionally restricted.

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(6) Conditionally Approved Classification. Any growing area in the conditionally approved
classification shall:
(a) Meet the requirements for:
(i) An approved area classification when the conditionally approved classification is
in the open status; and
(ii) A restricted or prohibited classification when the conditionally approved
classification is in the closed status; and
(b) If the closed status meets the criteria for the restricted classification, designate in its
management plan whether the shellstock may be harvested for relaying or depuration.
(7) Conditionally Restricted Classification. Any growing area in the conditionally restricted
classification shall:
(a) Meet the requirements for:
(i) A restricted classification when the conditionally restricted classification is in the
open status; and
(ii) A prohibited classification when the conditionally restricted classification is in
the closed status; and
(b) Designate in its management plan whether the harvested shellstock are to be relayed
or depurated.
D. Restricted Classification.
(1) General
(a) A growing area may be classified as restricted when:
(i) A sanitary survey indicates a limited degree of pollution; and
(ii) Levels of fecal pollution, human pathogens, or poisonous or deleterious
substances are at such levels that shellstock can be made safe for human consumption
by either relaying, depuration or low acid-canned food processing.
(b) The Authority shall have effective controls to assure that shellfish are harvested from
restricted areas only:
(i) By special license; and
(ii) Under the supervision of the Authority.
(2) Water Quality. Water quality in the growing area shall meet the bacteriological standards
in §.02 for a growing area in the restricted classification if the growing area is used for
depuration.
(3) Shellstock Quality Criteria. The Authority shall establish shellstock quality criteria for use
in placing an area in the restricted classification. Depending on the treatment process to be
applied to the shellstock, the criteria shall be established in accordance with:
(a) Chapter V. Shellstock Relaying; or
(b) Chapter XV. Depuration.
E. Prohibited Classification.
(1) Exception. The prohibited classification is not required for harvest waters within or
adjacent to marinas. The Authority, however, may use the prohibited classification for these
waters.
(2) General. The Authority shall:
(a) Not permit the harvest of shellstock from any area classified as prohibited, except for
the harvest of shellstock for the gathering of seed for aquaculture or the depletion of the
areas classified as prohibited; and
(b) Ensure that shellstock removed from any growing area classified as prohibited is
effectively excluded from human consumption unless it is seed to be cultured as outlined
in NSSP MO Chapter VI. Shellfish Aquaculture.02 Seed Shellstock.
(3) Sanitary Survey. A growing area shall be classified as prohibited if:
(a) No current sanitary survey exists;
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(b) A sanitary survey determines:

(i) The growing area is adjacent to a sewage treatment plant outfall or other point
source outfall with public health significance;
(ii) Pollution sources may unpredictably contaminate the growing area;
(iii) The growing area is contaminated with fecal waste so that the shellfish may be
vectors for disease microorganisms;
(iv) The concentration of Biotoxin is sufficient to cause a public health risk as
identified in §.04. or
(v) The area is contaminated with poisonous or deleterious substances causing the
shellfish to be adulterated.
(4) Risk Assessment. A growing area shall be classified as prohibited if a risk assessment
performed in accordance with Chapter II, Risk Assessment and Risk Management indicates
the shellstock are not safe for human consumption.
(5) Wastewater Discharges.
(a) An area classified as prohibited shall be established adjacent to each sewage treatment
plant outfall or any other point source outfall of public health significance.
(b) The determination of the size of the area to be classified as prohibited adjacent to
each outfall shall include the following minimum criteria:
(i) The volume flow rate, location of discharge, performance of the wastewater
treatment plant and the bacteriological or viral quality of the effluent;
(ii) The decay rate of the contaminants of public health significance in the
wastewater discharged;
(iii) The wastewater's dispersion and dilution, and the time of waste transport to the
area where shellstock may be harvested; and
(iv) The location of the shellfish resources, classification of adjacent waters and
identifiable landmarks or boundaries.

Additional Guidance - Section IV Guidance Documents

Chapter II.02 Guidance for Developing Marine Biotoxin Contingency Plans

@.04 Marine Biotoxin Control.

A. Contingency Plan.
(1) The Authority shall develop and adopt a marine Biotoxin contingency plan for all marine
and estuarine shellfish growing areas.
(2) The plan shall define the administrative procedures and resources necessary to accomplish
the following:
(a) Initiate an emergency shellfish sampling and assay program;
(b) Close growing areas and embargo shellfish;
(c) Prevent harvesting of contaminated species;
(d) Provide for product recall;
(e) Disseminate information on the occurrences of toxic algal blooms and/or toxicity in
shellfish meats to adjacent states, shellfish industry, and local health agencies; and
(f) Coordinate control actions taken by Authorities and federal agencies.
(3) Except that the Authority shall classify as prohibited any growing areas where shellfish
are so highly or frequently affected by marine Biotoxins that the situation cannot be safety
managed, the presence of marine Biotoxins shall not affect the classification of the shellfish
growing area under §.03. The Authority may use the conditionally approved classification for
areas affected by marine Biotoxins.

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(4) The plan may include agreements or memoranda of understanding, between the Authority
and individual shellfish harvesters or individual shellfish dealers, to allow harvesting in
designated parts of a growing area while other parts of the growing area are placed in the
closed status. Such controlled harvesting shall be conducted with strict assurances of safety,
such as by batch release of shellfish lots only after samples of each lot are tested and found to
be below the action levels specified in Section C.
B. Marine Biotoxin Monitoring.
In those areas where toxin-forming organisms are known to occur periodically and the toxins are
prone to accumulate in shellfish, and when appropriate at those times when marine Biotoxins can
be reasonably predicted to occur, representative samples of the water and/or shellfish shall be
collected during harvest periods. The samples shall be collected from indicator stations at
intervals determined by the Authority. Water samples will be assayed for the presence of toxin-
forming organisms and shellfish meat samples shall be assayed for the presence of toxins.
C. Closed Status of Growing Areas.
(1) A growing area, or portion(s) thereof as provided in §A.(4), shall be placed in the closed
status for the taking of shellstock when the Authority determines that the number of toxin-
forming organisms in the growing waters and/or the level of Biotoxin present in shellfish
meats is sufficient to cause a health risk. The closed status shall be established based on the
following criteria:
(a) PSP - cells/L n/a; 80 µg/100 grams
(b) NSP - 5,000 cells/L or 20 MU (approximate as 80 µg/100 g)
(c) ASP - cells/L n/a; 2 mg/100 grams (20 ppm)
(d) The concentration of paralytic shellfish poison (PSP) equals or exceeds 80
micrograms per 100 grams of edible portion of raw shellfish; or
(e) For neurotoxic shellfish poisoning (NSP), the harvesting of shellstock shall not be
allowed when:
(i) The concentration of NSP equals or exceeds 20 mouse units per 100 grams of
edible portion of raw shellfish; or
(ii) The cell counts for Karenia brevis organisms in the water column exceed 5,000
per liter; or
(f) For domoic acid, the toxin concentration shall not be equal to or exceed 20 ppm in the
edible portion of raw shellfish.
(2) For any marine Biotoxin producing organism for which criteria have not been established
under this Ordinance, either cell counts in the water column or Biotoxin meat concentrations
may be used by the Authority as the criteria for not allowing the harvest of shellstock.
(3) When sufficient data exist to establish that certain shellfish species can be safely
exempted from the marine Biotoxin contingency plan, the closed status for harvesting may be
applied selectively to some shellfish species and not others.
(4) The closed status shall remain in effect until the Authority has data to show that the toxin
content of the shellfish in the growing area is below the level established for closing the area.
(5) The determination to return a growing area to the open status shall consider whether toxin
levels in the shellfish from adjacent areas are declining.
(6) The analysis upon which a decision to return a growing area to the open status is based
shall be adequately documented.
D. Heat Processing. If heat processing is practiced, a control procedure shall be developed. This
procedure shall define the following:
(1) Toxicity limits for processing;
(2) Controls for harvesting and transporting the shellstock to processor;
(3) Special marking for unprocessed shellstock;
(4) Scheduled processes; and
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(5) End product controls on the processed shellfish.

E. Records. The Authority shall maintain a copy of all of the following records.
(1) All information, including monitoring data, relating to the levels of marine Biotoxins in
the shellfish growing areas;
(2) Copies of notices placing growing areas in the closed status;
(3) Evaluation reports; and
(4) Copies of notices returning growing areas to the open status.

@.05 Marinas.
A. Marina Proper. The area within any marina which is in or adjacent to a shellstock growing area
shall be classified as:
(1) Conditionally approved;
(2) Conditionally restricted; or
(3) Prohibited.
B. Adjacent Waters. Waters adjacent to marina waters classified under §A. may be impacted by
pollution associated with the marina.
(1) A dilution analysis shall be used to determine if there is any impact to adjacent waters.
(2) The dilution analysis shall be based on the volume of water in the vicinity of the marina.
(3) The dilution analysis shall incorporate the following:
(a) A slip occupancy rate for the marina;
(b) An actual or assumed rate of boats which will discharge untreated waste;
(c) An occupancy per boat rate (i.e., number of persons per boat);
(d) A fecal coliform discharge rate of 2 x 10 fecal coliform per ninth power per day; and
(e) The assumption that the wastes are completely mixed in the volume of water in and
around the marina.
(4) If the dilution analysis predicts a theoretical fecal coliform loading greater than 14 fecal
coliform MPN per 100 ml, the waters adjacent to the marina shall be classified as:
(a) Conditionally approved;
(b) Restricted;
(c) Conditionally restricted; or
(d) Prohibited.
(5) If the dilution analyses predicts a theoretical fecal coliform loading less than or equal to
14 fecal coliform MPN per 100 ml, the waters adjacent to the marina may be classified as:
(a) Approved; or
(b) Conditionally approved.
(6) If the Authority chooses not to determine a specific occupancy per boat rate by
investigation in specific areas or sites, the Authority shall assume a minimum occupancy rate
of two persons per boat.

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Section II. Model Ordinance

Chapter V. Shellstock Relaying Page 1 of 3

Additional Guidance - Section IV Guidance Documents

Chapter II.06 Shellstock Relay

Requirements for the Authority.

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 General.

The Authority shall assure that:

A. The shellstock used in relaying activities is harvested from growing areas classified as
conditionally approved, restricted, or conditionally restricted;
B. The level of contamination in the shellstock can be reduced to levels safe for human
consumption;
C. The contaminated shellstock are held in growing areas classified as approved or conditionally
approved for a sufficient time under adequate environmental conditions so as to allow reduction
of pathogens as measured by the coliform group of indicator organisms in the water, or poisonous
or deleterious substances that may be present in shellstock to occur; and
D. If shellstock are relayed in containers:
(1) The containers are:
(a) Designed and constructed so that they allow free flow of water to the shellstock; and
(b) Located so as to assure the contaminant reduction required in §C.; and
(2) The shellstock are washed and culled prior to placement in the containers.

@.02 Contaminant Reduction.

A. The Authority shall establish species-specific critical values for water temperature, salinity, and
other environmental factors which may affect the natural treatment process in the growing area to
which shellstock will be relayed. The growing area to be used for the treatment process shall be
monitored with sufficient frequency to identify when limiting critical values may be approached.
B. The effectiveness of species-specific contaminant reduction shall be determined based on a study.
The Authority shall retain the written study report indefinitely. The study report shall demonstrate
that, after the completion of the relay activity;
(1) The bacteriological quality of each shellfish species, is the same bacteriological quality as
that of the same species already present in the approved or conditionally approved area; or
(2) Contaminant levels of poisonous or deleterious substances in shellstock do not exceed
FDA tolerance levels.
C. The authority may waive the requirements for a contaminant reduction study if:
(1) Only microbial contaminants need to be reduced; and

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(2) The shellstock are relayed from a conditionally approved, restricted, or conditionally
restricted area meeting the bacteriological water quality for restricted areas used for
shellstock depuration per Chapter IV@.02.G and Chapter IV@.02H; and
(3) The treatment period exceeds 60 days.
D. The time period shall be at least 14 consecutive days when environmental conditions are suitable
for shellfish feeding and cleansing unless shorter time periods are demonstrated to be adequate.
E. When container relaying is used and the Authority allows a treatment time of less than 14 days,
the Authority shall require more intensive sampling including:
(1) Product sampling before and after relay, and
(2) Monitoring of critical environmental parameters such as temperature and salinity.
F. The Authority shall establish the time period during the year when relaying may be conducted.

@.03 Licenses to Relay Shellstock or to Harvest Shellstock for Delivery to a Low Acid Canned Food
Processing Facility.

A. The Authority shall require that each harvester that relays or harvests shellstock for delivery to a
low acid canned food processing facility from growing areas in the conditionally approved (in the
closed status), restricted or conditionally restricted classification possesses a valid harvester or
relay license.
B. The license conditions shall not be transferable.
C. A license shall be valid only when issued for:
(1) A specific relay or harvest activity; and
(2) Not more than 365 days.
D. The license conditions shall include:
(1) The source, destination, and species to be relayed or harvested for low acid canned food
processing;
(2) The relayed or harvested for low acid canned food processing shellstock deposition
method;
(3) The method used to maintain adequate separation between different lots of shellfish;
(4) A requirement for the licensee to keep records which:
(a) Specify the dates on which the shellstock is harvested, deposited for treatment and
harvested again, or delivered to a low acid canned food processing facility;
(b) Identify the buyer and quantity of shellstock harvested for relaying or delivery to a
low acid canned food processing facility; and
(c) Are submitted to the Authority at a specified frequency, if required by the Authority,
or made available to the Authority upon request; and
(5) A provision for additional information at the discretion of the Authority.
E. If the relay harvester or harvester for low acid canned food processing fails to comply with the
conditions of the license, the Authority shall revoke the license.

@.04 Management of Relaying Shellstock or the Harvesting for Delivery to a Low Acid Canned
Food Processing Facility Activities.

A. The Authority shall be authorized and equipped to enforce the State's procedures for relay and
low acid canned food processing. The Authority shall develop and maintain an effective program
to control the harvest, transport, replanting, and security of the shellstock until the end of the
complete relay activity to prevent shellstock from being illegally diverted to direct marketing.

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B. In the event that the control of relaying or harvesting for low acid canning activities is shared
among two or more agencies, the Authority shall develop written operating procedures for joint
use among the agencies. These procedures shall provide for the achievement of all requirements
specified in this Chapter, and shall be reviewed annually and updated as necessary.
C. If shellstock from growing areas classified as conditionally approved or restricted are to be
relayed or harvested for low acid canned food processing across State boundaries, a memorandum
of understanding outlining the procedures to be used shall be developed between the appropriate
Authorities in each State.
D. If a growing area in the conditionally approved classification meets the criteria for the restricted
classification when the growing area is in the closed status, the Authority may permit shellstock
to be harvested for relaying or low acid canned food processing during the period the area is in its
closed status, provided that these activities are addressed in the management plan for the growing
area classified as conditionally approved, and all other conditions of this Chapter are met.
E. Locations designated to receive relayed shellstock within growing areas which are classified as
approved or conditionally approved shall:
(1) Be placed in the closed status until the period of treatment is complete and the Authority
returns the area to the open status; and
(2) Be marked so that these areas are easily identified by harvesters transporting the relayed
shellstock and by the Authority. These areas shall:
(a) Be marked prior to the placing of any shellstock;
(b) Remain marked until the Authority reopens the area and gives written permission to
harvest shellstock; and
(c) Be adequately separated from the shellstock in adjacent waters to prevent cross-
contamination and commingling.

Requirement for Harvesters.

.01 Harvester License Required.

A. Any person who wants to relay shellstock or to harvest shellstock from a growing area classified
as conditionally approved, restricted, or conditionally restricted shall make application to the
Authority for a valid license to relay or to harvest shellstock.
B. No person shall relay shellstock or shall harvest shellstock for low acid canned food processing
without a valid harvester license from the Authority.

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Section II. Model Ordinance

Chapter VI. Shellfish Aquaculture Page 1 of 4

Requirements for the Authority

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 General.

A. The Authority may distinguish between two types of aquaculture:

(1) Commercial - product cultivated for direct marketing.
(2) Shellfish gardening - product cultivated to enhance water quality, or to improve shellfish
resources, and not for sale for consumption.
B. The Authority shall maintain the following records while the aquaculture activity continues:
(1) Construction and remodeling plans for any permitted aquaculture facility;
(2) Aquaculture operational plans; and
(3) Aquaculture permits.
C. The Authority shall inspect commercial aquaculture systems at least every six months.

@.02 Seed Shellstock.

A. The Authority shall establish the submarket size for each species of shellfish in accordance with
§.01B. and §.01C.
B. All sources of seed shall be sanctioned by the Authority.

@.03 Open Water and Land Based Aquaculture.

A. Inspection. The Authority shall inspect land-based and float aquaculture sites at least every six
months.
B. The Authority shall approve the written operational plan for any land-based or float aquaculture
facility prior to its implementation.
C.
@.04 Shellfish Gardening.

If a state recognizes shellfish gardening the Authority:

A. Shall permit or register shellfish gardening activities.
B. Shall establish permit or registration conditions and determine classification of waters where
shellfish gardening can take place prior to its implementation.
C. Shall provide information to the shellfish gardener on the risk of consuming shellfish from private
docks, piers, and shellfish floats attached to piers or docks and from waters not classified and
open to harvest for direct consumption.
D. May require that the shellfish gardener maintain records on the disposition of the shellfish
product and provide these records to the Authority.

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Requirements for the Harvester/Dealer

.01 Exceptions.

The following activities are exempted from these requirements:

A. Hatcheries;
B. Nursery products which do not exceed 10 percent of the market weight; and
C. Nursery products which are 6 months or more growing time from market size.

.02 General.

A. Aquaculture encompasses both monoculture and polyculture.

B. Any person who performs aquaculture or operates an aquaculture facility to raise shellfish for
human consumption shall obtain:
(1) A permit from the Authority for the activity or for construction and functioning of his
facility;
(2) A harvester's license; and
(3) Certification as a dealer, where necessary.
C. Shellfish aquaculture shall be practiced only in strict compliance with the provisions of the permit
issued by the Authority for the aquaculture activity. Authorization shall be based on the
aquaculturist's written operational plan.
D. Prior to beginning his activity, an aquaculturist shall obtain the permission of the Authority for
use of his site.
E. Water quality at any site used for aquaculture shall meet the criteria for the approved,
conditionally approved, restricted or conditionally restricted classification.
F. Shellfish cultured in any aquaculture system meeting the criteria for the approved classification of
a growing area throughout the culture period may be immediately marketed.
G. Any shellfish raised in aquaculture shall be subjected to relaying or depuration prior to direct
marketing if the culture area or facility is located in or using water which is in:
(1) The closed status of the conditionally approved classification;
(2) The restricted classification; or
(3) The open status of the conditionally restricted classification.
H. Only drugs sanctioned by the FDA shall be used for shellfish treatment.
I. Harvesting, processing, storage, and shipping requirements for shellfish raised in aquaculture
shall be the same as the requirements for wild shellfish specified in Chapters V, VII, VIII, IX, X,
XI, XII, XIII and XIV.
J. Complete and accurate records shall be maintained for at least two (2) years by the aquaculturist
and shall include the:
(1) Source of shellfish, including seed if the seed is from growing areas which are not in
the approved classification;
(2) Dates of transplanting and harvest; and
(3) Water source, its treatment method, if necessary, and its quality in land based systems.

.03 Seed Shellstock.

A. Seed may come from any growing area, or from any growing area in any classification, provided
that:
(1) The source of the seed is sanctioned by the Authority.

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(2) Seed from growing areas or growing areas in the restricted or prohibited classification
have acceptable levels of poisonous or deleterious substances; and
(3) Seed from growing areas or growing areas in the prohibited classification are cultured for
a minimum of 6 months.

.04 Open Water Aquaculture.

Any open water aquaculture activity shall be in compliance when it meets the requirements of §.01, §.02,
and §.03, as appropriate.

.05 Land Based Aquaculture.

A. Operational Plan. Each land based aquaculture facility shall have a written operational plan. The
plan shall be approved by the Authority prior to its implementation and shall include:
(1) A description of the design and activities of the culture facility;
(2) The specific site and boundaries in which shellfish culture activities will be conducted;
(3) The types and locations of any structures, including rafts, pens, cages, nets, tanks, ponds,
or floats which will be placed in the waters;
(4) The species of shellfish to be cultured and harvested;
(5) If appropriate, the source and species of other organisms to be cultured in any polyculture
systems;
(6) Procedures to assure that no poisonous or deleterious substances are introduced into the
activities;
(7) A program of sanitation, maintenance, and supervision to prevent contamination of the
final shellfish products;
(8) A description of the water source, including the details of any water treatment process or
method, if necessary;
(9) A program to maintain water quality, which includes collection of microbial water
samples and their method of analysis and routine temperature and salinity monitoring. The
bacterial indicator monitored shall be the same as used for monitoring growing areas;
(10) Collection of information on the microbial and chemical quality of shellfish harvested
from the aquaculture site;
(11) Collection of data concerning the quality of food production (algae or other) used in the
artificial harvest system;
(12) Maintenance of the required records; and
(13) How shellstock will be harvested, processed if applicable, and sold.
B. Water Systems.
(1) If the aquaculture system is of continuous flow through design, water from a growing area
classified as approved, or in the open status of the conditionally approved classification at all
times shellfish are held, may be used without treatment.
(2) Water used in land-based aquaculture incorporating a closed or recirculating system shall:
(a) Not contaminate shellfish with residues that are not Generally Recognized As Safe
(GRAS);
(b) Come from a source meeting the restricted classification criteria at a minimum;
(c) Be maintained, at a minimum, at the bacteriological quality of the restricted
classification; and
(d) Be measured at least five times per year.
(3) If the water in the closed or recirculating system meets the criteria for the conditionally
approved classification, the operational plan, prior to shellstock harvest, shall require, at a
minimum:
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(a) Collection of three water samples from the tank at least three days apart over a 14 day
period; and
(b) A fecal coliform of less than 14 MPN per 100 ml in each water sample from the
holding tank.
C. Shellstock Quality.
(1) Shellstock cultured in any system meeting the criteria for the approved classification
throughout the culture period may be used in direct marketing.
(2) If the water in a closed or recirculating system is classified as conditionally approved and
in the open status, and if the water quality meets a fecal coliform level of less than 14 MPN
per 100 ml in each sample collected in the 14 days prior to harvest, the shellstock may be
used in direct marketing.
(3) Shellstock cultured in a closed or recirculating system which does not meet the
requirements of §B.(1) or §B.(2) shall be relayed or depurated prior to direct marketing.

.06 Polyculture Systems.

A polyculture system shall:

A. Meet all requirements in §. 05 Land Based Systems;

B. Provide information concerning all sources of and species of all organisms to be cultivated,
cultured, and harvested;
C. Include in its operational plan requirements to:
(1) Monitor for human pathogens, unacceptable levels of animal drugs, and other poisonous
or deleterious substances that might be associated with polyculture activities; and
(2) Subject all harvested shellstock to relaying or depuration if human pathogens,
unacceptable levels of animal drugs, and other poisonous or deleterious substances exist at
levels of public health significance.

.07 Requirements for the Shellfish Gardener.

A. Shellfish gardening shall be practiced only in strict compliance with the provisions of the permit
issued by the Authority for the oyster/shellfish gardening activity.
B. Shellfish gardeners shall document that they understand the risks associated with consumption for
shellfish grown from docks or private piers.
C. If required by the Authority, shellfish gardeners shall keep accurate records on the fate or final
destination of all shellfish grown at their shellfish garden site and provide these records to the
Authority upon request.

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Section II. Model Ordinance

Chapter VII. Wet Storage in Approved and Conditionally
Approved Growing Areas Page 1 of 5

Requirements for the Authority.

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 General

A. The Authority shall permit all wet storage activities to ensure that all wet storage activities are
conducted by certified NSSP shellfish firms.
B. The Authority shall approve and maintain the following records while the wet storage activity
continues:
(1) Construction and remodeling plans for any permitted wet storage facility;
(2) Wet storage operational plans;
(3) Wet storage permits; and
(4) Inspection documentation.
C. The Authority shall inspect wet storage activities at the following frequency:
(1) Activities in offshore natural bodies of water at least annually;
(2) Activities at land-based sites with flow-through systems at least every six months; and
(3) Activities at land-based sites with recirculating systems semi-annually.
D. The Authority shall immediately notify (within 24 hours) all wet storage permit holders affected
by a change in growing area classification or status.
E. Reshippers shall not engage in wet storage activities.

Requirements for the Dealer.

.01 Source of Shellstock.

A. Dealers shall wet store shellstock harvested only from areas classified as approved, or
conditionally approved, in the open status.
B. Shellstock shall be harvested, identified and shipped to the wet storage activity in accordance
with the requirements of Chapters VIII and IX.

.02 General.

A. Wet storage may be used to store, condition, remove sand or to add salt to shellstock. Wet storage
shall be deemed a processing activity.
B. Wet storage of depurated product shall occur only within the facility in which it was depurated.
The shellstock shall be packed and labeled according to the requirements in Chapter XV.
C. Wet storage shall be practiced only by a dealer in strict compliance with the provisions in the
written approval for the wet storage activity given by the Authority.
D. While awaiting placement in a wet storage activity, shellstock shall be protected from physical,
chemical or thermal conditions which may compromise shellstock survival, quality or activity
during wet storage.
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E. Conditions and water quality during wet storage shall be sufficient to minimize the potential for
compromising the sanitary quality of the shellstock during storage.
F. Shellstock from a wet storage activity shall be harvested, handled, identified, processed and
shipped according to the requirements of Chapters VIII, IX, and X.
G. The wet storage operator shall keep complete and accurate records to enable a lot of shellstock to
be traced back to the original harvest location and wet storage location, and include the dates the
shellstock were held in wet storage. The records shall be maintained for a minimum of one year.
H. Unless the dealer is in the Authority's commingling plan under Chapter I .01 F., different lots of
shellfish shall not be commingled during wet storage. If more than one lot of shellstock is being
held in wet storage at the same time, the identity of each lot of shellstock shall be maintained.

.03 Wet Storage Sites in Natural Bodies of Water (Offshore).

A. Natural bodies of waters used for wet storage shall meet the requirements for classification as
approved or conditionally approved while shellstock is being held in storage. Areas classified as
conditionally approved may be used only when in the open status. When an area classified as
conditionally approved is placed in a status other than its open status, any shellstock in wet
storage in that area shall be:
(1) Subjected to relaying or depuration prior to human consumption; or
(2) Held in the wet storage site until the area is returned to the open status.
B. Site evaluations of natural bodies of water shall include:
(1) The sanitary survey of the storage site, with special consideration of potential intermittent
sources of pollution;
(2) The location of storage sites and/or floats;
(3) The examination of the construction of shellstock containers, if used, to ensure the free
flow of water to all shellstock; and
(4) A review of the operation's plan and operating procedures for an offshore activity as
submitted by the dealer.
C. Different lots of shellstock shall not be commingled in wet storage. If more than one lot of
shellstock is held in wet storage at the same time, the identity of each lot of shellstock shall be
maintained.

.04 Wet Storage in Artificial Bodies of Water (Land-Based).

A. General
(1) If the dealer chooses to practice wet storage in artificial bodies of water, the dealer shall
meet the requirements of Chapter VII .01 and .02.
(2) For the purpose of permitting, each wet storage site or activity shall be evaluated in
accordance with @ .01. B. The evaluation shall include a review of the plan and operating
procedures for conducting land-based wet storage activity as submitted by the dealer.
(3) Prior to commencing construction, all plans for construction or remodeling of wet storage
facilities shall be reviewed and authorized by the Authority.
(4) The wet storage facility evaluation shall include a review of:
(a) The purpose of the wet storage activity, such as holding, conditioning or increasing
the salt content of shellstock;
(b) Any species specific physiological factors that may affect design criteria; and
(c) The plan giving the design of the land-based wet storage facility, source and quantity
of process water to be used for wet storage, and details of any process water treatment
(disinfection) system.
B. Operation Specifications.
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(1) General. Each land-based wet storage activity shall meet the following design,
construction, and operating requirements.
(a) Effective barriers shall be provided to prevent entry of birds, animals, and vermin into
the area.
(b) Storage tanks and related plumbing shall be fabricated of safe material and shall be
easily cleanable. This requirement shall include:
(i) Tanks constructed so as to be easily accessible for cleaning and inspection, self-
draining and fabricated from nontoxic, corrosion resistant materials; and
(ii) Plumbing designed and installed so that it can be cleaned and sanitized on a
regular schedule, as specified in the operating procedures.
(c) Storage tank design, dimensions, and construction are such that adequate clearance
between shellstock and the tank bottom shall be maintained.
(d) Shellstock containers, if used, shall be designed and constructed so that the containers
allow the free flow of water to all shellstock within a container.
(2) Buildings. When a building is used for the wet storage activity:
(a) Floors, walls, and ceilings shall be constructed in compliance with the applicable
provisions of Chapter XI; and
(b) Lighting, plumbing, water and sewage disposal systems shall be installed in
compliance with applicable provisions of Chapter XI.
(3) Outdoor Tank Operation. When the wet storage activity is outdoors or in a structure other
than a building, tank covers shall be used. Tank covers shall:
(a) Prevent entry of birds, animals or vermin; and
(b) Remain closed while the system is in operation except for periods of tank loading and
unloading, or cleaning.
C. Wet Storage Source Water
(1) General.
(a) Except for wells, the quality of the surface source water prior to treatment shall meet,
at a minimum, the bacteriological standards for the restricted classification and water
classified as Prohibited or Conditionally Restricted when in the Closed Status shall not be
used as source water.
(b) Any well used as source water for wet storage shall meet the requirements of Chapter
XI. 02 (with the exception of the salt content in salt water wells).
(c) Except when the source of the water is a growing area in the approved classification, a
water supply sampling schedule shall be included in the dealer's operating procedures and
water shall be tested according to the schedule.
(d) Results of water samples and other tests to determine the suitability of the source
water supply shall be maintained for at least 2 years.
(e) Disinfection or other water treatment such as the addition of salt cannot leave residues
unless they are Generally Recognized as Safe (GRAS) and do not interfere with the
shellstock's survival, quality or activity during wet storage.
(f) Disinfected process water entering the wet storage tanks shall have no detectable
levels of the coliform group as measured by a recognized multi-tube MPN test per 100
ml. for potable water and acceptable for use with marine water and follow the protocol of
the Decision Tree (Section IV. Guidance Documents Chapter III. 06.)
(g) When the laboratory analysis of a single sample of disinfected process water entering
the wet storage tanks shows any positive result for the coliform group daily sampling
shall be immediately instituted until the problem is identified and eliminated.
(h) When the problem that is causing disinfected process water to show positive results
for the coliform group is eliminated, the effectiveness of the correction shall be verified

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on the first operating day following correction through the collection, over a 24 hour
period, of a set of three samples of disinfected process water.
(i) For water that is disinfected by ultra-violet treatment, turbidity shall not exceed 20
nephelometric turbidity units (NTUs) measured in accordance with Standard Methods for
the Examination of Water and Wastewater, APHA.
(j) The disinfection unit(s) for the process water supply shall be cleaned and serviced as
frequently as necessary to assure effective water treatment.
(2) Continuous Flow-through System.
(a) If the system is of continuous flow-through design, water from a growing area
classified as:
(i) Approved may be used, without disinfection, in wet storage tanks provided that
the near shore water source used for supplying the system meets the approved
classification bacteriological criteria at all times that shellstock are being held in wet
storage; or
(ii) Conditionally Approved in the Closed Status, Restricted or Conditionally
Restricted in the Open Status may be used if the source water is continuously
subjected to disinfection and it is sampled and analyzed daily following disinfection.
(b) When a source classified as Conditionally Approved in the Closed Status, Restricted
or Conditionally Restricted in the Open Status is used, a study shall be required to
demonstrate that the disinfection system can consistently produce water that tests
negative for the coliform group under normal operating conditions. The study shall:
(i) Include five sets of three samples from each disinfection unit collected for five
consecutive days at the outlet from the disinfection unit or at the inlet to at least one
of the wet storage tanks served by the disinfection system;
(ii) Include one sample daily for five consecutive days from the source water prior to
disinfection;
(iii) Use NSSP recognized methods to analyze the samples if determining coliform
levels;
(iv) Require all samples of disinfected water to be negative for the coliform group;
and
(v) Be repeated if any sample of disinfected process water during the study is positive
for the coliform group.
(c) Once sanctioned for use, the water system shall be sampled daily to demonstrate that
the disinfected water is negative for the coliform group.
(d) When other than approved water is located between the intake of a flow-through wet
storage system and the land-based facility then the Authority may require periodic
verification of the system's integrity to ensure that the other than approved water does not
infiltrate into the intake pipe.
(3) Recirculating Water System.
(a) A study shall be required to demonstrate that disinfection for the recirculating system
can consistently produce water that tests negative for the coliform group under normal
operating conditions. The study shall meet the requirements in §C. (2) (b) above.
(b) Once sanctioned for use, the recirculating process water system shall be sampled
weekly to demonstrate that the disinfected water is negative for the coliform group
(c) When make-up water of more than 10 percent of the process water volume in the
recirculating system is added from a growing area source classified as other than
approved, a set of three samples of disinfected water and one sample of the source water
prior to disinfection shall be collected over a 24 hour period to reaffirm the ability of the
system to produce process water free from the coliform group or viable bacteria.

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(d) When ultra-violet treatment is used as the water disinfectant, each time a bulb change
is required either to replace a burned out bulb or for servicing, new ultraviolet bulbs shall
be installed and old bulbs discarded, and the weekly disinfected process water sample
shall be collected and analyzed.
D. Shellstock Handling.
(1) Shellstock shall be thoroughly washed with water from a source authorized by the
Authority and culled prior to wet storage in tanks. Any deviation to this requirement is
subject to permission from the Authority.
(2) Unless the dealer is in the Authority's commingling plan under Chapter I @.01 F.,
different lots of shellstock shall not be commingled during wet storage in tanks. If more than
one lot of shellstock is being held in wet storage at the same time, the identity of each lot of
shellstock shall be maintained.
(3) Bivalve mollusks shall not be mixed with other species in the same tank. Where multiple
tank systems use a common water supply system for bivalve mollusks and other species, wet
storage process water shall be effectively disinfected prior to entering tanks containing the
bivalve mollusks.

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section II. Model Ordinance

Chapter VIII. Control of Shellfish Harvesting Page 1 of 11

Additional Guidance - Section IV Guidance Documents

Chapter II.08 Growing Area Patrol and Enforcement
Chapter II.09 Control of Shellfish Harvesting

Requirements for the Authority

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 Control of Shellstock Growing Areas.

A. General
(1) The Authority shall maintain an effective program to control shellstock growing areas and
to assure that shellstock are harvested only:
(a) From areas in an open status; and
(b) With approval from areas classified as restricted, conditionally restricted, or
prohibited, or in the closed status of the approved or conditionally approved
classification.
(2) This program shall include:
(a) The patrol of growing areas;
(b) The licensing of harvesters;
(c) Enforceable legal penalties sufficient to encourage compliance; and
(d) Appropriate identification of harvest areas where shellstock harvest is not allowed.
(3) At the time of issuance or renewal of a harvester's license or a dealer's certification, or an
annual mail out to all licensed shellfish harvesters, the Authority shall provide each harvester
or dealer with:
(a) Information which explains the public health risk associated with illegal harvesting
shellstock in areas classified as restricted, conditionally restricted, or prohibited or in the
closed status; and
(b) When requested, a current, comprehensive, itemized listing of all harvest areas
including their geographic boundaries and their classification.
B. Patrol of Growing Areas.
(1) The Authority shall assure that shellstock are harvested only as provided in this Chapter.
(2) The Authority shall patrol harvest areas classified as restricted, conditionally restricted, or
prohibited, or conditionally approved and approved when in the closed status at sufficient
intervals to deter illegal harvesting. This patrol activity shall include consideration of the
need for night, weekend, and holiday patrols. At a minimum, these growing areas shall be
patrolled at the following frequencies, except as provided in B.(3), in order to ensure effective
control:

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Risk Category Minimum Frequency of Patrol

Low Four (4) times per 30 harvestable days
Medium Eight (8) times per 30 harvestable days
High Sixteen (16) times per 30 harvestable days

A patrol is accomplished when the majority of an area is monitored. No more than two
patrols can be counted in a 24-hour period, and each must be a separate deliberate effort. A
harvestable day refers to a day during which tidal, weather and other conditions make it
possible to harvest shellfish. When tidal, weather, or other conditions prohibit harvesting on a
particular day, that day is not included in the 30-day period.

(3) Exceptions.
(a) Patrol is not required under the following conditions:
(i) There is no shellfish productivity, as demonstrated by one of the following
methods:
a. pH, salinity, temperature, or turbidity are not favorable to the growth of
shellfish; or
b. The water bottom does not support shellfish growth; or
c. The area has been depleted of shellfish by dredging, disease, or other means;
(ii) Harvest from the area is not economically feasible (i.e., the cost of harvesting
exceeds the market value of the product)
(iii) The area meets all of the following conditions:
a. The area is unclassified;
b. Historically there has not been interest in commercial harvesting;
c. Known points of pollution do not exist; and
d. The Authority has current evidence that commercial harvesting does not occur.
This can be accomplished by information gathered from periodic patrols or reliable
non-patrol sources.
(b) Where natural sets resulting in commercially harvestable quantities of shellfish do not
exist and advanced aquaculture methods (e.g. racks, bags, lantern nets, long lines and/or
floats) are used in the area: The area shall be patrolled at the frequencies specified in §B.
(2) unless the authority develops and implements a Risk Management Plan for the area
for the prevention of illegal harvesting of shellfish. The Risk Management Plan shall
include monitoring and control of surveillance activities that supplement the minimum
required patrol frequency of one (1) time per 30 harvestable days. The Risk Management
Plan at least should include the following:
(i) Description of the area;
(ii) Classification of the area;
(iii) Description of adjacent growing areas;
(iv) Procedure used to prevent shellfish from prohibited or closed waters to be
commingled with shellfish from an aquaculture area; and
(v) If, the patrol agency receives assistance from other state, federal, or tribal
agencies, a memorandum of agreement must be developed describing responsibilities
of each agency. A copy of such MOA must be kept in a central file.
(c) If the area is geographically remote, sparsely populated and has limited access (e.g.,
no or very poor roads) such that the potential for marketing the shellfish is severely
restricted:

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(i) The area shall be patrolled at the frequencies specified in § B. (2) unless the
Authority develops and implements a Risk Management Plan for the area for the
prevention of illegal harvesting of shellfish. The Risk Management Plan shall include
monitoring and control of surveillance activities (e.g. airport, dock, border, or truck
surveillance) that will be used in lieu of traditional patrol activities, and the area
should be patrolled at least one (1) time per 30 harvestable days. The Risk
Management Plan shall describe the administrative procedures and resources
necessary to prevent illegal harvesting and/ or the illegal commingling of the product
and include at least the following:
a. Description of the area;
b. Classification of the area;
c. Description of adjacent growing areas; and
d. If the patrol agency receives assistance from other state, federal, or tribal
agencies, a memorandum of agreement must be developed describing
responsibilities of each agency. A copy of such MOA must be kept in a central
file.
(ii) If the Authority has current evidence that commercial illegal harvesting is
occurring, the Management Risk Plan should be reevaluated.
(d) Where the entire state is closed to harvesting during traditional non-harvesting
seasons:
(i) The area shall be patrolled at the frequencies specified in § B. (2) unless the
Authority develops and implements a Risk Management Plan for the area for the
prevention of illegal harvesting of shellfish. The Risk Management Plan shall include
monitoring and control of surveillance activities (e.g. airport, dock, border, or truck
surveillance) that will be used in lieu of traditional patrol activities. The Risk
Management Plan shall describe the administrative procedures and resources
necessary to prevent illegal harvesting and/ or the illegal commingling of the product
and include at least the following:
a. Description of the area;
b. Classification of the area;
c. Description of adjacent growing areas; and
d. If the patrol agency receives assistance from other state, federal, or tribal
agencies, a memorandum of agreement must be developed describing
responsibilities from each agency. A copy of such MOA must be kept in a central
file.
(ii) The area shall be patrolled in low risk areas at least once (1) per 30 harvestable
days, for medium risk areas at least twice (2) per 30 harvestable days, and for high-
risk areas at least four (4) times per 30 harvestable days.
(iii) If the Authority has current evidence that commercial illegal harvesting is
occurring, the state agency shall resume patrol at the frequency specified in B. (2).
(4) The Risk Category for an area shall be determined as follows:
(a) Shellfish Productivity. Estimate the abundance of shellfish based on density studies,
historical information, and environmental conditions described in B.(3)(a). Consider only
commercially marketable species. The descriptions below refer to the range of
productivity within the state. The area shall be rated based on the highest density in any
portion of the growing area.
(i) Low Production - 1
(ii) Medium Productivity - 3
(iii) High Productivity - 5
(b) Ease of Harvest. Determine the method used to harvest the shellfish. If multiple
harvest techniques are used in an area, select the one with the highest score.
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(i) Highly mechanized requiring expensive equipment, deep water, difficult harvest -
1
(ii) Restricted access aquaculture relative shallow water dredging - 2
(iii) Scuba diving, tonging, bullraking - 3
(iv) Hand collection from a boat - 4
(v) Hand collection, no special tools or boat - 5
(c) Difficulty of Patrol. Determine the difficulty of patrol. If the difficulty varies in an
area, select the description with the highest score.
(i) Resource within sight of population and a normal patrol route. Patrol Officer can
observe illegal harvesting from the patrol vehicle - 1
(ii) Resource is near a shore and easily visible - 2
(iii) Moderate difficulty, deliberate effort is required to provide coverage to the area -
3
(iv) Long travel time to growing area, large open expanse of harvest area - 4
(v) Growing area is a marsh, short sight distance, canals system, extensive shoals - 5
(d) Using the values determined in B.(4)(a), (b), and (c), calculate the total score for the
area as follows:

Adjustment of
Score Explain Rating
Risk Factors Weight Rating Rating
(1-5) (optional)
(if needed)
Shellfish Productivity
0.40
(a)
Ease of Harvest
0.40
(b)
Difficulty of Patrol
0.20
(c)
Subtotal

The rating for each risk factor is calculated by multiplying the risk factor score by the
weight for that factor. The subtotal is calculated by adding all three of the risk factor
ratings.

(e) The following criteria should be used to adjust the rating, if warranted:
(i) If a community-policing program is in place, the subtotal may be reduced by up to
0.25 points. If such a program leads to frequent citations, the subtotal may be reduced
by up to 0.5 points. Community policing may include but is not limited to telephone
hot lines, out-reach programs, financial incentives, local law enforcement activities
not covered by B.(5), or private security arrangements.
(ii) If specialized equipment is available to the patrol agency, the subtotal may be
reduced by up to 0.40 points. The actual reduction should be dependent upon the type
of equipment that is available and its frequency of use. For example, frequent use of
an aircraft can warrant a 0.4 point reduction, and frequent use of night vision or
periodic use of aircraft can warrant a 0.2 point reduction.
(iii) If a growing area is conditionally managed or is poorly marked, the subtotal may
be increased by up to 0.2 point. Adding or subtracting the appropriate adjustment(s)
calculates the total score.

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(f) The following risk categories shall be applied to the total score:

Total Score Risk Category

less than 3 Low
3 or less than 4 Medium
4 or greater High

(5) The Authority may delegate patrol activity to any State or local enforcement authority. If
patrol activities are delegated, the Authority shall:
(a) Develop a Memorandum of Agreement with the delegated agency to assure that patrol
requirements are met; and
(b) Require the delegated agency to maintain and file records of its patrol activities
consistent with those required in B.(7).
(6) Officers responsible for the patrol of shellfish growing areas shall obtain the following
training:
(a) Basic law enforcement training, before assuming their patrol duties;
(b) Training on shellfish control regulations within the jurisdiction of the patrol agency,
before assuming independent patrol duties;
(c) In-service training on the shellfish control regulations within the jurisdiction of the
patrol agency, when the regulations change.
(7) The Authority shall prepare and revise, as necessary, a patrol policy document which
records the Authority's patrol organization and its activities to deter illegal shellstock
harvesting. This documentation shall include:
(a) Citation of the law providing the legal basis for enforcement authority;
(b) Citation of the laws and regulations, including penalties, which are directly related to
effective control of illegal harvest activities;
(c) The organizational structure of the unit responsible for patrol activities, including;
(i) Patrol unit(s) name, address, and phone number;
(ii) The roster and chain of command;
(iii) Area assignments that support the frequencies of patrol delineated in B.(2); and
(iv) A listing of specific vessels, vehicles, and equipment that support the frequencies
of patrol delineated in B.(2);
(d) Summaries of training in shellfish patrol techniques;
(e) The methods used to inform officers of growing area classifications and status, and of
any special activities licensed in the area;
(f) A listing of growing areas where patrol is required;
(g) An identification of any patrol problems;
(h) The type and frequency of reporting by patrol personnel;
(i) Copy of agreements with other agencies responsible for shellfish control activities;
and
(j) Citations/summons for the past year. If available, this information may include:
(i) The number of convictions or dismissals;
(ii) Fines in dollar amount;
(iii) Equipment or property confiscations and forfeitures;
(iv) License suspensions or revocations; and
(v) Jail sentences; and
(vi) Written warnings.
(8) Upon request by FDA, the Authority shall provide any available documentation that is
used to support the determination that the patrol program was effective in providing the

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required frequency of patrol. Ordinarily, this does not include providing reports not normally
maintained by the Authority.
(9) To comply with the Standardized Evaluation Criteria, the Authority shall:
(a) Have a patrol policy document (Key item);
(b) Update patrol documents every year (Key item);
(c) Meet NSSP patrol training requirements (Key item);
(d) Patrol all areas that require patrol (Critical item);
(e) Meet NSSP requirements for frequency of patrol (Key item);
(f) Have formalized Memorandum of Agreement with other agency per Chapter
VIII@.01B(5) (Key item);
(g) Have a risk management plan per Chapter VIII@.01B(3)(b)(c)(d) (Critical item); and
(h) Have a complete risk management plan per Chapter VIII@.01B(3)(b)(c)(d) (Other
item).
C. Licensing of Harvesting.
(1) The Authority shall assure that a license is required to commercially harvest shellstock,
including shellstock harvested from aquaculture.
(2) Each license shall:
(a) Not be valid for more than one year;
(b) Require the harvester to sell only to dealers listed on the Interstate Certified Shellfish
Shippers List; and
(c) Allow the harvester, at his discretion, to place shellstock in containers for transport of
shellstock from a growing area to land or to a dealer.
(3) A license to harvest shall not allow a harvester to engage in shellstock packing or engage
in independent wet storage activities as defined in this Ordinance unless the harvester is a
certified shellfish dealer and has a Wet Storage Permit issued by the Authority.
(4) In the case of riparian or leased land, unless the riparian owner or lessee employs a
licensed harvester, the Authority shall require a riparian owner or lessee to be licensed as a
harvester prior to harvesting his shellstock. A licensed riparian owner or lessee may employ
unlicensed harvesters to work his property or lease.
(5) When a person has a special license to harvest shellstock for depuration, the Authority
may not require individuals working under the supervision of the licensed harvester to have
their own license.
(6) The Authority shall inform each licensed harvester as to:
(a) The classification and current status assigned to each growing area; and
(b) The methods used to notify harvesters of changes in growing area status or
classification.
(7) When the Authority authorizes shellstock relaying under Chapter V. or shellstock
depuration under Chapter XV., the Authority shall issue special licenses to harvesters for the
taking of shellfish from areas classified as restricted, conditionally restricted, or in the closed
status of the approved or conditionally approved classification. The licenses shall specify the
limitations and conditions for harvesting shellstock including requirements for the harvester
to keep records which:
(a) For depuration:
(i) Specify the date and amount of shellstock harvested from each area; and
(ii) Record the name of the depuration facility to which the shellstock was consigned
or sold; and
(b) For relaying, meet the requirements of Chapter V.03D.
(8) The Authority shall maintain a record of all licenses and special licenses issued.
D. Identification of Certain Growing Areas.

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(1) The Authority shall chart, describe, and mark the boundaries of growing areas classified
as restricted, conditionally restricted, or prohibited, or in a closed status. The boundary
descriptions shall:
(a) Be marked by fixed objects or landmarks; or
(b) Be described in a manner which allows easy recognition; and
(c) Allow successful prosecution of any illegal commercial harvesting activity.
(2) The Authority:
(a) Shall notify harvesters of the boundaries established under §D.(1) by dissemination of
information with licenses, publication, or direct notification including registered mail;
and
(b) May use warning signs.
E. Prohibited Classification. The Authority shall exercise effective supervision over each depletion
or seed gathering operation and maintain complete written documentation.

Requirements for Harvesters

.01 General.

A. Each harvester shall have a valid license, and a special license if necessary, in his possession
while engaged in shellstock harvesting activities.
B. Persons who are working in a boat crew under the supervision of a licensed harvester need not
have a valid harvester's license.
C. In the case of riparian or leased land, unless the riparian owner or lessee employs a licensed
harvester, the riparian owner or lessee shall be licensed as a harvester prior to harvesting his
shellstock. A licensed riparian owner or lessee may employ unlicensed harvesters to work his
property or lease.

.02 Shellstock Harvesting and Handling.

A. Harvesters. Any harvester who engages in shellfish packing as defined in this Ordinance shall:
(1) Be a dealer; or
(2) Pack shellstock for a dealer.
B. Non-Vessel Harvesting

Harvesters shall assure shellstock are harvested, handled, and transported to prevent
contamination, deterioration, and decomposition.

C. Vessels.
(1) The operator shall assure that all vessels used to harvest and transport shellstock are
properly constructed, operated, and maintained to prevent contamination, deterioration, and
decomposition of the shellstock.
(a) Decks and storage bins shall be constructed and located to prevent bilge water or
polluted overboard water from coming into contact with the shellstock.
(b) Bilge pump discharges shall be located so that the discharge shall not contaminate
shellstock.
(c) Containers used for storing shellstock shall be clean and fabricated from safe
materials.
(d) Boat decks and storage bins used in the harvest or transport of shellstock for direct
marketing shall be:

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(i) Kept clean with potable water or water from a growing area in the approved
classification or in the open status of the conditionally approved classification; and
(ii) Provided with effective drainage.
(e) Vessels and all other equipment coming in contact with shellstock during handling or
transport for relaying or depuration shall be thoroughly cleaned before the vessels or
equipment are used to transport or handle shellfish for direct marketing.
(f) When necessary, effective coverings shall be provided on harvest boats to protect
shellstock from exposure to:
(i) Hot sun;
(ii) Birds; and
(iii) Other adverse conditions.
(2) Cats, dogs, and other animals shall not be allowed on vessels.
D. Disposal of Human Sewage from Vessels.
(1) Human sewage shall not be discharged overboard from a vessel used in the harvesting of
shellstock, or from vessels which buy shellstock while the vessels are in growing areas.
(2) The Authority shall educate all licensed harvesters and shellstock dealers concerning the
public health significance of discharging human sewage overboard.
(3) As required by the Authority, in consultation with FDA, an approved marine sanitation
device (MSD), portable toilet or other sewage disposal receptacle shall be provided on the
vessel to contain human sewage.
(4) Portable toilets shall:
(a) Be used only for the purpose intended;
(b) Be secured while on board and located to prevent contamination of shellstock by
spillage or leakage;
(c) Be emptied only into a sewage disposal system;
(d) Be cleaned before being returned to the boat; and
(e) Not be cleaned in equipment used for washing or processing food.
(5) Use of other receptacles for sewage disposal may be approved by the Authority if the
receptacles are:
(a) Constructed of impervious, cleanable materials and have tight fitting lids; and
(b) Meet the requirements in §D.(3).
E. Shellstock Washing.
(1) Shellstock shall be washed reasonably free of bottom sediments as soon after harvesting
as practicable.
(2) The harvester shall be primarily responsible for washing shellstock.
(3) If shellstock washing is not feasible at the time of harvest, the dealer shall assume this
responsibility.
(4) Water used for shellstock washing shall be obtained from:
(a) A potable water source; or
(b) A growing area in the:
(i) Approved classification; or
(ii) In the open status of the conditionally approved classification.
(5) If the harvester or dealer elects to use tanks or a recirculating water system to wash
shellstock, the shellstock washing activity shall be constructed, operated, and maintained in
accordance with Chapter XI.02.A.(3) and Chapter XIII.02.A.(3).
F. Shellstock Identification.
(1) Each harvester shall affix a tag to each container of shellstock which shall be in place
while the shellstock is being transported to a dealer.
(2) If the shellstock was harvested at more than one location, each container shall be tagged
at its growing area.

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(3) When the harvester is also the dealer, the harvester has the option to tag the shellfish with
a harvester's tag or a dealer's tag meeting the requirements outlined in X. §05.
(4) The harvester's tags shall:
(a) Be durable, waterproof and sanctioned by the Authority prior to use; and
(b) Be at least 13.8 square inches (89.03 cm2) in size.
(5) The harvester's tag shall contain the following indelible, legible information in the order
specified below:
(a) The harvesters' identification number as assigned by the Authority;
(b) The date of harvest;
(c) The most precise identification of the harvest location or aquaculture site as is
practicable, including the initials of the state of harvest, and the Authority's designation
of the growing area by indexing, administrative or geographic designation. If growing
areas have not been indexed by the Authority, then an appropriate geographical or
administrative designation must be used (e.g. Long Bay, Decadent County, lease number,
bed, or lot number).
(d) The type and quantity of shellstock; and
(e) The following statement in bold capitalized type on each tag
"THIS TAG IS REQUIRED TO BE ATTACHED UNTIL CONTAINER IS
EMPTY OR IS RETAGGED AND THEREAFTER KEPT ON FILE FOR 90
DAYS."
(6) If the shellstock is removed from the original container, the tag on the new container shall
meet the requirements in §.02 F.
(7) Bulk tagging of a lot of shellstock during transport from harvest area to the dealer
facilities.
(a) When shellstock are harvested from one harvest area on a single day, multiple
containers may be utilized on a wrapped pallet, in a tote, in a net brailer, or other
container and the unit tagged with a single tag in accordance with the requirements of
§.02 F.
(b) In addition to the information required in §.02 F. the unit tag shall also include:
(i) A statement that "All shellstock containers in this lot have the same harvest data
and area of harvest"; and
(ii) Number of individual containers in the unit.
(8) Bulk Sale of Shellstock. If shellstock are sold in bulk, the harvester or dealer shall provide
a transaction record prior to shipment. This transaction record shall contain all the
information required in §.02 F. with the addition of the name of the consignee.

.03 Shellstock Temperature Control.

Note: The Authority shall select one of the following options for implementation in its State. The
time-temperature matrix for each of the options applies only to the original harvester or
harvester/dealer of shellstock for the purposes of handling and transporting shellstock to the first
point of processing or packing.

OPTION 1

(Mandatory for confirmed Vibrio vulnificus problem) If the waters of a State have been confirmed as an
original source of product associated with two (2) or more Vibrio vulnificus illnesses, the Authority shall
adopt the following exposure time to temperature controls in the time-temperature matrix below only for
shellfish intended to be consumed raw.

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A. For the purposes of this section, temperature control is defined as the management of the
environmental temperature of shellstock by means of ice, mechanical refrigeration or other
approved means which is capable of lowering the temperature of the shellstock and will maintain
it at 50 degrees Fahrenheit (10 degrees Centigrade) or less.

Time-Temperature Matrix for Vibrio vulnificus:

Maximum Hours from Exposure to
Action Level Water Temperature
Temperature Control
Level 1 <65 °F 36 hours
Level 2 65 °F - 74 °F (18 °C - 23 °C) 14 hours
Level 3 >74 °F - 84 °F (>23 °C - 28 °C) 12 hours
Level 4 > 84 °F (>28 °C) 10 hours

B. The Authority shall establish the water temperature to be applied in the matrix above for each
growing area by averaging the previous 5 years maximum monthly water temperatures.
C. The time to refrigeration in the above matrix shall be based upon the first shellstock harvested.
D. During Action Levels 2, 3, and 4, the product shall be shaded.
E. The Authority may approve other measures proposed by the industry to provide controls
equivalent to the time-temperature requirements in the above matrix.
F. The Authority may set up a plan that allows for exemption of this option for shellstock that is to
be post-harvest processed with an approved post-harvest process in accordance with NSSP Model
Ordinance Chapter XVI. The Authority must develop a plan to ensure the security of shellstock
harvesting.
G. The Authority shall ensure the dealer has adequate methods in place to demonstrate compliance
with the time/temperature matrix.

OPTION 2

If a growing area in the State has been confirmed as an original source of product associated with two
(2) or more Vibrio parahaemolyticus illnesses within the past three years, the Authority shall adopt the
following exposure time to temperature controls in the time-temperature matrix below or use Option 1.
This Vibrio parahaemolyticus control measure applies only to shellfish from the affected growing area(s)
which are intended to be consumed raw.

For the purposes of this control measure, identify and define growing areas in the State affected by
Vibrio parahaemolyticus based on hydrographic and geographic parameters and other considerations
relevant to control of a naturally occurring pathogen.

A. For the purposes of this section, temperature control is defined as the management of the
environmental temperature of shellstock by means of ice, mechanical refrigeration or other
approved means which is capable of lowering temperature of the shellstock to, and will maintain
it at 50 °Fahrenheit (10 °Centigrade) or less.
B. Ocean Quahogs (Arctica islandia) and surf clams (Spisula solidissima) are exempted from this
temperature control plan when these products are intended for thermal processing.
C. Temperature determinations for application in the time-temperature matrix below shall be based
on average monthly maximum air temperatures for defined regions within the state. The average
monthly maximum air temperature for each region shall be established by determining the mean
daily high temperature for the month in each of the previous five years as reported by the
National Weather Service and then averaging the five resulting temperatures. Ocean Quahogs
(Arctica islandia) are exempted from this temperature control plan.
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D. The Authority may set up a plan that allows for exemption of this option for shellstock that is to
be post-harvest treated with an approved post-harvest process in accordance with NSSP Model
Ordinance Chapter XVI. The Authority must develop a plan to ensure the security of shellstock
harvesting.
E. The Authority shall ensure the dealer has adequate methods in place to demonstrate compliance
with the time/temperature matrix.

Time-Temperature Matrix for Vibrio parahaemolyticus:

Average Monthly Maximum Air Maximum Hours from Exposure to
Action Level
Temperature Temperature Control
Level 1 <66 °F (18 °C) 36 hours
Level 2 66 °F - 80 °F (19 °C - 27 °C) 12 hours
Level 3 ≥81 °F (≥27 °C) 10 hours

OPTION 3

For those states that do not have to follow Option 1 or Option 2, the following time/temperature matrix
will apply.

A. For the purposes of this section, temperature control is defined as the management of the
environmental temperature of shellstock by means of ice, mechanical refrigeration or other
approved means which is capable of lowering temperature of the shellstock to, and will maintain
it at, 50 °Fahrenheit (10 °Centigrade) or less.
B. Ocean Quahogs (Arctica islandia) and surf clams (Spisula solidissima) are exempted from this
temperature control plan when these products are intended for thermal processing.
C. Temperature determinations for application in the time-temperature matrix below shall be based
on average monthly maximum air temperatures for defined regions within the state. The average
monthly maximum air temperature for each region shall be established by determining the mean
daily high temperature for the month in each of the previous five years as reported by the
National Weather Service, and then averaging the five resulting temperatures. Ocean Quahogs
(Arctica islandia) are exempted from this temperature control plan.
D. The Authority shall ensure the dealer has adequate methods in place to demonstrate compliance
with the time/temperature matrix.

Maximum Hours from Exposure to

Action Level Average Monthly Maximum Air Temperature
Temperature Control
Level 1 <66 °F (18 °C) 36 hours
Level 2 66 °F - 80 °F (19 °C - 27 °C) 24 hours
Level 3 ≥81 °F (≥27 °C) 20 hours

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Section II. Model Ordinance

Chapter IX. Transportation Page 1 of 4

Requirements for the Authority

@.01 General.

A. The Authority shall apply these requirements to all shellfish shipped in interstate commerce.
B. The Authority shall assure that:
(1) Shellfish are transported and maintained in accordance with the requirements of this
Chapter; and
(2) Shellfish shipments originate from a dealer.
C. The Authority shall use the temperatures included in the sections below entitled @.02 Shipment
Acceptability, @.03 Shipment Rejection, and @.04 Bacteriological Examination of Shellfish
Shipments as the initial basis for taking regulatory action against any shellfish shipment in
interstate commerce.
D. If an interstate shipment of shellfish is monitored, the monitoring shall take place within 24 hours
of the shellfish entering the State.

@.02 Shipment Acceptability.

Shellfish shipments shall be considered acceptable when:

A. Shipments are properly identified with tags and/or labels and shipping documents;
B. Shellstock is alive and cooled to an internal shellstock body temperature of 50° Fahrenheit (10 °
Centigrade) or less;
C. Shucked shellfish and in-shell product are cooled to a temperature of 45° Fahrenheit (7.2 °
Centigrade) or less; and
D. The time-temperature indicating device shows that the ambient air temperature has exceeded 45°
Fahrenheit (7.2 ° Centigrade) but the shellstock internal body temperature is 50 ° Fahrenheit (l0 °
Centigrade) or less; and
E. All other conditions of shipment in this Chapter are met.

Additional Guidance - Section IV Guidance Documents

Chapter II.12 Bacteriological Examination of Shellfish Shipments Decision Tree

@.03 Shipment Rejection.

A. Shellfish shall be rejected when:

(1) Shellfish are not properly identified with tags or shipping documents;
(2) The internal shellstock body temperature exceeds 60°Fahrenheit (15.6 Centigrade) unless
the harvest initiation time can be documented and indicates that the time from harvest has not
exceeded the requirements in Chapter VIII §@.03;
(3) Shucked shellfish temperature or the internal body temperature of in-shell
product exceeds 50° Fahrenheit (10° Centigrade); or
(4) The Authority determines that the product is unwholesome or unsafe for human
consumption.

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B. The Authority shall notify the shipping dealer, the receiving dealer, and the Authority in the State
where the shipment originated of the shipment's rejection.

@.04 Bacteriological Examination of Shellfish Shipments.

If the State chooses to sample, the following protocol shall be used.

A. Bacteriological samples of any shellfish taken for the purpose of rejection of shipments from out-
of-state dealers shall be collected within twenty-four hours of the shellfish entering a State.
B. Bacteriological examination shall be made of the shellfish shipment if:
(1) The internal body temperature of the shellstock exceeds 50° Fahrenheit (10° Centigrade)
and is less than or equal to 60° Fahrenheit (15.6° Centigrade) unless the harvest initiation
time can be documented and indicates that the time from harvest has not exceeded the
requirements in Chapter VIII @.03;
(2) The shucked shellfish temperature or the internal body temperature of in-shell product
exceeds 45° Fahrenheit (7.2° Centigrade) and is less than or equal to 50° Fahrenheit (10°
Centigrade);
(3) The shipping time exceeds four hours and there is no temperature recording device or the
recording device is inoperative; or
(4) The Authority determines it is necessary.

Requirements for the Harvester/Dealer

.01 Trucks or Other Vehicles Used to Transport Shellstock to the Original Dealer.

A. The harvester, or dealer who transports shellstock from the harvester to the original dealer, shall
assure that all trucks used to transport shellstock are properly constructed, operated, and
maintained to prevent contamination, deterioration, and decomposition.
B. Storage bins on trucks or other vehicles used in the transport of shellstock for direct marketing
shall be:
(1) Kept clean with potable water or water from an approved area or conditionally approved
area in the open status; and
(2) Provided with effective drainage.
C. Shellstock shall be transported in adequately refrigerated trucks when the shellstock have been
previously refrigerated or when ambient air temperature and time of travel are such that
unacceptable bacterial growth or deterioration may occur.
D. Prechilling trucks or other vehicles shall be required when ambient air temperatures are such that
unacceptable bacterial growth or deterioration may occur.
E. When mechanical refrigeration units are used, the units shall be:
(1) Equipped with automatic controls; and
(2) Capable of maintaining the ambient air temperature in the storage area at temperatures of
45° Fahrenheit (7.2° Centigrade) or less.
F. Any ice used to cool shellstock during transport shall meet the requirements of Chapter
XI.02A.(2).
G. Cats, dogs, and other animals shall not be allowed in any part of the truck or other vehicle where
shellstock is stored.

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.02 Receiving Shellfish

A. The dealer shall reject or discard any shellfish shipments which:

(1) Do not originate from a licensed harvester or dealer; and/or
(2) Are unwholesome, inadequately protected, or whose source cannot be identified.
B. Transportation agents or common carriers used by a dealer are not required to be certified.
C. The dealer shall:
(1) Inspect incoming shellfish shipments to assure that the shipments are received under the
conditions required in this Chapter;
(2) Place shellstock under temperature control within 2 hours after receipt from the harvester,
or when the dealer is also the harvester, when shellstock reaches the dealer's facility;
(3) Ensure that shellstock are not permitted to remain without ice, mechanical refrigeration,
or other approved means of lowering the internal body temperature of the shellstock to, or
maintaining it at, 50° Fahrenheit (10° Centigrade) or less for more than 2 hours at points of
transfer such as loading docks;
(4) Ensure that shucked shellfish and in-shell product are not permitted to remain without ice,
mechanical refrigeration, or other approved means of maintaining shellfish temperature at 45°
Fahrenheit (7.2° Centigrade) or less; and
(5) Ensure that frozen shellfish remain frozen.
D. For the purpose of this section, temperature control is defined as the management of the
environmental temperature of the shellstock by means of ice, mechanical refrigeration or other
means approved by the Authority.

.03 Transportation Containers.

A. All containers used to transport shellstock shall be:

(1) Constructed to allow for easy cleaning; and
(2) Operated and maintained to prevent product contamination.
B. All containers shall be cleaned with:
(1) Potable water; and
(2) Detergents, sanitizers, and other supplies acceptable for food contact surfaces.

.04 Cargo Protection From Cross Contamination.

A. General. All containers used for storing shellfish shall be clean and fabricated from safe
materials.
B. Shellfish Cargo Only.
(1) The entire cargo shall consist of shellfish products only.
(2) Except for bulk shipments, shellstock shipments shall be shipped on pallets.
(3) In-shell product shipments shall be shipped on pallets.
(4) If the conveyance does not have a channeled floor, pallets shall be used for all shellfish.
C. Mixed Cargoes. Shellfish shall be shipped as part of a mixed cargo of seafood or other food
product only when:
(1) Shellfish products are protected from contamination by the other cargo;
(2) All cargo is placed on pallets; and
(3) No other cargo is placed on or above the shellfish unless all cargo is packed in sealed,
crush resistant, waterproof containers.
D. Ice. Any ice used to cool shellfish shall meet the requirements of Chapter XI.02A.(2).

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.05 Shipping Times.

A. Shipping Time is No More Than Four Hours.

(1) When the shipping time is four hours or less, the dealer shall ship all shellfish:
(a) Well iced; or
(b) Using other acceptable means of refrigeration.
(2) When mechanical refrigeration units are used, the units shall be equipped with automatic
controls and shall be capable of maintaining the ambient air in the storage area at
temperatures of 45° Fahrenheit (7.2°Centigrade) or less.
(3) The dealer shall not be required to provide thermal recorders during shipment.
(4) Lack of ice or other acceptable types of refrigeration shall be considered an unsatisfactory
shipping condition.
B. Shipping Time is Greater Than Four Hours.
(1) When the shipping time is greater than four hours, the dealer shall ship all shellfish in:
(a) Mechanically refrigerated conveyances which are equipped with automatic controls
and capable of maintaining the ambient air in the storage area at temperatures of 45°
Fahrenheit (7.2° Centigrade) or less; or
(b) Containers with an internal ambient air temperature maintained at or below
temperatures of 45° Fahrenheit (7.2° Centigrade) or less.
(2) Unless the dealer has an approved HACCP plan with an alternate means of monitoring
time-temperature, the initial dealer shall assure that a suitable time-temperature recording
device accompanies each shipment of shellfish.
(3) The initial dealer shall note the date and time on the temperature-indicating device, if
appropriate.
(4) Each receiving dealer shall write the date and time on the temperature-indicating device,
if appropriate, when the shipment is received and the doors of the conveyance or the
containers are opened.
(5) The final receiving dealer shall keep the time-temperature recording chart or other record
of time and temperature in his files and shall make it available to the Authority upon request.
(6) An inoperative temperature-indicating device shall be considered as no recording device.

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Section II. Model Ordinance

Chapter X. General Requirements for Dealers Page 1 of 11

.01 General HACCP Requirements

A. Hazard Analysis. Every dealer shall conduct a hazard analysis to determine the food safety
hazards that are reasonably likely to occur for each kind of shellfish product processed by that
dealer and to identify the preventive measures that the dealer can apply to control those hazards.
Such food safety hazards can be introduced both within and outside the processing plant
environment, including food safety hazards that can occur before, during, and after harvest. A
food safety hazard that is reasonably likely to occur is one for which a prudent dealer would
establish controls because experience, illness data, scientific reports, or other information provide
a basis to conclude that there is a reasonable possibility that it will occur in the particular type of
shellfish product being processed in the absence of those controls. In the hazard analysis, the
dealer shall consider the critical control points listed in Chapters XI., XII., XIII., XIV., and XV.
B. HACCP Plan. Every dealer shall have and implement a written HACCP plan. A HACCP plan
shall be specific to:
(1) Each location where shellfish products are processed by that dealer; and
(2) Each kind of shellfish product processed by the dealer. The plan may group kinds of
shellfish products together, or group kinds of production methods together, if the food safety
hazard, critical control points, critical limits, and procedures required to be identified and
performed in §.01 C. are identical for all shellfish products so grouped or for all production
methods so grouped.
C. Contents of the HACCP Plan. The HACCP plan shall, at a minimum:
(1) List the food safety hazards that are reasonably likely to occur, as identified in accordance
with §.01 A. and that thus must be controlled for each shellfish product. Consideration should
be given to whether any food safety hazards are reasonably likely to occur as a result of the
following:
(a) Natural toxins;
(b) Microbiological contamination;
(c) Chemical contamination;
(d) Pesticides;
(e) Drug residues;
(f) Unapproved use of direct or indirect food or color additives; and
(g) Physical hazards;
(2) List the critical control points for each of the identified food safety hazards, including as
appropriate:
(a) Critical control points designed to control food safety hazards introduced outside the
processing plant environment, including food safety hazards that occur before, during and
after harvest. At a minimum, the critical control points shall include those identified in
Chapter XI .01, Chapter XII .01, Chapter XIII .01, Chapter XIV .01 and Chapter XV .01,
as applicable. As an alternative, the dealer may establish other critical control points
which the dealer can demonstrate to the Authority provide equivalent public health
protection. If the dealer can demonstrate to the Authority through a hazard analysis that
the food safety hazard is not reasonably likely to occur, the critical control point is not
required with the exception of receiving which shall always be considered as a critical
control point
(b) Critical control points designed to control food safety hazards that could be
introduced in the processing plant environment. As an alternative, the dealer may
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(c) establish other critical control points which the dealer can demonstrate to the
Authority provide equivalent public health protection. If the dealer can demonstrate to the
Authority through a hazard analysis that the food safety hazard is not reasonably likely to
occur, the critical control point is not required. At a minimum, the critical control points
shall include those identified in Chapter XI .01 A., Chapter XII .01 A., Chapter XIII .01
A., Chapter XIV .01 A., and Chapter XV .01 A., as applicable.
(d) Critical control points shall be designed to ensure that shellstock received with
restricted use tags is processed consistent with the slated purpose. For Shellstock tagged
for restricted use, critical control points shall be included in the Certified Dealer's
HACCP plan to ensure that the shellstock is shipped to another Certified Dealer with the
restricted use tag or processed consistent with the slated purpose.
(3) List the critical limits that must be met at each of the critical control points. At a
minimum, the critical limits shall include those listed in Chapter XI .01, Chapter XII .01,
Chapter XIII .01, Chapter XIV .01 and Chapter XV .01, as applicable. As an alternative the
dealer may establish other critical limits which the dealer has demonstrated provide
equivalent public health protection with the exception of receiving which shall always be
considered as a critical control point. In any case, the critical limits identified in Chapter XI
.01, Chapter XII .01, Chapter XIII .01, Chapter XIV .01, and Chapter XV .01 shall be met as
components of good manufacturing practices.
(4) List the procedures, and frequency thereof, that will be used to monitor each of the critical
control points to ensure compliance with the critical limits.
(5) Include any corrective action plans that have been developed in accordance with § .01
F. (2), to be followed in response to deviations from critical limits at critical control points.
(6) Provide for a record keeping system that documents the monitoring of the critical control
points. The records shall contain the actual values and observations obtained during
monitoring.
(7) List the verification procedures, and frequency thereof, that the dealer will use in
accordance with §.01 G. (1).
D. Signing and Dating the HACCP Plan.
(1) The HACCP plan shall be signed and dated, either by the most responsible individual on
site at the processing facility or by a higher-level official of the dealer. This signature shall
signify that the HACCP plan has been accepted for implementation by the dealer.
(2) The HACCP plan shall be signed and dated:
(a) Upon initial acceptance;
(b) Upon any modification; and
(c) Upon verification of the plan in accordance with §.01 G. (1) (a).
E. Sanitation. Sanitation controls may be included in the HACCP plan. However, to the extent that
they are monitored in accordance with §.02 they need not be included in the HACCP plan, and
vice versa.
F. Corrective Actions.
(1) Whenever a deviation from a critical limit occurs, a dealer shall take corrective action
either by:
(a) Following a corrective action plan that is appropriate for the particular deviation, or
(b) Following the procedures in §.01 F. (3).
(2) Dealers may develop written corrective action plans, which become part of their HACCP
plans in accordance with §.01 C. (5), by which they predetermine the corrective actions that
they will take whenever there is a deviation from a critical limit. A corrective action plan that
is appropriate for a particular deviation is one that describes the steps to be taken and assigns
responsibility for taking those steps, to ensure that:
(a) No product enters commerce that is either injurious to health or is otherwise
adulterated as a result of the deviation; and
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(b) The cause of the deviation is corrected.

(3) When a deviation from a critical limit occurs and the dealer does not have a corrective
action plan that is appropriate for that deviation, the dealer shall:
(a) Segregate and hold the affected product, at least until the requirements of Section .01
F. (3) (b) and (c) are met;
(b) Perform or obtain a review to determine the acceptability of the affected product for
distribution. The review shall be performed by an individual or individuals who have
adequate training or experience to perform such a review. Adequate training may or may
not include training in accordance with §.01 I.;
(c) Take corrective action, when necessary, with respect to the affected product to ensure
that no product enters commerce that is either injurious to health or is otherwise
adulterated as a result of the deviation;
(d) Take corrective action, when necessary, to correct the cause of the deviation;
(e) Perform or obtain timely reassessment by an individual or individuals who have been
trained in accordance with §.01 I., to determine whether the HACCP plan needs to be
modified to reduce the risk of recurrence of the deviation, and modify the HACCP plan
as necessary.
(4) All corrective actions taken in accordance with this section shall be fully documented in
records that are subject to verification in accordance with §.01 G. and the record keeping
requirements of §.01 H.
G. Verification.
(1) Every processor shall verify that the HACCP plan is adequate to control food safety
hazards that are reasonably likely to occur, and that the plan is being effectively
implemented. Verification shall include, at a minimum:
(a) A reassessment of the adequacy of the HACCP plan whenever any changes occur that
could affect the hazard analysis or alter the HACCP plan in any way or at least annually.
These changes may include: Raw materials or source of raw materials, product
formulation, processing methods or systems, finished product distribution systems, or the
intended use or consumers of the finished product. The reassessment shall be performed
by an individual or individuals who have been trained in accordance with §.01 I. The
HACCP plan shall be modified immediately whenever a reassessment reveals that the
plan is no longer adequate to fully meet the requirements of §.01 C.
(b) Ongoing verification activities including:
(i) A review of any consumer complaints that have been received by the dealer to
determine whether they relate to the performance of critical control points or reveal
the existence of unidentified critical control points;
(ii) The calibration of process-monitoring instruments; and
(iii) At the option of the dealer, the performing of periodic end product or in-process
testing.
(c) A review, including signing and dating, by an individual who has been trained in
accordance with § .01 I., of the records that document:
(i) The monitoring of critical control points. The purpose of this review shall be, at a
minimum, to ensure that the records are complete and to verify that they document
values that are within the critical limits. This review shall occur within one (1) week
of the day that the records are made;
(ii) The taking of corrective actions. The purpose of this review shall be, at a
minimum, to ensure that the records are complete and to verify that appropriate
corrective actions were taken in accordance with §.01 F. This review shall occur
within one (1) week of the day that the records are made; and
(iii) The calibrating of any process monitoring instruments used at critical control
points and the performing of any periodic end product or in process testing that is
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part of the dealer's verification activities. The purpose of these reviews shall be, at a
minimum, to ensure that the records are complete, and that these activities occurred
in accordance with the processor's written procedures. These reviews shall occur
within a reasonable time after the records are made.
(2) Dealers shall immediately follow the procedures in §.01 F. whenever any verification
procedure, including the review of a consumer complaint, reveals the need to take a
corrective action.
(3) The calibration of process-monitoring instruments, and the performing of any periodic
end-product and in-process testing, in accordance with §.01 G. (1) (b) (ii) and (iii) shall be
documented in records that are subject to the record keeping requirements of §.01 H.
H. Records.
(1) All records required by §.01 and §.02 shall include:
(a) The name and location of the dealer;
(b) The date and time of the activity that the record reflects;
(c) The signature or initials of the person performing the operation; and
(d) Where appropriate, the identity of the product and the production code, if any.
Processing and other information shall be entered on records at the time that it is
observed.
(2) All records required by §.01 and §.02 shall be retained at the processing facility for at
least one (1) year after the date they were prepared in the case of refrigerated products and for
at least two (2) years after the date they were prepared in the case of frozen products.
(3) Records that relate to the general adequacy of equipment or processes being used by a
processor, including the results of scientific studies and evaluations, shall be retained at the
processing facility for at least two (2) years after their applicability to the product being
produced at the facility.
(4) If the processing facility is closed for a prolonged period between seasonal operations, or
if record storage capacity is limited on a processing vessel or at a remote processing site, the
records may be transferred to some other reasonably accessible location at the end of the
seasonal operations but shall be immediately returned for official review upon request.
(5) All records required by §.01 and §.02 and HACCP plans required by §.01 B. and §.01 C.
shall be available for official review and copying at reasonable times.
(6) Tags on containers of shellstock are not subject to the requirements of this section unless
they are used to fulfill the requirements of Chapter X .05.
(7) The maintenance of records on computers is acceptable, provided that appropriate
controls are implemented to ensure the integrity of the electronic data and electronic
signatures.
I. Training.
(1) At a minimum, the following functions shall be performed by an individual who has
successfully completed training in the application of HACCP principles to shellfish
processing at least equivalent to that received under standardized curriculum recognized as
adequate by the SSCA or who is otherwise qualified through job experience to perform these
functions:
(a) Developing a HACCP plan, which could include adapting a model or generic-type
HACCP plan that is appropriate for a specific processor, in order to meet the
requirements of §.01 C.;
(b) Reassessing and modifying the HACCP plan in accordance within the corrective
action procedures specified in §.01 F. (3) (e), and the HACCP plan in accordance with
the verification activities specified in § .01 G. (1) (a); and
(c) Performing the record review required by §.01 G. (1) (c).

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(2) Job experience will qualify an individual to perform these functions if it has provided
knowledge at least equivalent to that provided through the standardized curriculum as
determined by the Authority.
(3) The trained individual need not be an employee of the dealer.

Additional Guidance - Section IV Guidance Documents

Chapter III.01 Shellfish Industry Equipment Construction Guide

.02 General Sanitation Requirements.

A. Sanitation Monitoring. Each dealer shall monitor conditions and practices that are both
appropriate to the plant and the food being processed with sufficient frequency to ensure, at a
minimum, conformance with the requirements specified in Chapter XI .02, Chapter XII .02,
Chapter XIII .02, Chapter XIV .02 and Chapter XV .02. The requirements specified in these
Sections relate to the following sanitation items:
(1) Safety of the water that comes into contact with food or food contact surfaces, or is used
in the manufacture of ice, hereinafter referred to as: Safety of Water for Processing and Ice
Production;
(2) Condition and cleanliness of food contact surfaces, including utensils, gloves, and outer
garments, and from raw product to cooked product, hereinafter referred to as: Condition and
Cleanliness of Food Contact Surfaces;
(3) Prevention of cross contamination from unsanitary objects to food, food packaging
materials, and other food contact surfaces, including utensils, gloves, and outer garments, and
from raw product to cooked product, hereinafter referred to as: Prevention of Cross
Contamination;
(4) Maintenance of hand washing, hand sanitizing, and toilet facilities, hereinafter referred to
as: Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities;
(5) Protection of food, food packaging material, and food contact surfaces from adulteration
with lubricants, fuel, pesticides, cleaning compounds, sanitizing agents, condensate, and other
chemical, physical, and biological contaminants, hereinafter referred to as: Protection from
Adulterants;
(6) Proper labeling, storage, and use of toxic compounds, hereinafter referred to as: Proper
Labeling, Storage, and Use of Toxic Compounds;
(7) Control of employee health conditions that could result in the microbiological
contamination of food, food packaging materials, and food contact surfaces, hereinafter
referred to as: Control of Employees with Adverse Health Conditions; and
(8) Exclusion of pests from the food plant hereinafter referred to as: Exclusion of Pests.

While monitoring of those specified conditions and practices (listed in 1-8) that are not
appropriate to the plant and the food being processed is not required, compliance with such
conditions and practices remains mandatory.

B. Sanitation Monitoring Records. Each dealer shall maintain sanitation control records that, at a
minimum, document the monitoring and corrections prescribed by §.02 A. These records are
subject to the requirements of §.01 H.
C. Relationship to HACCP Plan. Sanitation controls may be included in the HACCP Plan, required
by §.01 B. However, to the extent that they are monitored in accordance with §.02 A. they need
not be included in the HACCP Plan, and vice versa.

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Additional Guidance - Section IV Guidance Documents

Chapter V. Illness Outbreak Investigation and Recall, .02 Guidance for a Time-Temperature Evaluation
of a Shellfish Implicated Outbreak

.03 Other Model Ordinance Requirements.

A. Each dealer shall comply with the requirements specified in Chapter XI .03, Chapter XII .03,
Chapter XIII .03, Chapter XIV .03 and Chapter XV .03 that are appropriate to the plant and the
food being processed. However, monitoring and record keeping for these conditions and practices
is not required, unless specifically stated.
B. Recalls.
(1) Dealers shall adopt written procedures for conducting recalls of adulterated misbranded
shellfish products. These written procedures for conducting recalls shall be based on, and
complementary to, the FDA Enforcement Policy on Recalls, CFR Title 21, Chapter 1,
Subchapter A., Part 7-Enforcement Policy, (2002 NSSP Guide for the Control of Molluscan
Shellfish, Federal Regulations).
(2) Dealers shall follow their written recall procedures to include timely notification of the
SSCA of a situation requiring recall, timely notification of consignee who received the
affected product, and effective removal or correction of the affected product.

Additional Guidance - IV Guidance Documents

Chapter III .04 Shellstock Tagging

.04 Certification Requirements.

A. General.
(1) No person shall act as a dealer prior to obtaining certification.
(2) Any person who wants to be a dealer shall:
(a) Make application to the Authority for certification;
(b) Have and implement a HACCP Plan, and have a program of sanitation monitoring
and record keeping in compliance with 21 CFR 123 as it appears in the Federal Register
of December 18, 1995, except for the requirement for harvester identification on a
dealer's tag.
(3) Each dealer shall have a business address at which inspections of facilities, activities, or
equipment can be conducted.
B. Types of Certification.
(1) Shucker-packer. Any person who shucks shellfish shall be certified as a shucker-packer.
(2) Repacker.
(a) Any person who repacks shucked shellfish shall be certified as a shucker-packer or
repacker;
(b) Any person who repacks shellstock shall be certified as a shellstock shipper, shucker-
packer, or repacker;
(c) A repacker shall not shuck shellfish.
(3) Shellstock Shipper. Any person who ships and receives shellstock in interstate commerce
shall be certified as a shellstock shipper, repacker, or shucker-packer.
(4) Reshipper. Any person who purchases shellstock or shucked shellfish from dealers and
sells the product without repacking or relabeling to other dealers, wholesalers or retailers
shall be certified as a reshipper.
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.05 Shellstock Identification.

[Note: All Federally allocated shellfish (surf and quahog) caught in Federally regulated waters must
follow the National Marine Fisheries Service tagging protocol. These Federal sequential tags will
supersede the tagging requirements in §.05.]

A. General.
(1) The dealer shall keep the harvester's tag affixed to each container of shellstock until the
container is:
(a) Shipped; or
(b) Emptied to wash, grade or pack the shellstock.
(2) When the dealer is also the harvester and he elects not to use a harvest tag, the dealer shall
affix his dealer tag to each container of shellstock prior to shipment.
B. Tags.
(1) The dealers' tags shall:
(a) Be durable, waterproof and sanctioned by the Authority prior to use; and
(b) Be at least 13.8 square inches (89.03 cm2) in size.
(2) The dealer's tag shall contain the following indelible, legible information in the order
specified below:
(a) The dealer's name and address.
(b) The dealer's certification number as assigned by the Authority.
(c) The original shellstock shipper's certification number. If depurated the original
shellstock shipper's certification number is not required.
(d) The harvest date; or if depurated, the date of depuration processing, or if wet stored,
the original harvest date, and the final harvest date which is the date removed from wet
storage.
(e) If wet stored or depurated, the wet storage or depuration cycle or lot number. The wet
storage lot number shall begin with the letter "w".
(f) The most precise identification of the harvest location as is practicable including the
initials of the state of harvest, and the Authority's designation of the growing area by
indexing, administrative or geographic designation. If the Authority has not indexed
growing areas, then an appropriated geographical or administrative designation must be
used (e.g. Long Bay, Decadent County, lease number, bed, or lot number).
(g) The type and quantity of shellstock.
(h) The following statement in bold capitalized type on each tag:
"THIS TAG IS REQUIRED TO BE ATTACHED UNTIL CONTAINER IS
EMPTY OR IS RETAGGED AND THEREAFTER KEPT ON FILE FOR 90
DAYS."
(i) All shellstock intended for raw consumption shall include a consumer advisory. The
following statement, from Section 3-603.11 of the Current Food Code, or an equivalent
statement, shall be included on all shellstock: "Consuming raw or undercooked meats,
poultry, seafood, shellfish or eggs may increase your risk of foodborne illness, especially
if you have certain medical conditions."
(j) The statement "Keep Refrigerated" or an equivalent statement.
(3) When both the dealer and harvester tags appear on the container, the dealer's tag is not
required to duplicate the information on the harvester's tag.
(4) If the shellstock is removed from the original container, the tag on the new container shall
meet the requirements in §.05 B. If the shellstock is received bearing a restricted use tag all
specific use language shall be transferred to the new shipping tag.
(5) Country of origin information (USDA 2004) may be included on the dealer tag.

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(6) When shellstock intended for retail sale are packed in containers of 5 pounds or less and
shipped in a master container which includes a tag in compliance with Chapter X .05 B. (1)
the individual containers of 5 pounds or less shall not require tags as specified in Chapter X
.05 B. (1) but may be labeled in some other manner with indelible, legible, information which
at a minimum is adequate to trace the shellfish back to the lot of shellstock it is part of.
(7) If a source state as defined in Chapter II. @ 04 A. selects to implement Chapter II. @ 04
C. (6) (a), the statement "For shucking by a certified shucker-packer" or an equivalent
statement shall be included on the tag. When this statement is included, the shellstock shall
ultimately be sold to or processed by a certified shucker-packer for the purpose of shucking
only.
C. Bulk Tagging Lots of Shellstock for Sales Between Dealers.
(1) When a single lot of shellstock is sold, multiple containers may be used on a wrapped
pallet, in a tote, in a net bailer, or other container and the unit tagged with a single tag in
accordance with §.05 B. (1-4).
(a) This bulk tagging provision shall not apply to sales to reshippers;
(b) The shipment must be accompanied by a transaction record stating the name of the
consignee who must be a certified dealer;
(c) In addition to the information required in §.05 b. (1-4) the unit tag shall also include:
(i) A statement that "All shellstock containers in this lot have the same harvest date
and area of harvest"; and
(ii) Number of individual containers in the unit.
D. Tagging of a Lot of Shellstock During Intermediate Processing.
(1) When the shellstock is removed from the original container, the dealer shall:
(a) Keep the harvester tag for 90 days;
(b) Keep track of the growing area and date of harvest for shellstock; and
(c) Maintain the lot identity of all shellstock during any intermediate stage of processing.
(2) A dealer receiving bulk tagged lots of shellstock must have an intermediate processing
plan approved by the Authority to ensure that each lot of shellstock is kept separate and
identified in a way which prevents commingling or misidentification.
(3) In order for a dealer to tag a lot container (e.g. a pallet) of shellstock in lieu of meeting the
requirement in §.05 B. for a harvester or dealer tag on each individual container, the dealer
shall have an intermediate processing plan approved by the Authority, which establishes the
procedures, the dealer shall use to tag the lot during the washing, packing or staging of
shellfish.
(4) Unless the dealer is included in the Authority's commingling plan under Chapter I @.01
F., the dealer's intermediate processing plan for tagging a lot of shellstock during the
intermediate stage of processing shall ensure that each lot of shellstock is separated and
identified in a way which prevents commingling or misidentification. The identification shall
be provided by:
(a) A harvester's or dealer's tag which meets the requirements of §.05 B.; or
(b) A tag for each lot of shellstock that contains the following information:
(i) A statement that "All shellstock containers in this lot have the same harvest date
and area of harvest";
(ii) Harvest date;
(iii) Growing area;
(iv) Original dealer certification number; and
(v) Number of individual containers in each lot of shellstock container (e.g. a pallet)
after washing, packing or staging has been completed.
(5) When a dealer has an approved intermediate processing plan, the dealer shall tag each lot
of shellstock in accordance with the intermediate processing plan while the lot of shellstock is
being processed in the plant.
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E. All restricted use shellstock shall include a tag containing all information required in § .05 of
Model Ordinance Chapter X. In addition the tag will include specific language detailing the
intended use of the shellstock.
F. Transaction Record. If shellstock are sold in bulk, the dealer shall provide a transaction record
prior to shipment. This transaction record shall contain all the information required in §.07 B.
with the addition of the name of the consignee.

.06 Shucked Shellfish Labeling.

A. Shellfish Labeling.
(1) The dealer shall maintain lot integrity when shucked shellfish are stored using in-plant
reusable containers.
(2) If the shucker-packer uses returnable containers to transport shucked shellfish between
dealers for the purpose of further processing or packing, the returnable containers are exempt
from the labeling requirements in this section of the regulation. When returnable containers
are used, the shipment shall be accompanied by a transaction record containing:
(a) The original shucker-packer's name and certification number;
(b) The shucking date; and
(c) The quantity of shellfish per container and the total number of containers.
(3) If the dealer uses master shipping cartons, the master cartons are exempt from these
labeling requirements when the individual containers within the carton are properly labeled.
(4) At a minimum the dealer shall label each individual package containing fresh or frozen
shucked shellfish meat in a legible and indelible form in accordance with CFR 21, Part 101;
Part 161, Subpart B (161.30, and 161.136) and the Federal Fair Packaging and Labeling Act.
(5) The dealer shall assure that the shucker-packer's or repacker's certification number is on
the label of each package of fresh or frozen shellfish.
(6) The dealer shall label each individual package containing less than 64 fluid ounces of
fresh or fresh frozen shellfish with the following:
(a) The words "SELL BY" or "BEST IF USED BY" followed by a reasonable date when
the product would be expected to reach the end of its shelf life;
(b) The date shall consist of the abbreviation for the month and number of the day of the
month; and
(c) For fresh frozen shellfish, the year shall be added to the date.
(7) The dealer shall label each individual package containing 64 fluid ounces or more of fresh
or fresh frozen shellfish with the following:
(a) The words "DATE SHUCKED" followed by the date shucked located on both the lid
and sidewall or bottom of the container;
(b) The date shall consist of either the abbreviation for the month and number of the day
of the month or in Julian format (YDDD), the last digit of the four digit year and the three
digit number corresponding the day of the year; and
(c) For fresh frozen shellfish, the year shall be added to the date (for non-Julian format).
(8) If the dealer thaws and repacks frozen shellfish, the dealer shall label the shellfish
container as previously frozen.
(9) If the dealer freezes fresh shucked shellfish, the dealer shall label all frozen shellfish as
frozen in type of equal prominence immediately adjacent to the type of the shellfish and the
year shall be added to the date (for non-Julian format).
(10) If the dealer uses lot codes to track shellfish containers, the lot codes shall be distinct and
set apart from any date listed on the container.
(11) The dealer shall assure that each package of fresh or frozen shucked shellfish shall
include a consumer advisory. The following statement, from Section 3-603.11 of the Current
Food Code, or an equivalent statement, shall be included on all packages: “Consuming raw or
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undercooked meats, poultry, seafood, shellfish, or eggs may increase your risk of foodborne
illness, especially if you have certain medical conditions.”
B. Shucked Shellfish. If the dealer elects to repack shellfish, the dealer shall pack and label all
shellfish in accordance with §.06 except that the original date of shucking shall be added to the
new repacked container as specified in §A. (7) or the original date of shucking shall be used in
establishing the SELL BY DATE as specified in §A.(6).

.07 In-Shell Product or Post Harvest Processed In-Shell Labeling

A. The dealer shall label all in-shell product with tags meeting the requirements of Chapter X .05. B.
(1).
B. In-Shell Product Tags.
(1) The dealer tag on in-shell product shall contain the following indelible, legible
information in the order specified below:
(a) The dealer's name and address;
(b) The dealer's certification number as assigned by the Authority;
(c) The original shellstock shipper's certification number. If depurated the original
shellstock shipper's certification number is not required;
(d) A “SELL BY DATE” which is a reasonable subsequent shelf-life or the words
“BEST IF USED BY” followed by a date when the product would be expected to reach
the end of its shelf-life. The date shall include, month, day and year;
(e) If depurated, the depuration cycle number or lot number;
(f) The most precise identification of the harvest location as is practicable including the
inititals of the state of harvest, and the Authority's designation of the growing area by
indexing, administrative or geographic designation. If the Autority has not indexed
growing areas, then an appropriate geographical or administrative designation must be
used (e.g. Long Bay, Decadent County, lease number, bed, or lot number).
(g) When the in-shell product has been transported across state lines and placed in wet
storage in a dealer's operation, the statement: “THIS PRODUCT IS A PRODUCT OF
(NAME AND STATE) AND WAS WET STORED AT (FACILITY
CERTIFICATION NUMBER) FROM (DATE) TO (DATE)”;
(h) The type and quantity of in-shell product; and
(i) The following statement in bold capitalized type on each tag: "THIS TAG IS
REQUIRED TO BE ATTACHED UNTIL CONTAINER IS EMPTY OR IS
RETAGGED AND THEREAFTER KEPT ON FILE FOR 90 DAYS."
(j) All in-shell product intended for raw consumption shall include a consumer advisory.
The following statement, from Section 3-603.11 of the Current Food Code, or an
equivalent statement, shall be included on all shellstock: "Consuming raw or
undercooked meats, poultry, seafood, shellfish or eggs may increase your risk of
foodborne illness, especially if you have certain medical conditions."
(k) The statement "Keep Refrigerated" or an equivalent statement must be included on
the tag.
(2) If the in-shell product is removed from the original container, the tag on the new container
shall meet the requirements in §.07B.
(3) Country of origin information (USDA 2004) may be included on the shucker-packer or
reshipper tag.
(4) When in-shell product intended for retail sale are packed in containers of 5 pounds or less
and shipped in a master container which includes a tag in compliance with Chapter X .05 B.
(1), the individual containers of 5 pounds or less shall not require tags as specified in Chapter
X .05 B. (1) but may be labeled in some other manner with indelible, legible, information
which at a minimum is adequate to trace the in-shell shellfish back to the lot of in-shell
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product it is part of. Consumer advisory information identified in Chapter X .07 B. (1) (j)
shall be included on each retail package.

NOTE: The Consumer Advisory shall be required for both A and B.

.08 Shipping Documents and Records.

A. Shipping Documents.
(1) Each shellfish shipment shall be accompanied by a shipping document.
(2) The shipping document shall contain:
(a) The name, address, and certification number of the shipping dealer;
(b) The name and address of the major consignee; and
(c) The kind and quantity of the shellfish product.
(3) The receiving dealer shall:
(a) Maintain in his files a copy of the completed shipping document; and
(b) Make the shipping document available to the Authority upon request.
(4) If the shipment is subdivided to different dealers, each receiving dealer shall maintain
records sufficient to trace his portion back to the original shipment.
B. Transaction and Shipping Records.
(1) Each dealer shall have a business address at which transaction records are maintained.
(2) Each dealer shall maintain accurate and legible transaction records that are sufficient to:
(a) Document that the shellfish are from a source authorized under this Ordinance;
(b) Permit a container of shellfish to be traced back to the specific incoming lot of
shucked shellfish from which it was taken;
(c) Permit a lot (or commingled lots as per Chapter I. @.01. F.) of shucked shellfish or a
lot of shellstock to be traced back to the growing area(s), date(s) of harvest, date and
location of wet storage, if applicable, and if possible, the harvester or group of harvesters.
(d) Trace the wet storage history of the shellstock including, original harvest site, original
harvest date, wet storage site(s) and dates.
(3) Purchase and sales shall be recorded:
(a) In a permanently bound ledger book; or
(b) Using other recording methods acceptable to and authorized by the Authority. Entries
of purchases or sales of shellfish shall be made into a permanently bound ledger book,
computer record, or other method acceptable to and authorized by the authority within 72
hours of any purchase or sales.
(4) The transaction records shall be retained:
(a) In the case of fresh shellfish, for a minimum of one year; and
(b) In the case of frozen shellfish, for at least two years or the shelf life of the product,
whichever is longer.
(5) If computer records are maintained, the Authority shall approve the format and its use.

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Section II. Model Ordinance

Chapter XI. Shucking and Packing Page 1 of 11

Requirements for the Authority.

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this section in regulation.]

@.01 Heat Shock.

A. The Authority shall approve the scheduled process for heat shock. The schedule may be
developed by the Authority or qualified persons with adequate facilities for conducting the
appropriate studies;
B. The Authority shall assure that the critical factors, which may affect the heat shock process, have
been adequately studied and provided for in establishing the process. The critical factors shall
include:
(1) Type and size of shellfish;
(2) Time and temperature of exposure;
(3) Type of process;
(4) Size of tank, tunnel or retort;
(5) Water to shellfish ratios in tanks; and
(6) Temperature and pressure monitoring devices;
C. The Authority shall assure that heat shock process does not:
(1) Change the physical and organoleptic properties of the species;
(2) Kill the shellfish prior to shucking; and
(3) Increase microbial deterioration of the shucked shellfish.
D. The Authority shall retain records covering all aspects of the establishment of the heat shock
process.

Additional Guidance - Section IV Guidance Documents

Chapter II.15 Decision Tree for Shellfish from Non-MOU Countries

Requirements for Dealers.

.01 Critical Control Points.

A. Receiving Critical Control Point - Critical Limits. The dealer shall shuck and pack only:

(1) Shellstock obtained from a licensed harvester who has:

(a) Harvested the shellstock from an Approved or Conditionally Approved area in the
open status as indicated by the tag; and [C]
(b) Identified the shellstock with a tag on each container or transaction record on each
bulk shipment; or [C]
(2) Shellstock obtained from a dealer other than the original harvester who has:

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(a) Shipped the shellstock adequately iced; or in a conveyance at or below 45°F (7.2°C)
ambient air temperature; or 50°F (10°C) internal temperature or less; or in a conveyance
capable of lowering the temperature of the shellstock and will maintain it at 50°F (10°C)
or less; [C]; and
(b) Identified the shellstock with a tag on each container or transaction record with each
bulk shipment. [C]
(3) In-shell product obtained from a dealer who has:
(a) Shipped the in-shell product adequately iced; or in a conveyance at or below 45°F
(7.2°C) ambient air temperature; or 45°F (7.2°C) internal temperature or less; and [C]
(b) Identified the in-shell product with a tag on each container [C]
B. Shellstock Storage Critical Control Point - Critical Limits. The dealer shall ensure that:
(1) If wet storage in artificial bodies of water is practiced, water quality meets the
requirements outlined in Chapter X.08; and [C]
(2) Once placed under temperature control and until sale to the processor or final consumer,
shellstock shall be;
(a) Iced; or [C]
(b) Placed and stored in a storage area or conveyance maintained at 45° F (7.2° C) or
less; and [C]
(c) Not permitted to remain without ice, mechanical refrigeration or other approved
methods of refrigeration, as required in §B (1) or §B (2) for more than 2 hours at points
of transfer such as loading docks. [C]
C. In-shell Product Storage Critical Control Point - Critical Limits. The dealer shall ensure that in-
shell product shall be:
(1) Iced; or [C]
(2) Placed and stored in a storage area or conveyance maintained at 45°F (7.2°C) or less. [C]
D. Processing Critical Control Point - Critical Limits. The dealer shall ensure that:
(1) For shellstock which has not been refrigerated prior to shucking, shucked meats are
chilled to an internal temperature of 45° F (7.2° C) or less within three hours of shucking. [C]
(2) For shellstock refrigerated prior to shucking, shucked meats are chilled to an internal
temperature of 45° F (7.2° C) or less within four hours of removal from refrigeration. [C]
(3) If heat shock is used, once heat shocked shellstock is shucked, the shucked shellfish meats
shall be cooled to 45° F (7.2° C) or less within two hours after the heat shock process. [C]
(4) When heat shock shellstock are cooled and held under refrigeration for later shucking, the
heat shocked shellstock shall be cooled to an internal temperature of 45° F (7.2° C) within
two hours from time of heat shock. [C]
(5) For in-shell product the internal temperature of meats does not exceed 45°F (7.2°C) for
more than 2 hours during processing. [C]
E. Shucked Meat Storage Critical Control Point - Critical Limit. The dealer shall store shucked and
packed shellfish in covered containers at an ambient temperature of 45° F (7.2° C) or less or
covered with ice. [C]
F. Shellstock Shipping Critical Control Point.
(1) The dealer shall ensure that Shellstock that is received bearing a restricted use tag shall
only be shipped to a certified dealer and shall include specific language detailing the intended
use of the shellstock.

.02 Sanitation.

A. Safety of Water for Processing and Ice Production.

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Additional Guidance - Section IV Guidance Documents

Chapter III Harvesting, Handling, Processing, and Distribution .01 Shellfish Industry Equipment
Guide

(1) Water Supply.

(a) The dealer shall provide a potable water supply in accordance with applicable federal,
state and local regulations. [C]
(b) If the water supply is from a private source, the dealer shall make arrangements to
have the water supply sampled by persons recognized by the Authority and tested at
laboratories sanctioned or certified by the Authority: [K]
(i) Prior to use of the water supply; [C]
(ii) Every six months while the water supply is in use; and [K]
(iii) After the water supply has been repaired and disinfected. [SC/K]
(2) Ice Production. Any ice used in the processing, storage, or transport of shellfish shall be
made on-site from potable water in a commercial ice machine;[C]
(3) Shellstock Washing.
(a) Water from either a potable water supply or a growing area in the approved
classification shall be used to wash shellstock. [C]
(b) If the dealer uses any system to wash shellstock which recirculates water, the dealer
shall:
(i) Obtain approval for the construction or remodeling of the system from the
Authority. [K]
(ii) Provide a water treatment and disinfection system to treat an adequate quantity of
water to a quality acceptable for shellstock washing which, after disinfection, meets
the coliform standards for drinking water, and does not leave any unacceptable
residues in the shellstock; and [C]
(iii) Test bacteriological water quality daily; [SC/K]
(c) The dealer may use ultra-violet (UV) disinfection in the recirculating wash water
system, provided that the turbidity of the water to be disinfected shall not exceed 20
nephelometric turbidity units (NTUs) measured using the method in the APHA Standard
Methods for the Examination of Water and Wastewater. [K]
(4) Plumbing and Related Facilities.
(a) The dealer shall design, install, modify, repair, and maintain all plumbing and
plumbing fixtures to:
(i) Prevent contamination of water supplies; [C]
(ii) Prevent any cross-connection between the pressurized potable water supply
and water from unacceptable source. [C] The dealer shall install and maintain in
good working order devices to protect against backflow and back siphonage. [K]
B. Condition and Cleanliness of Food Contact Surfaces.
(1) Equipment and utensil construction for food contact surfaces.
(a) Except for equipment in continuous use and placed in service prior to January 1,
1989, the dealer shall use only equipment which conforms to Shellfish Industry
Equipment Construction Guidelines. [K]
(b) The dealer shall use only equipment and utensils, including approved plastic ware and
finished product containers which are:
(i) Constructed in a manner and with materials that can be cleaned, and sanitized,
maintained or replaced in a manner to prevent contamination of shellfish products;
[K]

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(ii) Free from any exposed screws, bolts, or rivet heads on food contact surfaces; and
[K]
(iii) Fabricated from food grade materials. [K]
(c) The dealer shall assure that all joints on food contact surfaces
(i) Have smooth easily cleanable surfaces and [K]
(ii) Are welded. [K]
(d) Shucking blocks shall be provided which are:
(i) Easily cleanable; [K]
(ii) Fabricated from safe material; [K]
(iii) Solid, one piece construction; and [K]
(iv) Easily removed from the shucking bench, unless the block is an integral part of
the bench. [K]
(e) The dealer shall provide a temperature measuring device accurate to +/- 2° Fahrenheit
for use in monitoring product temperatures. [K]
(f) All equipment used in heat shock processing shall meet the requirements of Chapter
XI.02B.(1)(a), (b), and (c). [K]
(g) All equipment used to handle ice shall be kept clean and stored in a sanitary manner,
and shall meet the construction requirements in Chapter XI.02.B.(1)(a), (b), and (c). [K]
(h) Shellstock washing storage tanks and related plumbing shall be fabricated from safe
materials and tank construction shall be such that it:
(i) Is easily accessible for cleaning and inspection; [K]
(ii) Is self draining; and [K]
(iii) Meets the requirements for food contact surfaces. [K]
(2) Cleaning and sanitizing of food contact surfaces.
(a) Food contact surfaces of equipment, utensils and containers shall be cleaned and
sanitized to prevent contamination of shellfish and other food contact surfaces. The
dealer shall:
(i) Provide adequate cleaning supplies and equipment, including three compartment
sinks, brushes, detergents, and sanitizers, hot water and pressure hoses shall be
available within the plant; [K]
(ii) Sanitize equipment and utensils prior to the start-up of each day's activities and
following any interruption during which food contact surfaces may have been
contaminated; [K]
(iii) Wash and rinse equipment and utensils at the end of each day. [K]
(b) Shellfish shall be protected from contamination by washing and rinsing shucking
containers and sanitizing before each filling. [K]
(c) Containers which may have become contaminated during storage shall be washed,
rinsed, and sanitized prior to use or shall be discarded. [K]
(d) Shucked shellfish shall be packed in clean covered containers and stored in a manner
which assures their protection from contamination:
(i) Fabricated from food grade materials; and [K]
(ii) Stored in a manner which assures their protection from contamination. [K]
(e) If used, the finger cots or gloves shall be:
(i) Made of impermeable materials except where the use of such material is
inappropriate or incompatible with the work being done; [O]
(ii) Sanitized at least twice daily; [K]
(iii) Cleaned more often, if necessary [K];
(iv) Properly stored until used; and [K]
(v) Maintained in a clean, intact, and sanitary condition. [K]

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C. Prevention of Cross Contamination.

(1) Protection of Cross Contamination.
(a) Shellstock shall be stored in a manner to protect shellstock from contamination in dry
storage and at points of transfer. [SC/K]
(b) Shellfish shall be protected from contamination. [SC/K]
(c) Shellstock shall not be placed in containers with standing water for the purposes of
washing shellstock or loosening sediment. [K]
(d) Equipment and utensils shall be stored in a manner to prevent splash, dust, and
contamination. [SK/0]
(2) Separation of operations.
(a) Facilities for shucking and packing activities shall be separated by use of:
(i) Separate rooms; [K]
(ii) Partitions; or [K]
(iii) Sufficient spacing. [K]
(b) Manufacturing activities which could result in the contamination of the shellfish shall
be separated by adequate barriers. [K]
(3) Employee practices.
(a) Where the same employee works in both the shucking and packing activities, the
employee shall wash his hands thoroughly after entering. [K]
(b) The dealer shall require all employees to wash their hands thoroughly with soap and
water and sanitize their hands in an adequate handwashing facility:
(i) Before starting work; [K]
(ii) After each absence from the work station; [K]
(iii) After each work interruption; and [K]
(iv) Any time when their hands may have become soiled or contaminated. [K]
(c) ) Any employee handling shucked shellfish shall be required to:
(i) Wear effective hair restraints; [O]
(ii) Remove any hand jewelry that cannot be sanitized or secured; [O]
(iii) Wear finger cots or gloves if jewelry cannot be removed; and [O]
(iv) Wear clean outer garments, which are rinsed or changed as necessary to be kept
clean. [O]
(v) In any area where shellfish are shucked or packed and in any area which is used
for the cleaning or storage of utensils, the dealer shall not allow employees to:
a. Store clothing or other personal belongings; [O]
b. Eat or drink; [K]
c. Spit; and [K]
d. Use tobacco in any form. [K]
D. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities.
(1) Handwashing facilities with warm water at a minimum temperature of 100° F (37.8°C),
dispensed from a hot and cold mixing or combination faucet, shall be provided. [SK/0]
(2) Handwashing facilities shall be provided which are:
(a) Convenient to work areas; [O]
(b) Separate from the three compartment sinks used for cleaning equipment and utensils;
[K]
(c) Directly plumbed to an approved sewage disposal system, and [SO/K]
(d) Adequate in number and size for the number of employees, and located where
supervisors can observe employee use; [K]
(3) The dealer shall provide at least one handsink in the packing room. [O]
(4) The dealer shall provide at each handwashing facility:
(a) Supply of hand cleansing soap or detergent; [K]
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(b) Conveniently located supply of single service towels in a suitable dispenser or a hand
drying device that provides heated air; [O]
(c) Easily cleanable waste receptacle; and [O]
(d) Handwashing signs in a language understood by the employees; [O]
(5) Sewage [C] and liquid disposable wastes shall be properly removed from the facility [K]
(6) The dealer shall provide:
(a) Toilet room doors that are tight fitting, self closing, and do not open directly into a
processing area; [K]
(b) An adequate number of conveniently located, toilets [K]
(c) Each toilet facility with an adequate supply of toilet paper [K] in a suitable holder.
[SK/0]
E. Protection from Adulterants.
(1) Shellfish shall be protected from contamination while being transferred from one point to
another during handling and processing. [K]
(2) Any lighting fixtures, light bulbs, skylights, or other glass suspended over food storage or
processing activities in areas where shellfish are exposed shall be of the safety type or
protected to prevent food contamination in case of breakage. [O]
(3) Food contact surfaces shall be protected from contamination by adulterants by using
cleaning compounds and sanitizing agents only in accordance with applicable federal and
state laws and regulations. [K]
(4) Protection of ice used in shellfish processing.
(a) Any ice which is not made on site in the shellfish processing facility shall be
inspected upon receipt and rejected if the ice is not delivered in a way so as to be
protected from contamination. [SC/K]
(b) Ice shall be stored in a safe and sanitary manner to prevent contamination of the ice.
[SC/K]
(c) Any ice used in the processing, storage, or transport of shellfish shall come from a
facility sanctioned by the Authority or the appropriate regulatory agency. [C]
(5) Adequate ventilation shall be provided to minimize condensation in areas where food is
stored, processed or packed. [SK/C]
(6) The dealer shall assure that any steam used in food processing or that comes in contact
with food contact surfaces is free from any additives, or deleterious substances consistent
with federal and state laws and regulations. [K]
(7) Air pump intakes shall be located in a protected place. Air filters shall be installed on all
blower air pump intakes. Oil bath type filters are not allowed. [O]
F. Proper Labeling, Storage and Use of Toxic Compounds.

Additional Guidance - Section IV Guidance Documents

Chapter III.07 Guidance for Reinstating a Previously Infected Employee

(1) Storage of toxic compounds.

(a) The dealer shall assure that only toxic substances necessary for plant activities are
present in the facility. [K]
(b) Each of the following categories of toxic substances shall be stored separately:
(i) Insecticides and rodenticides/; [K]
(ii) Detergents, sanitizers, and related cleaning agents; and [K]
(iii) Caustic acids, polishes, and other chemicals. [K]
(c) The dealer shall not store toxic substances above shellfish or food contact surfaces.
[K]
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(2) Use and labeling of toxic compounds.

(a) When pesticides are used, the dealer shall apply pesticides in accordance with
applicable federal and state regulations to control insects and rodents in such a manner to
prevent the contamination of any shellfish or packaging materials with residues. [K]
(b) Cleaning compounds and sanitizing agents shall be labeled and used only in
accordance with applicable federal and state laws and regulations. [K]
(c) Toxic substances shall be labeled and used in accordance with the manufacturer's
label directions. [K]
(d) Provide a test kit or other device that accurately measures the parts per million
concentration of the chemical sanitizing agent in use. [K]
G. Control of Employees with Adverse Health Conditions
(1) The dealer and the supervisor shall take all reasonable precautions to assure that any
employee with a disease in the communicable stage which might be transmissible through
food shall be excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces. The pathogens causing diseases
which are transmissible from food workers through food are those determined by the US
Centers for Disease Control and Prevention, in compliance with the Americans with
Disabilities Act, and published in the Federal Register. These include: [K]
(a) Norovirus
(b) Hepatitis A virus,
(c) Shigella spp.,
(d) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(e) Salmonella typhi;
(2) All employees shall immediately report to the dealer and/or the supervisor information
about their health and activities as they relate to diseases that are transmissible through food.
All employees shall report the information in a manner that allows the dealer and/or
supervisor to reduce the risk of shellfish-borne disease transmission, including providing
necessary additional information, such as the date of onset of symptoms of an illness, or of a
diagnosis without symptoms, or if the employee: [K]
(a) Has any of the following symptoms:
(i) Vomiting
(ii) Diarrhea,
(iii) Jaundice,
(iv) Sore throat with fever, or
(v) A lesion containing pus such as a boil or infected wound that is open or draining
on any part of the body, or
(b) Has an illness diagnosed by a health practitioner due to:
(i) Norovirus
(ii) Hepatitis A virus,
(iii) Shigella spp.,
(iv) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(v) Salmonella typhi;
(c) Had a previous illness, diagnosed by a health practitioner, within the past 3 months
due to Salmonella typhi, without having received antibiotic therapy, as determined by a
health practitioner;
(d) Has been exposed to, or is the suspected source of, a confirmed disease outbreak,
because the employee consumed or prepared food implicated in the outbreak, or
consumed food at an event prepared by a person who is infected or ill with:
(i) Norovirus within the past 24 hours of the last exposure:

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(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli or Shigella spp.

Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure;
(iv) Hepatitis A virus within the past 30 days of the last exposure; or
(e) Has been exposed by attending or working in a setting where there is a confirmed
disease outbreak, or living in the same household as, and has knowledge about, an
individual that works or attends a setting where there is a confirmed disease outbreak or
living in the same household as, and has knowledge about, an individual diagnosed with
an illness caused by:
(i) Norovirus within the past 24 hours of the last exposure;
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli, or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure; or
(iv) Hepatitis A virus within the past 30 days of the last exposure.
(3) If an employee with an infected wound protects the lesion by keeping it covered with a
proper bandage, a dry, durable, tight-fitting impermeable barrier, and a single-use glove for a
hand lesion, the dealer and/or supervisor may allow the employee to work in the shellfish
processing facility without additional restrictions. [K]
(4) The dealer shall notify the State Shellfish Control Authority and Health Department when
notified by an employee of a diagnosis or exhibits symptoms of hepatitis, and shall ensure that
the employee is excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces or that may transmit the illness to
other employees. [K]
H. Exclusion of Pests. The dealer shall operate his facility to assure that pests are excluded from the
facility and processing activities. Animals shall not be allowed in those portions of the facilities
where shellfish are stored, handled, processed, or packaged or food handling equipment, utensils,
and packaging materials are cleaned or stored. [K]

.03 Other Model Ordinance Requirements.

A. Plants and Grounds.

(1) General.
(a) The physical facilities shall be maintained in good repair. [O]
(2) Flooding.
(a) Facilities in which shellfish are stored, shucked, packed, repacked or reshipped shall
be located so that these facilities are not subject to flooding during ordinary high tides.
[C]
(b) If facilities are flooded:
(i) Shellfish processing, shucking or repacking activities shall be discontinued until
the flood waters have receded from the building; and the building is cleaned and
sanitized. [C]
(ii) Any shellfish coming in contact with the flood waters while in storage shall be
destroyed; or discarded in non-food use. [C]
(3) The dealer shall operate his facility to provide adequate protection from contamination
and adulteration by assuring that dirt and other filth are excluded from his facility and
activities. [SC/K]
(4) The dealer shall employ necessary internal and external insect and vermin control
measures to insure that insects and vermin are not present in the facility.
(a) Tight fitting, self closing doors: [K]
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(b) Screening of not less than 15 mesh per inch; [K] and
(c) Controlled air current. [K].
(5) Plant Interior.
(a) Sanitary conditions shall be maintained throughout the facility. [O]
(b) All dry area floors shall be hard, smooth, easily cleanable; and [O]
(c) All wet area floors used in areas to store shellfish, process food, and clean equipment
and utensils shall be constructed of easily cleanable, impervious, and corrosion resistant
materials which:
(i) Are graded to provide adequate drainage; [O]
(ii) Have even surfaces, and are free from cracks that create sanitary problems and
interfere with drainage; [O]
(iii) Have sealed junctions between floors and walls to render them impervious to
water; and [O]
(d) Walls and Ceilings. Interior surfaces of rooms where shellfish are stored, handled,
processed, or packaged shall be constructed of easily cleanable, corrosion resistant,
impervious materials [O].
(6) Grounds around the facility shall be maintained to be free from conditions which may
result in shellfish contamination. These conditions may include:
(a) Rodent attraction and harborage; and [O]
(b) Inadequate drainage. [O]
B. Plumbing and Related Facilities.
(1) All plumbing and plumbing fixtures shall be properly designed, installed, modified,
repaired, and maintained. The water system shall provide an adequate quantity of water
under pressure, and includes cold and warm water at all sinks; [K]
(2) Adequate floor drainage, including backflow preventers such as air gaps, shall be
provided where floors are:
(a) Used in shellfish storage; [K]
(b) Used for food holding units [K] (e.g. refrigeration units);
(c) Cleaned by hosing, flooding, or similar methods [K]; and
(d) Subject to the discharge of water or other liquid waste including three compartment
sinks on the floor during normal activities. [K]
(3) A safe, effective means of sewage disposal for the facility shall be provided in accordance
with applicable federal and state laws and regulations; [SC/K]
(4) Installation of drainage or waste pipes over food processing or food storage areas, or over
areas in which containers and utensils are washed or stored shall not be permitted. [K]
C. Utilities.
(1) The dealer shall ensure that ventilation, heating, or cooling systems do not create
conditions that may cause the shellfish products to become contaminated. [SC/K]
(2) The dealer shall provide lighting throughout the facility that is sufficient to promote good
manufacturing practices. [SC/K]
D. Disposal of Other Wastes.
(1) Disposal of waste materials shall be conducted in accordance with appropriate federal and
state laws and regulations. [O]
(2) Shell and other non-edible materials shall be promptly and effectively removed from the
shucking bench or table. [O]
(3) All areas and receptacles used for the storage or conveyance of waste shall be operated
and maintained to prevent attraction, harborage, or breeding places for insects and vermin;
and [O]
E. Equipment Condition, Cleaning, Maintenance, and Construction of Non-Food Contact Surfaces.

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(1) The dealer shall use only equipment, including approved plastic ware, which is
constructed in a manner and with materials that can be cleaned, sanitized, maintained, or
replaced. [O]
(2) The dealer shall use easily cleanable, corrosion-resistant impervious materials, free from
cracks to construct:
(a) Shucking benches and contiguous walls; and [O]
(b) Stands or stalls and stools for shucker. [O]
(c) Any non-food contact surfaces in shellfish storage or handling areas. [O]
(3) Shucking benches shall drain completely and rapidly, and shall drain away from any
shellfish on the benches. [O]
(4) Cleaning activities for equipment shall be conducted in a manner and at a frequency
appropriate to prevent contamination of shellfish and food contact surfaces. [K]
(5) All conveyances and equipment which come into contact with stored shellstock shall be
cleaned and maintained in a manner and frequency as necessary to prevent shellstock
contamination. [O]
F. Shellfish Storage and Handling.
The dealer shall:
(1) Assure that shellstock is:
(a) Reasonably free of sediment [O]; and
(b) Culled; [K]
(2) Assure shucking buckets are completely empty at the packing room so that no overage is
returned to the shucker; [K]
(3) Inspect incoming shipments and shall reject dead or inadequately protected shellstock;
[K]
(4) Not allow the use of dip buckets for hand or knife rinsing; [K]
(5) Not have on the premises any usable containers or container covers bearing a certification
number different from the one issued for those premises unless documentation exists to verify
the legitimate source of the containers and the containers contain shellfish from that source;
[K]
(6) Wash, blow, and rinse all shellfish meats in accordance with 21 CFR 161§130. [K]
(7) Thoroughly drain, clean as necessary, and pack shucked shellfish meats promptly after
delivery to the packing room; [K]
(8) Conduct packing activities so as to conform to applicable food additive regulations; [K]
(9) During storage frozen shellfish shall be maintained frozen. [SK/0]
(10) Not commingle shellstock during shucking unless the dealer is included in the
Authority's commingling plan. [K]
G. Heat Shock. A dealer may elect to use heat shock to prepare shellstock for shucking.
(1) The dealer shall:
(a) Post the schedule for the heat shock process in a conspicuous location; and [K]
(b) Make sure all responsible persons are familiar with requirements. [K]
(c) Cool all hot dipped shellstock immediately after the heat shock process [K]. This
cooling shall be accomplished by:
(i) Dipping in a ice bath; or [K]
(ii) Use of flowing potable water. [K]
(2) If a heat shock tank is used, and the water is maintained at or above 140°F degrees the
dealer shall completely drain and flush the tank at the end of each day's operation so that all
the mud and debris which have accumulated in the dip tank are eliminated. If the
temperatures are maintained below 140°F degrees, the dealer shall completely drain and flush
the tank at three hour intervals. [K]

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H. Supervision.
(1) A reliable, competent individual shall be designated to supervise general plant
management and activities; [K]
(2) Cleaning procedures shall be developed and supervised to assure cleaning activities do
not result in contamination of shellfish or food contact surfaces. [K]
(3) All supervisors shall be:
(a) Trained in proper food handling techniques and food protection principles; and [K]
(b) Knowledgeable of personal hygiene and sanitary practices [K]
(4) The dealer shall require:
(a) Supervisors to monitor employee hygiene practices, including handwashing, eating,
and smoking at work stations, and storing personal items or clothing. [K]
(b) Supervisors to assure that proper sanitary practices are implemented, including:
(i) Plant and equipment clean-up; [K]
(ii) Rapid product handling; and [K]
(iii) Shellfish protection from contamination. [K]
(c) Supervisors shall not allow unauthorized persons in those portions of the facilities
where shellfish are stored, handled, processed, or packaged or food handling equipment,
utensils, and packaging materials are cleaned or stored. [K]
(d) Employees shall:
(i) Be trained in proper food handling and personal hygiene practices, and [K]
(ii) Report any symptoms of illness to their supervisor. [K]

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Section II. Model Ordinance

Chapter XII. Repacking of Shucked Shellfish Page 1 of 8

Additional Guidance - Section IV Guidance Documents

Chapter II.15 Decision Tree for Shellfish from Non-MOU Countries

.01 Critical Control Points.

A. Receiving Critical Control Point - Critical Limits. The dealer shall repack only shellfish which:
(1) Originated from a dealer who has:
(a) Shipped the shellfish iced, or in a conveyance at or below 45°F (7.2°C) ambient air
temperature; [C] and
(b) Identified the shellfish with a label as outlined in Chapter X.06. [C]
B. Processing Critical Control Point - Critical Limits. The dealer shall ensure that repacked shucked
shellfish do not exceed an internal temperature of 45° F (7.2° C) for more than 2 hours. [C]
C. Shucked Meat Storage Critical Control Point - Critical Limit. The dealer shall store repacked
shellfish in covered containers at an ambient temperature of 45 ° F (7.2 ° C) or less or covered in
ice. [C]

.02 Sanitation.

A. Safety of Water for Processing and Ice Production.

(1) Water Supply.
(a) The dealer shall provide a potable water supply in accordance with applicable federal,
state and local regulations. [C]
(b) If the water supply is from a private source, the dealer shall make arrangements to
have the water supply sampled by persons recognized by the Authority and tested at
laboratories sanctioned or certified by the Authority: [K]
(i) Prior to use of the water supply; [C]
(ii) Every six months while the water supply is in use; and [K]
(iii) After the water supply has been repaired and disinfected. [SC/K]
(2) Ice Production. Any ice used in the processing, storage, or transport of shellfish shall be
made on-site from potable water in a commercial ice machine; or [C]
(3) Plumbing and Related Facilities.
(a) The dealer shall design, install, modify, repair, and maintain all plumbing and
plumbing fixtures to:
(i) Prevent contamination of water supplies; [C]
(ii) Prevent any cross-connection between the pressurized potable water supply and
water from an unacceptable source. [C] The dealer shall install and maintain in good
working order devices to protect against backflow and back siphonage. [K]

Additional Guidance - Section IV Guidance Documents

Chapter III Harvesting, Handling, Processing, and Distribution .01 Shellfish Industry Equipment
Guide

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A. Condition and Cleanliness of Food Contact Surfaces.

(1) Equipment and utensil construction for food contact surfaces.

(a) Except for equipment in continuous use and placed in service prior to January 1,
1989, the dealer shall use only equipment which conforms to Shellfish Industry
Equipment Construction Guides. [K]
(b) The dealer shall use only equipment and utensils, including approved plastic ware and
finished product containers which are:
(i) Constructed in a manner and with materials that can be cleaned, and sanitized,
maintained or replaced in a manner to prevent contamination of shellfish products;
[K]
(ii) Free from any exposed screws, bolts, or rivet heads on food contact surfaces; and
[K]
(iii) Fabricated from food grade materials. [K]
(c) The dealer shall assure that all joints on food contact surfaces
(i) Have smooth easily cleanable surfaces and [K]
(ii) Are welded [K]
(d) All equipment used to handle ice shall be kept clean and stored in a sanitary manner,
and shall meet the construction requirements in Chapter XI.02.B.(1) (a), (b), and (c). [K]
(e) The dealer shall provide a temperature measuring device accurate to +/- 2° Fahrenheit
for use in monitoring product temperatures.
(2) Cleaning and sanitizing of food contact surfaces.
(a) Food contact surfaces of equipment, utensils and containers shall be cleaned and
sanitized to prevent contamination of shellfish and other food contact surfaces. The
dealer shall:
(i) Provide adequate cleaning supplies and equipment, including three compartment
sinks, brushes, detergents, and sanitizers, hot water and pressure hoses shall be
available within the plant; [K]
(ii) Sanitize equipment and utensils prior to the start-up of each day's activities and
following any interruption during which food contact surfaces may have been
contaminated; [K]
(iii) Wash and rinse equipment and utensils at the end of each day. [K]
(b) Containers which may have become contaminated during storage shall be washed,
rinsed, and sanitized prior to use or shall be discarded. [K]
(c) hucked shellfish shall be packed in clean covered containers:
(i) Fabricated from food grade materials; and [K]
(ii) Stored in a manner which assures their protection from contamination. [K]
(d) If used, the finger cots or gloves shall be:
(i) Made of impermeable materials except where the use of such material is
inappropriate or incompatible with the work being done; [O]
(ii) Sanitized at least twice daily; [K]
(iii) Cleaned more often, if necessary [K];
(iv) Properly stored until used; and [K]
(v) aintained in a clean, intact, and sanitary condition. [K]
B. Prevention of Cross Contamination.
(1) Protection of shellfish.
(a) Shucked shellfish shall be protected from contamination. [SC/K]
(b) Equipment and utensils shall be stored in a manner to prevent splash, dust, and
contamination. [SK/0]
(2) Employee practices
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(a) The dealer shall assure that all employees working in direct contact with shellfish
processing activities or food contact surfaces maintain a high level of personal hygiene
and cleanliness. [K]
(b) The dealer shall require all employees to wash their hands thoroughly with soap and
water and sanitize their hands in an adequate handwashing facility:
(i) Before starting work; [K]
(ii) After each absence from the work station; [K]
(iii) After each work interruption; and [K]
(iv) Any time when their hands may have become soiled or contaminated. [K]
(c) Any employee handling shucked shellfish shall be required to:
(i) Wear effective hair restraints; [O]
(ii) Remove any hand jewelry that cannot be sanitized or secured; [O]
(iii) Wear finger cots or gloves if jewelry cannot be removed [O]
(iv) Wear clean outer garments, which are rinsed or changed as necessary to be kept
clean. [O]
(v) In any area where shellfish are shucked or packed and in any area which is used
for the cleaning or storage of utensils, the dealer shall not allow employees to:
a. Store clothing or other personal belongings; [O]
b. Eat or drink; [K]
c. Spit; and [K]
d. Use tobacco in any form. [K]
C. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities.
(1) Handwashing facilities with warm water at a minimum temperature of 100°F (37.8°C)
dispensed from a hot and cold mixing or combination faucet shall be provided. [SK/0]
(a) Handwashing facilities shall be provided which are:
(i) Convenient to work areas; [O]
(ii) Separate from the three compartment sinks used for cleaning equipment and
utensils; [K]
(iii) Directly plumbed to an approved sewage disposal system, and [SO/K]
(iv) Adequate in number and size for the number of employees, and located where
supervisors can observe employee use; [K]
(b) The dealer shall provide at least one handsink in the packing room. [O]
(c) The dealer shall provide at each handwashing facility:
(i) Supply of hand cleansing soap or detergent; [K]
(ii) Conveniently located supply of single service towels in a suitable dispenser or a
hand drying device that provides heated air; [O]
(iii) Easily cleanable waste receptacle; and [O]
(iv) Handwashing signs in a language understood by the employees; [O]
(2) Sewage [C] and liquid disposable wastes [K] shall be properly removed from the facility.
(3) The dealer shall provide:
(a) Toilet room doors that are tight fitting, self closing, and do not open directly into a
processing area. [K]
(b) An adequate number of conveniently located, toilets [K]
(c) An adequate supply of toilet paper at each toilet facility [K] in a suitable holder. [SK/0]
D. Protection from Adulterants.
(1) Shellfish shall be protected from contamination while being transferred from one point to
another during handling and processing. [K]
(2) Any lighting fixtures, light bulbs, skylights, or other glass suspended over food storage or
processing activities in area where shellfish are exposed shall be of the safety type or
protected to prevent food contamination in case of breakage. [O]
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(3) Food contact surfaces shall be protected from contamination by adulterants by using
cleaning compounds and sanitizing agents only in accordance with applicable federal and
state laws and regulations. [K]
(4) Protection of ice used in shellfish processing:
(a) Any ice which is not made on site in the shellfish processing facility shall be
inspected upon receipt and rejected if the ice is not delivered in a way so as to be
protected from contamination. [SC/K]
(b) Ice shall be stored in a safe and sanitary manner to prevent contamination of the ice.
[SC/K]
(c) Any ice used in the processing, storage, or transport of shellfish shall come from a
facility sanctioned by the Authority or the appropriate regulatory agency. [C]
(5) Adequate ventilation shall be provided to minimize condensation in areas where food is
stored, processed or packed. [SK/C]
(6) The dealer shall assure that any steam used in food processing or that comes in contact
with food contact surfaces is free from any additives, or deleterious substances consistent
with federal and state laws and regulations. [K]
E. Proper Labeling, Storage and Use of Toxic Compounds.
(1) Storage of toxic compounds.
(a) The dealer shall assure that only toxic substances necessary for plant activities are
present in the facility. [K]
(b) Each of the following categories of toxic substances shall be stored separately:
(i) Insecticides and rodenticides; [K]
(ii) Detergents, sanitizers, and related cleaning agents; and [K]
(iii) Caustic acids, polishes, and other chemicals. [K]
(c) The dealer shall not store toxic substances above shellfish or food contact surfaces.
[K]
(2) Use and labeling of toxic compounds.
(a) When pesticides are used, the dealer shall apply pesticides in accordance with
applicable federal and state regulations to control insects and rodents in such a manner to
prevent the contamination of any shellfish or packaging materials with residues. [K]
(b) Cleaning compounds and sanitizing agents shall be labeled and used only in
accordance with applicable federal and state laws and regulations. [K]
(c) Toxic substances shall be labeled and used in accordance with the manufacturer's
label directions. [K]
(d) Provide a test kit or other device that accurately measures the parts per million
concentration of the chemical sanitizing agent in use. [K]

Additional Guidance - Section IV Guidance Documents

Chapter III.07 Guidance for Reinstating a Previously Infected Employee

A. Control of Employees with Adverse Health Conditions

(1) The dealer and the supervisor shall take all reasonable precautions to assure that any
employee with a disease in the communicable stage which might be transmissible through
food shall be excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces. The pathogens causing diseases
which are transmissible from food workers through food are those determined by the US
Centers for Disease Control and Prevention, in compliance with the Americans with
Disabilities Act, and published in the Federal Register. These include: [K]
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(a) Norovirus
(b) Hepatitis A virus,
(c) Shigella spp.,
(d) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(e) Salmonella typhi;
(2) All employees shall immediately report to the dealer and/or the supervisor information
about their health and activities as they relate to diseases that are transmissible through food.
All employees shall report the information in a manner that allows the dealer and/or
supervisor to reduce the risk of shellfish-borne disease transmission, including providing
necessary additional information, such as the date of onset of symptoms of an illness, or of a
diagnosis without symptoms, or if the employee: [K]
(a) Has any of the following symptoms:
(i) Vomiting
(ii) Diarrhea,
(iii) Jaundice,
(iv) Sore throat with fever, or
(v) A lesion containing pus such as a boil or infected wound that is open or draining
on any part of the body, or
(b) Has an illness diagnosed by a health practitioner due to:
(i) Norovirus
(ii) Hepatitis A virus,
(iii) Shigella spp.,
(iv) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(v) Salmonella typhi;
(c) Had a previous illness, diagnosed by a health practitioner, within the past 3 months
due to Salmonella typhi, without having received antibiotic therapy, as determined by a
health practitioner;
(d) ) Has been exposed to, or is the suspected source of, a confirmed disease outbreak,
because the employee consumed or prepared food implicated in the outbreak, or
consumed food at an event prepared by a person who is infected or ill with:
(i) Norovirus within the past 24 hours of the last exposure:
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli or Shigella spp.
within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure;
(iv) Hepatitis A virus within the past 30 days of the last exposure; or
(e) Has been exposed by attending or working in a setting where there is a confirmed
disease outbreak, or living in the same household as, and has knowledge about, an
individual that works or attends a setting where there is a confirmed disease outbreak or
living in the same household as, and has knowledge about, an individual diagnosed with
an illness caused by:
(i) Norovirus within the past 24 hours of the last exposure;
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli, or Shigella spp.
within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure; or
(iv) Hepatitis A virus within the past 30 days of the last exposure.
(3) If an employee with an infected wound protects the lesion by keeping it covered with a
proper bandage, a dry, durable, tight-fitting impermeable barrier, and a single-use glove for a
hand lesion, the dealer and/or supervisor may allow the employee to work in the shellfish
processing facility without additional restrictions. [K]

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(4) The dealer shall notify the State Shellfish Control Authority and Health Department when
notified by an employee of a diagnosis or exhibits symptoms of hepatitis, and shall ensure that
the employee is excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces or that may transmit the illness to
other employees. [K]
B. Exclusion of Pests. The dealer shall operate his facility to assure that pests are excluded from the
facility and processing activities. Animals shall not be allowed in those portions of the facilities
where shellfish are stored, handled, processed, or packaged or food handling equipment, utensils,
and packaging materials are cleaned or stored. [K]

.03 Other Model Ordinance Requirements.

A. Plants and Grounds.

(1) General.
(a) The physical facilities shall be maintained in good repair. [O]
(2) Flooding.
(a) Facilities in which shellfish are stored, shucked, packed, repacked or reshipped shall
be located so that these facilities are not subject to flooding during ordinary high tides.
[C]
(b) If facilities are flooded:
(i) Shellfish processing, shucking or repacking activities shall be discontinued until
the flood waters have receded from the building; and the building is cleaned and
sanitized. [C]
(ii) Any shellfish coming in contact with the flood waters while in storage shall be
destroyed; or discarded in non-food use. [C]
(3) The dealer shall operate his facility to provide adequate protection from contamination
and adulteration by assuring that dirt and other filth are excluded from his facility and
activities. [SC/K]
(4) The dealer shall employ necessary internal and external insect and vermin control
measures to insure that insects and vermin are not present in the facility.
(a) Tight fitting, self closing doors: [K]
(b) Screening of not less than 15 mesh per inch; [K] and
(c) Controlled air current. [K].
(5) Plant Interior.
(a) Sanitary conditions shall be maintained throughout the facility. [O]
(b) All dry area floors shall be hard, smooth, easily cleanable; and [O]
(c) All wet area floors used in areas to store shellfish, process food, and clean equipment
and utensils shall be constructed of easily cleanable, impervious, and corrosion resistant
materials which:
(i) Are graded to provide adequate drainage; [O]
(ii) Have even surfaces, and are free from cracks that create sanitary problems and
interfere with drainage; [O]
(iii) Have sealed junctions between floors and walls to render them impervious to
water; and [O]
(d) Walls and Ceilings. Interior surfaces of rooms where shellfish are stored, handled,
processed, or packaged shall be constructed of easily cleanable, corrosion resistant,
impervious materials [O].
(6) Grounds around the facility shall be maintained to be free from conditions which may
result in shellfish contamination. These conditions may include:
(a) Rodent attraction and harborage; and [O]
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(b) Inadequate drainage. [O]

B. Plumbing and Related Facilities.
(1) All plumbing and plumbing fixtures shall be properly designed, installed, modified,
repaired, and maintained. The water system shall provide an adequate quantity of water under
pressure, and includes cold and warm water at all sinks; [K]
(2) Adequate floor drainage, including backflow prevention such as air gaps, shall be
provided where floors are:
(a) Used in shellfish storage; [K]
(b) Used for food holding units [K] (e.g. refrigerations units);
(c) Cleaned by hosing, flooding, or similar methods [K]; and
(d) Subject to the discharge of water or other liquid waste including three compartment
sinks on the floor during normal activities. [K]
(3) A safe, effective means of sewage disposal for the facility shall be provided in accordance
with applicable federal and state laws and regulations; [SC/K]
(4) Installation of drainage or waste pipes over food processing or food storage areas, or over
areas in which containers and utensils are washed or stored shall not be permitted. [K]
C. Utilities.
(1) The dealer shall ensure that ventilation, heating, or cooling systems do not create
conditions that may cause the shellfish products to become contaminated. [SC/K]
(2) The dealer shall provide lighting throughout the facility that is sufficient to promote good
manufacturing practices. [SC/K]
D. Disposal of Other Wastes.
(1) Disposal of waste materials shall be conducted in accordance with appropriate federal and
state laws and regulations. [O]
(2) All areas and receptacles used for the storage or conveyance of waste shall be operated
and maintained to prevent attraction, harborage, or breeding places for insects and vermin;
[O]
E. Equipment Condition, Cleaning, Maintenance, and Construction of Non-food Contact Surfaces
(1) The dealer shall use only equipment, including approved plastic ware, which is
constructed in a manner and with materials that can be cleaned, sanitized, maintained, or
replaced; and [O]
(2) The dealer shall use easily cleanable, corrosion-resistant, impervious materials, free from
cracks to construct any non-food contact surfaces in shellfish storage or handling areas. [O]
(3) Cleaning activities for equipment shall be conducted in a manner and at a frequency
appropriate to prevent contamination of shellfish and non-food contact surfaces. [K]
(4) All conveyances and equipment which come into contact with stored shellstock shall be
cleaned and maintained in a manner and frequency as necessary to prevent shellstock
contamination. [O]
F. Shellfish Storage and Handling.
(1) The dealer shall:
(a) Not commingle shellfish from different lots; [K]
(b) Repack shucked shellfish meats only into containers labeled with the authorized
certification number; [K]
(c) Not have on the premises any usable containers or container covers bearing a
certification number different from the one issued for those premises unless
documentation exists to verify the legitimate source of the containers and the containers
contain shellfish from that source. [K]
(d) Wash, blow, and rinse all shellfish meats in accordance with 21 CFR 161§130. [K]
(e) Thoroughly drain, clean as necessary, and repack shucked shellfish meats promptly;
[K]
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(f) Conduct repacking activities so as to conform to applicable food additive regulations;

[K]
(g) During storage frozen shellfish shall be maintained frozen. [SK/0]
G. Heat Shock. N/A
H. Supervision.
(1) A reliable, competent individual shall be designated to supervise general plant
management and activities; [K]
(2) Cleaning procedures shall be developed and supervised to assure cleaning activities do
not result in contamination of shellfish or food contact surfaces. [K]
(3) All supervisors shall be:
(a) Trained in proper food handling techniques and food protection principles; and [K]
(b) Knowledgeable of personal hygiene and sanitary practices. [K]
(4) The dealer shall require:
(a) Supervisors to monitor employee hygiene practices, including handwashing, eating,
and smoking at work stations, and storing personal items or clothing. [K]
(b) Supervisors to assure that proper sanitary practices are implemented, including:
(i) Plant and equipment clean-up [K]
(ii) Rapid product handling; and [K]
(iii) Shellfish protection from contamination. [K]
(c) Supervisors to not allow unauthorized persons in those portions of the facilities where
shellfish are stored, handled, processed, or packaged or food handling equipment,
utensils, and packaging materials are cleaned or stored. [K]
(d) Employees shall:
(i) Be trained in proper food handling and personal hygiene practices, and [K]
(ii) Report any symptoms of illness to their supervisor. [K]

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Section II. Model Ordinance

Chapter XIII. Shellstock Shipping Page 1 of 9

Exceptions. Shellstock Shippers are not required to pack shellstock in a building that complies with
Sections .02 and .03 of this chapter when the Authority has determined that a shellstock shipper's
practices and conditions do not warrant requiring shellstock to be packed in a building.

.01 Critical Control Points.

A. Receiving Critical Control Point - Critical Limits. The dealer shall ship or repack only:
(1) Shellstock obtained from a licensed harvester who has:
(a) Harvested the shellstock from an Approved or Conditionally Approved area in the
open status as identified by the tag; and [C]
(b) Identified the shellstock with a tag on each container or transaction record on each
bulk shipment; or [C]
(2) Shellstock obtained from a dealer other than the original harvester who has:
(a) Shipped the shellstock adequately iced, or in a conveyance at or below 45°F (7.2°C)
ambient air temperature or 50°F (10°) internal temperature or less; or in a conveyance
capable of lowering the temperature of the shellstock and will maintain it at 50°F (10°) or
less [C]; and
(b) Identified the shellstock with a tag on each container. [C]
(3) In-shell product obtained from a dealer who has;
(a) Shipped the in-shell product adequately iced; or in a conveyance or at or below 45°F
(7.2°C) ambient air temperature; or 45°F (7.2°C) internal temperate or less; and [C]
(b) Identified the in-shell product with a tag on each container. [C]
B. Shellstock Storage Critical Control Point - Critical Limits. The dealer shall ensure that:
(1) If wet storage in artificial bodies of water is practiced, water quality meets the
requirements outlined in Chapter X.08; and [C]
(2) Once placed under temperature control and until sale to the processor or final consumer,
shellstock shall be:
(a) Iced; or [C]
(b) Placed in a storage area or conveyance maintained at 45° F (7.2° C) or less; and [C]
(c) Not permitted to remain without ice, mechanical refrigeration or other approved
methods of refrigeration, as required in §B(1) or §B (2) for more than 2 hours at points of
transfer such as loading docks. [C]
C. In-shell Product Storage Critical Control Point - Critical Limits. The dealer shall ensure that in-
shell product shall be:
(1) Iced; or [C]
(2) Placed and stored in a storage area or conveyance maintained at 45°F (7.2°C) or less. [C]
D. Shellstock Shipping Critical Control Point
(1) Shellstock that is received bearing a restricted use tag shall only be shipped to a certified
dealer and shall include specific language detailing the intended use of the shellstock.

.02 Sanitation.

A. Safety of Water for Processing and Ice Production.

(1) Water Supply.
(a) The dealer shall provide a potable water supply in accordance with applicable federal,
state and local regulations. [C]
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(b) If the water supply is from a private source, the dealer shall make arrangements to
have the water supply sampled by persons recognized by the Authority and tested at
laboratories sanctioned or certified by the Authority: [K]
(i) Prior to use of the water supply; [C]
(ii) Every six months while the water supply is in use; and [K]
(iii) After the water supply has been repaired and disinfected. [SC/K]
(2) Ice Production. Any ice used in the processing, storage, or transport of shellfish shall be
made on-site from potable water in a commercial ice machine; or [C]
(3) Shellstock Washing.
(a) Water from either a potable water supply or a growing area in the approved
classification shall be used to wash shellstock. [C]
(b) If the dealer uses any system to wash shellstock which recirculates water, the dealer
shall:
(i) Obtain approval for the construction or remodeling of the system from the
Authority. [K]
(ii) Provide a water treatment and disinfection system to treat an adequate quantity of
water to a quality acceptable for shellstock washing which, after disinfection, meets
the coliform standards for drinking water, and does not leave any unacceptable
residues in the shellstock; and [C]
(iii) Test bacteriological water quality daily; [SC/K]
(c) The dealer may use ultra-violet (UV) disinfection in the recirculating wash water
system, provided that the turbidity of the water to be disinfected shall not exceed 20
nephelometric turbidity units (NTUs) measured using the method in the APHA Standard
Methods for the Examination of Water and Wastewater. [K]
(4) Plumbing and Related Facilities. The dealer shall design, install, modify, repair, and
maintain all plumbing and plumbing fixtures to:
(a) Prevent contamination of water supplies; [C]
(b) Prevent any cross-connection between the pressurized potable water supply and water
from an unacceptable source [C]
(c) The dealer shall install and maintain in good working order devices to protect against
backflow and back siphonage. [K]

Additional Guidance - Section IV Guidance Documents

Chapter III Harvesting, Handling, Processing, and Distribution .01 Shellfish Industry
Equipment Guide

B. Condition, and Cleanliness, of Food Contract Surfaces.

(1) Equipment and utensil construction for food contact surfaces.
(a) Except for equipment in continuous use and placed in service prior to January 1,
1989, the dealer shall use only equipment which conforms to Shellfish Industry
Equipment Construction Guides. [K]
(b) The dealer shall use only equipment and utensils, including approved plastic ware and
finished product containers which are:
(i) Constructed in a manner and with materials that can be cleaned, and sanitized,
maintained or replaced in a manner to prevent contamination of shellfish products;
[K]
(ii) Free from any exposed screws, bolts, or rivet heads on food contact surfaces; and
[K]
(iii) Fabricated from food grade materials. [K]
(c) The dealer shall assure that all joints on food contact surfaces
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(i) Have smooth easily cleanable surfaces and [K]

(ii) Are welded [K]
(d) All equipment used to handle ice shall be kept clean and stored in a sanitary manner,
and shall meet the construction requirements in Chapter XI.02.B.(1) (a), (b), and (c). [K]
(e) Shellstock washing storage tanks and related plumbing shall be fabricated from safe
materials and tank construction shall be such that it:
(i) Is easily accessible for cleaning and inspection; [K]
(ii) Is self-draining; and [K]
(iii) Meets the requirements for food contact surfaces [K]
(2) Cleaning and sanitizing of food contact surfaces.
(a) Food contact surfaces of equipment, utensils and containers shall be cleaned and
sanitized to prevent contamination of shellfish and other food contact surfaces. The
dealer shall:
(i) Provide adequate cleaning supplies and equipment, including three compartment
sinks, brushes, detergents, and sanitizers, hot water and pressure hoses shall be
available within the plant; [K]
(ii) Sanitize equipment and utensils prior to the start-up of each day's activities and
following any interruption during which food contact surfaces may have been
contaminated; [K]
(iii) Wash and rinse equipment and utensils at the end of each day. [K]
(b) Containers which may have become contaminated during storage shall be washed,
rinsed, and sanitized prior to use or shall be discarded. [K]
(3) If used, the finger cots or gloves shall be:
(a) Made of impermeable materials except where the use of such material is inappropriate
or incompatible with the work being done; [O]
(b) Cleaned more often, if necessary [K];
(c) Properly stored until used; and [K]
(d) Maintained in a clean, intact, and sanitary condition. [K]

C. Prevention of Cross Contamination.

(1) Protection of shellfish.
(a) Shellstock shall be stored in a manner to protect shellstock from contamination in dry
storage and at points of transfer. [SC/K]
(b) Shellfish shall be protected from contamination. [SC/K]
(c) Shellstock shall not be placed in containers with standing water for the purposes of
washing shellstock or loosening sediment. [K]
(d) Equipment and utensils shall be stored in a manner to prevent splash, dust, and
contamination. [SK/0]
(2) Employee practices.
(a) The dealer shall require all employees to wash their hands thoroughly with soap and
water and sanitize their hands in an adequate handwashing facility:
(i) Before starting work; [K]
(ii) After each absence from the work station; [K]
(iii) After each work interruption; and [K]
(iv) Any time when their hands may have become soiled or contaminated. [K]
(b) In any area where shellfish are stored and in any area which is used for the cleaning
or storage of utensils, the dealer shall not allow employees to:
(i) Store clothing or other personal belongings: [O]
(ii) Eat or drink; [K]
(iii) Spit; and [K]
(iv) Use tobacco in any form. [K]
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D. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities.

(1) Handwashing facilities with warm water at a minimum temperature of 100° F (37.8°C),
dispensed from a hot and cold mixing or combination faucet, shall be provided. [SK/0]
(a) Handwashing facilities shall be provided which are:
(i) Convenient to work areas: [O]
(ii) Separate from the three compartment sinks used for cleaning equipment and
utensils; [K]
(iii) Directly plumbed to an approved sewage disposal system, and [SO/K]
(iv) Adequate in number and size for the number of employees, and located where
supervisors can observe employee use; [K]
(b) The dealer shall provide at each handwashing facility:
(i) Supply of hand cleansing soap or detergent; [K]
(ii) Conveniently located supply of single service towels in a suitable dispenser or a
hand drying device that provides heated air; [O]
(iii) Easily cleanable waste receptacle; and [O]
(iv) Handwashing signs in a language understood by the employees; [O]
(2) Sewage [K] and liquid disposable wastes [K] shall be properly removed from the facility.
(3) The dealer shall provide
(a) Toilet room doors that are tight fitting, self closing, and do not open directly into a
processing area. [K]
(b) An adequate number of conveniently located, toilets. [K]
(c) Each toilet facility with an adequate supply of toilet paper [K] in a suitable holder.
[SK/0].

E. Protection from Adulterants.

(1) Shellfish shall be protected from contamination while being transferred from one point to
another during handling and processing. [K]
(2) Any lighting fixtures, light bulbs, skylights, or other glass suspended over food storage or
processing activities in areas where shellfish are exposed shall be of the safety type or
protected to prevent food contamination in case of breakage. [O]
(3) Food contact surfaces shall be protected from contamination by adulterants by using
cleaning compounds and sanitizing agents only in accordance with applicable federal and
state laws and regulations. [K]
(4) Shellstock shall be packed in clean containers. [K]
(5) Protection of ice used in shellfish processing.
(a) Any ice which is not made on site in the shellfish processing facility shall be
inspected upon receipt and rejected if the ice is not delivered in a way so as to be
protected from contamination. [SC/K]
(b) Ice shall be stored in a safe and sanitary manner to prevent contamination of the ice.
[SC/K]
(c) Any ice used in the processing, storage, or transport of shellfish shall come from a
facility sanctioned by the Authority or the appropriate regulatory agency. [C]
(6) Adequate ventilation shall be provided to minimize condensation in areas where food is
stored, processed or packed. [SK/C]
(7) The dealer shall assure that any steam used in food processing or that comes in contact
with food contact surfaces is free from any additives, or deleterious substances consistent
with federal and state laws and regulations. [K]

F. Proper Labeling, Storage and Use of Toxic Compounds.

(1) Storage of toxic compounds.

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(a) The dealer shall assure that only toxic substances necessary for plant activities are
present in the facility. [K]
(b) Each of the following categories of toxic substances shall be stored separately:
(i) Insecticides and rodenticides; [K]
(ii) Detergents, sanitizers, and related cleaning agents; and [K]
(iii) Caustic acids, polishes, and other chemicals. [K]
(c) The dealer shall not store toxic substances above shellfish or food contact surfaces.
[K]
(2) Use and labeling of toxic compounds.
(a) When pesticides are used, the dealer shall apply pesticides in accordance with
applicable federal and state regulations to control insects and rodents in such a manner to
prevent the contamination of any shellfish or packaging materials with residues. [K]
(b) Cleaning compounds and sanitizing agents shall be labeled and used only in
accordance with applicable federal and state laws and regulations. [K]
(c) Toxic substances shall be labeled and used in accordance with the manufacturer's
label directions. [K]
(d) Provide a test kit or other device that accurately measures the parts per million
concentration of the chemical sanitizing agent in use [K]

Additional Guidance - Section IV Guidance Documents

Chapter III.07 Guidance for Reinstating a Previously Infected Employee

G. Control of Employees with Adverse Health Conditions.

(1) The dealer and the supervisor shall take all reasonable precautions to assure that any
employee with a disease in the communicable stage which might be transmissible through
food shall be excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces. The pathogens causing diseases
which are transmissible from food workers through food are those determined by the US
Centers for Disease Control and Prevention, in compliance with the Americans with
Disabilities Act, and published in the Federal Register. These include: [K]
(a) Norovirus
(b) Hepatitis A virus,
(c) Shigella spp.,
(d) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(e) Salmonella typhi;
(2) All employees shall immediately report to the dealer and/or the supervisor information
about their health and activities as they relate to diseases that are transmissible through food.
All employees shall report the information in a manner that allows the dealer and/or
supervisor to reduce the risk of shellfish-borne disease transmission, including providing
necessary additional information, such as the date of onset of symptoms of an illness, or of a
diagnosis without symptoms, or if the employee: [K]
(a) Has any of the following symptoms:
(i) Vomiting
(ii) Diarrhea,
(iii) Jaundice,
(iv) Sore throat with fever, or
(v) A lesion containing pus such as a boil or infected wound that is open or draining
on any part of the body, or
(b) Has an illness diagnosed by a health practitioner due to:
(i) Norovirus
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(ii) Hepatitis A virus,

(iii) Shigella spp.,
(iv) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(v) Salmonella typhi;
(c) Had a previous illness, diagnosed by a health practitioner, within the past 3 months
due to Salmonella typhi, without having received antibiotic therapy, as determined by a
health practitioner;
(d) Has been exposed to, or is the suspected source of, a confirmed disease outbreak,
because the employee consumed or prepared food implicated in the outbreak, or
consumed food at an event prepared by a person who is infected or ill with:
(i) Norovirus within the past 24 hours of the last exposure:
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure;
(iv) Hepatitis A virus within the past 30 days of the last exposure; or
(e) Has been exposed by attending or working in a setting where there is a confirmed
disease outbreak, or living in the same household as, and has knowledge about, an
individual that works or attends a setting where there is a confirmed disease outbreak or
living in the same household as, and has knowledge about, an individual diagnosed with
an illness caused by:
(i) Norovirus within the past 24 hours of the last exposure;
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli, or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure; or
(iv) Hepatitis A virus within the past 30 days of the last exposure.
(3) If an employee with an infected wound protects the lesion by keeping it covered with a
proper bandage, a dry, durable, tight-fitting impermeable barrier, and a single-use glove for a
hand lesion, the dealer and/or supervisor may allow the employee to work in the shellfish
processing facility without additional restrictions. [K]
(4) The dealer shall notify the State Shellfish Control Authority and Health Department when
notified by an employee of a diagnosis or exhibits symptoms of hepatitis, and shall ensure that
the employee is excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces or that may transmit the illness to
other employees. [K]

H. Exclusion of Pests. The dealer shall operate his facility to assure that pests are excluded from the
facility and processing activities. Animals shall not be allowed in those portions of the facilities
where shellfish are stored, handled, processed, or packaged or food handling equipment, utensils,
and packaging materials are cleaned or stored. [K]

.03 Other Model Ordinance Requirements.

A. Plants and Grounds.

(1) General.
(a) The physical facilities shall be maintained in good repair. [O]
(2) Flooding.
(a) Facilities in which shellfish are stored, packed, repacked or reshipped shall be located
so that these facilities are not subject to flooding during ordinary high tides. [C]
(b) If facilities are flooded:

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(i) Shellfish processing, repacking or shipping activities shall be discontinued until

the flood waters have receded from the building; and the building is cleaned and
sanitized. [C]
(ii) Any shellfish coming in contact with the flood waters while in storage shall be
destroyed; or discarded in non-food use.[C]
(3) The dealer shall operate his facility to provide adequate protection from contamination
and adulteration by assuring that dirt and other filth are excluded from his facility and
activities. [SC/K]
(4) The dealer shall employ necessary internal and external insect and vermin control
measures to insure that insects and vermin are not present in the facility.
(a) Tight fitting, self closing doors: [K]
(b) Screening of not less than 15 mesh per inch; [K] and
(c) Controlled air current. [K].
(5) Plant Interior.
(a) Sanitary conditions shall be maintained throughout the facility. [O]
(b) All dry area floors shall be hard, smooth, easily cleanable; and [O]
(c) All wet area floors used in areas to store shellfish, process food, and clean equipment
and utensils shall be constructed of easily cleanable, impervious, and corrosion resistant
materials which:
(i) Are graded to provide adequate drainage; [O]
(ii) Have even surfaces, and are free from cracks that create sanitary problems and
interfere with drainage; [O]
(iii) Have sealed junctions between floors and walls to render them impervious to
water; and [O]
(d) Walls and Ceilings. Interior surfaces of rooms where shellfish are stored, handled,
processed, or packaged shall be constructed of easily cleanable, corrosion resistant,
impervious materials [O].
(6) Grounds around the facility shall be maintained to be free from conditions which may
result in shellfish contamination. These conditions may include:
(a) Rodent attraction and harborage; and [O]
(b) Inadequate drainage. [O]
B. Plumbing and Related Facilities.
(1) All plumbing and plumbing fixtures shall be properly designed, installed, modified,
repaired, and maintained. The water system shall provide an adequate quantity of water under
pressure, and includes cold and warm water at all sinks; [K]
(2) Adequate floor drainage, including backflow preventers such as air gaps, shall be
provided where floors are:
(a) Used in shellfish storage; [K]
(b) Used for food holding units [K] (e.g. refrigeration units);
(c) Cleaned by hosing, flooding, or similar methods [K]; and
(d) Subject to the discharge of water or other liquid waste including three compartment
sinks on the floor during normal activities. [K]
(3) A safe, effective means of sewage disposal for the facility shall be provided in accordance
with applicable federal and state laws and regulations; [SC/K]
(4) Installation of drainage or waste pipes over food processing or food storage areas, or over
areas in which containers and utensils are washed or stored shall not be permitted. [K]
C. Utilities.
(1) The dealer shall ensure that ventilation, heating, or cooling systems do not create
conditions that may cause the shellfish products to become contaminated. [SC/K]
(2) The dealer shall provide lighting throughout the facility that is sufficient to promote good
manufacturing practices. [SC/K]
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D. Disposal of Other Wastes.

(1) Disposal of waste materials shall be conducted in accordance with appropriate federal and
state laws and regulations. [O]
(2) All areas and receptacles used for the storage or conveyance of waste shall be operated
and maintained to prevent attraction, harborage, or breeding places for insects and vermin;
and [O]
E. Equipment Condition, Cleaning, Maintenance, and Construction of Non-Food Contact Surfaces.
(1) The dealer shall use only equipment, including approved plastic ware, which is
constructed in a manner and with materials that can be cleaned, sanitized, maintained, or
replaced; and [O]
(2) The dealer shall use easily cleanable, corrosion-resistant, impervious materials, free from
cracks to construct any non-food contact surfaces in shellfish storage or handling areas. [O]
(3) Cleaning activities for equipment shall be conducted in a manner and at a frequency
appropriate to prevent contamination of shellfish and food contact surfaces. [K]
(4) All conveyances and equipment which come into contact with stored shellstock shall be
cleaned and maintained in a manner and frequency as necessary to prevent shellstock
contamination. [O]
F. Shellfish Storage and Handling.
(1) The dealer shall:
(a) Assure that shellstock is:
(i) Alive; [K]
(ii) Reasonably free of sediment [O]; and
(iii) Culled; [K]
(2) The dealer shall inspect incoming shipments and shall reject dead or inadequately
protected shellstock; [K]
(3) A dealer whose activity consists of trucks or docking facilities only shall:
(a) Have a permanent business address at which records are maintained and inspections
can be performed; and [K]
(b) Not repack shellstock. [K]
(4) A dealer who stores or repacks shellstock shall have:
(a) His own facility for proper storage or repacking of shellstock; or [K]
(b) Arrangements with a facility approved by the Authority of the storage or repacking of
shellstock. [K]
(5) During storage frozen shellfish shall be maintained frozen.[SK/O]
G. Heat Shock. - N/A
H. Supervision.
(1) A reliable, competent individual shall be designated to supervise general plant
management and activities; [K]
(2) Cleaning procedures shall be developed and supervised to assure cleaning activities do
not result in contamination of shellfish or food contact surfaces. [K]
(3) All supervisors shall be:
(a) Trained in proper food handling techniques and food protection principles; and [K]
(b) Knowledgeable of personal hygiene and sanitary practices. [K]
(4) The dealer shall require:
(a) Supervisors to monitor employee hygiene practices, including handwashing, eating,
and smoking at work stations, and storing personal items or clothing. [K]
(b) Supervisors to assure that proper sanitary practices are implemented, including:
(i) Plant and equipment clean-up; [K]
(ii) Rapid product handling; and [K]
(iii) Shellfish protection from contamination. [K]

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(c) Supervisors shall not allow unauthorized persons in those portions of the facilities
where shellfish are stored, handled, processed or packaged or food handling equipment,
utensils, and packaging materials are cleaned or stored. [K]
(d) Employees shall:
(i) Be trained in proper food handling and personal hygiene practices, and [K]
(ii) Report any symptoms of illness to their supervisor. [K]

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Section II. Model Ordinance

Chapter XIV. Reshipping Page 1 of 7

Exceptions. Reshippers are not required to comply with the building requirements in Sections .02 and
.03 of this chapter when the Authority has determined that a reshipper's practices and conditions do
not warrant requiring a building.

.01 Critical Control Points.

A. Receiving Critical Control Point - Critical Limits. The dealer shall reship only shellfish which:
(1) Originated from a dealer other than the original harvester who has:
(a) Shipped the shellstock adequately iced; or in a conveyance at or below 45°F (7.2°C)
ambient air temperature; or 50°F (10°C) internal temperature or less; or in a conveyance
capable of lowering the temperature of the shellstock and will maintain it at 50°F (10°C)
or less; [C]; and/or
(b) Shipped the shucked shellfish and/or in-shell product iced or in a conveyance at or
below 45°F (7.2°C) ambient air temperature; [C] and
(c) Identified the shellstock with a tag as outlined in Chapter X.05, identified the in-shell
product with a tag as outlined in Chapter X .07, and/or identified the shucked shellfish
with a label as outlined in Chapter X.06. [C]
B. Shellstock Storage Critical Control Point - Critical Limits. The dealer shall ensure that once
placed under temperature control and until sale to the processor or final consumer, shellstock
shall be:
(1) Iced; or [C]
(2) Placed in a storage area or conveyance maintained at 45 °F (7.2 ° C) or less; and [C]
(3) Not permitted to remain without ice, mechanical refrigeration, or other approved means of
refrigeration for more than 2 hours at points of transfer such as loading docks. [C]
C. In-shell Product Storage Critical Control Point - Critical Limits. The dealer shall ensure that in-
shell product shall be:
(1) Iced; or [C]
(2) Placed and stored in a storage area or conveyance maintained at 45°F (7.2°C) or less. [C]
D. Shucked Meat Storage Critical Control Point - Critical Limit. The dealer shall store shucked
shellfish at an ambient temperature of 45 ° F (7.2 ° C) or less.[C]
E. Shellstock Shipping Critical Control Point
(1) Shellstock that is received bearing a restricted use tag shall only be shipped to a certified
dealer and shall include specific language detailing the intended use of the shellstock.

.02 Sanitation.

A. Safety of Water for Processing and Ice Production.

(1) Water Supply.
(a) The dealer shall provide a potable water supply in accordance with applicable federal,
state and local regulations.[C]
(b) If the water supply is from a private source, the dealer shall make arrangements to
have the water supply sampled by persons recognized by the Authority and tested at
laboratories sanctioned or certified by the Authority: [K]
(i) Prior to use of the water supply; [C]
(ii) Every six months while the water supply is in use; and [K]
(iii) After the water supply has been repaired and disinfected. [SC/K]
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(2) Ice Production. Any ice used in the processing, storage, or transport of shellfish shall:
(a) Be made on-site from potable water in a commercial ice machine; or [C]
(3) Plumbing and Related Facilities.
(a) The dealer shall design, install, modify, repair, and maintain all plumbing and
plumbing fixtures to:
(i) Prevent contamination of water supplies; [C]
(ii) Prevent any cross-connection between the pressurized potable water supply and
water from an unacceptable source. [C] The dealer shall install and maintain in good
working order devices to protect against backflow and back siphonage. [K]
B. Condition, and Cleanliness of Food Contact Surfaces.
Equipment and utensil construction for food contact surfaces. All equipment used to handle ice
shall be kept clean and stored in a sanitary manner, and shall meet the construction requirements
in Chapter XI.02.B.(1) (a), (b), and (c). [K]
C. Prevention of Cross Contamination.
(1) Protection of shellfish
(a) Shellstock shall be stored in a manner to protect shellstock from contamination in dry
storage and at points of transfer. [SC/K]
(b) Shellfish shall be protected from contamination. [SC/K]
(c) Equipment and utensils shall be stored in a manner to prevent splash, dust, and
contamination. [SK/0]
(2) Employee practices.
(a) The dealer shall require all employees to wash their hands thoroughly with soap and
water and sanitize their hands in an adequate handwashing facility:
(i) Before starting work; [K]
(ii) After each absence from the work station; [K]
(iii) After each work interruption; and [K]
(iv) Any time when their hands may have become soiled or contaminated. [K]
(b) In any area where shellfish are stored and in any area which is used for the cleaning
or storage of utensils, the dealer shall not allow employees to:
(i) Store clothing or other personal belongings; [O]
(ii) Eat or drink; [K]
(iii) Spit; and [K]
(iv) Use tobacco in any form. [K]
D. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities.
(1) Handwashing facilities with warm water at a minimum temperature of 100°F (37.8°C),
dispensed from a hot and cold mixing or combination faucet, shall be provided. [SK/0]
(a) Handwashing facilities shall be provided which are:
(i) Convenient to work areas: [O]
(ii) Separate from the three compartment sinks used for cleaning equipment and
utensils; [K]
(iii) Directly plumbed to an approved sewage disposal system, and [SO/K]
(iv) Adequate in number and size for the number of employees, and located where
supervisors can observe employee use. [K]
(b) The dealer shall provide at each handwashing facility:
(i) Supply of hand cleansing soap or detergent; [K]
(ii) Conveniently located supply of single service towels in a suitable dispenser or a
hand drying device that provides heated air; [O]
(iii) Easily cleanable waste receptacle; and [O]
(iv) Handwashing signs in a language understood by the employees; [O]
(2) Liquid disposable wastes shall be properly removed from the facility [K]
(3) The dealer shall provide:
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(a) Toilet room doors that are tight fitting, self closing, and do not open directly into a
processing area; [K]
(b) An adequate number of conveniently located, toilets [K]
(c) Each toilet facility with an adequate supply of toilet paper [K] in a suitable holder.
[SK/0]
E. Protection from Adulterants.
(1) Shellfish shall be protected from contamination while being transferred from one point to
another during handling and processing. [K]
(2) Any lighting fixtures, light bulbs, skylights, or other glass suspended over food storage or
processing activities in areas where shellfish are exposed shall be of the safety type or
protected to prevent food contamination in case of breakage. [O]
(3) Food contact surfaces shall be protected from contamination by adulterants by using
cleaning compounds and sanitizing agents only in accordance with applicable federal and
state laws and regulations. [K]
(4) Protection of ice used in shellfish reshipping.
(a) Any ice which is not made on site in the shellfish processing facility shall be
inspected upon receipt and rejected if the ice is not delivered in a way so as to be
protected from contamination. [SC/K]
(b) Ice shall be stored in a safe and sanitary manner to prevent contamination of the ice.
[SC/K]
(c) Any ice used in the processing, storage, or transport of shellfish shall come from a
facility sanctioned by the Authority or the appropriate regulatory agency. [C]
(5) Adequate ventilation shall be provided to minimize condensation in areas where food is
stored, processed or packed. [SK/C]
F. Proper Labeling, Storage and Use of Toxic Compounds.
(1) Storage of toxic compounds.
(a) The dealer shall assure that only toxic substances necessary for plant activities are
present in the facility. [K]
(b) Each of the following categories of toxic substances shall be stored separately:
(i) Insecticides and rodenticides; [K]
(ii) Detergents, sanitizers, and related cleaning agents; and [K]
(iii) Caustic acids, polishes, and other chemicals. [K]
(c) The dealer shall not store toxic substances above shellfish or food contact surfaces.
[K]
(2) Use and labeling of toxic compounds.
(a) When pesticides are used, the dealer shall apply pesticides in accordance with
applicable federal and state regulations to control insects and rodents in such a manner to
prevent the contamination of any shellfish or packaging materials with residues. [K]
(b) Cleaning compounds and sanitizing agents shall be labeled and used only in
accordance with applicable federal and state laws and regulations. [K]
(c) Toxic substances shall be labeled and used in accordance with the manufacturer's
label directions. [K]

Additional Guidance - Section IV Guidance Documents

Chapter III.07 Guidance for Reinstating a Previously Infected Employee

G. Control of Employees with Adverse Health Conditions.

(1) The dealer and the supervisor shall take all reasonable precautions to assure that any
employee with a disease in the communicable stage which might be transmissible through
food shall be excluded from working in any capacity in which the employee may come in
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contact with the shellfish or with food contact surfaces. The pathogens causing diseases
which are transmissible from food workers through food are those determined by the US
Centers for Disease Control and Prevention, in compliance with the Americans with
Disabilities Act, and published in the Federal Register. These include: [K]
(a) Norovirus
(b) Hepatitis A virus,
(c) Shigella spp.,
(d) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(e) Salmonella typhi;
(2) All employees shall immediately report to the dealer and/or the supervisor information
about their health and activities as they relate to diseases that are transmissible through food.
All employees shall report the information in a manner that allows the dealer and/or
supervisor to reduce the risk of shellfish-borne disease transmission, including providing
necessary additional information, such as the date of onset of symptoms of an illness, or of a
diagnosis without symptoms, or if the employee: [K]
(a) (a) Has any of the following symptoms:
(i) Vomiting
(ii) Diarrhea,
(iii) Jaundice,
(iv) Sore throat with fever, or
(v) A lesion containing pus such as a boil or infected wound that is open or draining
on any part of the body, or
(b) Has an illness diagnosed by a health practitioner due to:
(i) Norovirus
(ii) Hepatitis A virus,
(iii) Shigella spp.,
(iv) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(v) Salmonella typhi;
(c) Had a previous illness, diagnosed by a health practitioner, within the past 3 months
due to Salmonella typhi, without having received antibiotic therapy, as determined by a
health practitioner;
(d) Has been exposed to, or is the suspected source of, a confirmed disease outbreak,
because the employee consumed or prepared food implicated in the outbreak, or
consumed food at an event prepared by a person who is infected or ill with:
(i) Norovirus within the past 24 hours of the last exposure:
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure;
(iv) Hepatitis A virus within the past 30 days of the last exposure; or
(e) Has been exposed by attending or working in a setting where there is a confirmed
disease outbreak, or living in the same household as, and has knowledge about, an
individual that works or attends a setting where there is a confirmed disease outbreak or
living in the same household as, and has knowledge about, an individual diagnosed with
an illness caused by:
(i) Norovirus within the past 24 hours of the last exposure;
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli, or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure; or
(iv) Hepatitis A virus within the past 30 days of the last exposure.
(3) If an employee with an infected wound protects the lesion by keeping it covered with a
proper bandage, a dry, durable, tight-fitting impermeable barrier, and a single-use glove for a
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hand lesion, the dealer and/or supervisor may allow the employee to work in the shellfish
processing facility without additional restrictions. [K]
(4) The dealer shall notify the State Shellfish Control Authority and Health Department when
notified by an employee of a diagnosis or exhibits symptoms of hepatitis, and shall ensure that
the employee is excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces or that may transmit the illness to
other employees. [K]
H. Exclusion of Pests. The dealer shall operate his facility to assure that pests are excluded from the
facility and processing activities. Animals shall not be allowed in those portions of the facilities
where shellfish are stored, handled, processed, or packaged or food handling equipment, utensils,
and packaging materials are cleaned or stored. [K]

.03 Other Model Ordinance Requirements.

A. Plants and Grounds.

(1) General.
(a) The physical facilities shall be maintained in good repair. [O]
(2) Flooding.
(a) Facilities in which shellfish are stored, shucked, packed, repacked or reshipped shall
be located so that these facilities are not subject to flooding during ordinary high tides.
[C]
(b) If facilities are flooded:
(i) Shellfish processing, shucking or repacking activities shall be discontinued until
the flood waters have receded from the building; and the building is cleaned and
sanitized.[C]
(ii) Any shellfish coming in contact with the flood waters while in storage shall be
destroyed; or discarded in non-food use. [C]
(3) The dealer shall operate his facility to provide adequate protection from contamination
and adulteration by assuring that dirt and other filth are excluded from his facility and
activities. [SC/K]
(4) The dealer shall employ necessary internal and external insect and vermin control
measures to insure that insects and vermin are not present in the facility.
(a) Tight fitting, self closing doors; [K]
(b) Screening of not less than 15 mesh per inch; [K] and
(c) Controlled air current. [K].
(5) Plant Interior.
(a) Sanitary conditions shall be maintained throughout the facility. [O]
(b) All dry area floors shall be hard, smooth, easily cleanable; and [O]
(c) All wet area floors used in areas to store shellfish, process food, and clean equipment
and utensils shall be constructed of easily cleanable, impervious, and corrosion resistant
materials which:
(i) Are graded to provide adequate drainage; [O]
(ii) Have even surfaces, and are free from cracks that create sanitary problems and
interfere with drainage; and [O]
(iii) Have sealed junctions between floors and walls to render them impervious to
water.; and [O]
(d) Walls and Ceilings. Interior surfaces of rooms where shellfish are stored, handled,
processed, or packaged shall be constructed of easily cleanable, corrosion resistant,
impervious materials [O].
(6) Grounds around the facility shall be maintained to be free from conditions which may
result in shellfish contamination. These conditions may include:
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(a) Rodent attraction and harborage; and [O]

(b) Inadequate drainage. [O]
B. Plumbing and Related Facilities.
(1) All plumbing and plumbing fixtures shall be properly designed, installed, modified,
repaired, and maintained. The water system shall provide an adequate quantity of water
under pressure, and includes cold and warm water at all sinks. [K]
(2) Adequate floor drainage, including backflow preventer such as air gaps, shall be provided
where floors are:
(a) Used in shellfish storage; [K]
(b) Used for food holding units (e.g. refrigeration units); [K]
(c) Cleaned by hosing, flooding, or similar methods [K]; and
(d) Subject to the discharge of water or other liquid waste including three compartment
sinks on the floor during normal activities. [K]
(3) A safe, effective means of sewage disposal for the facility shall be provided in accordance
with applicable federal and state laws and regulations; [SC/K]
(4) Installation of drainage or waste pipes over food processing or food storage areas, or over
areas in which containers and utensils are washed or stored shall not be permitted. [K]
C. Utilities.
(1) The dealer shall ensure that ventilation, heating, or cooling systems do not create
conditions that may cause the shellfish products to become contaminated. [SC/K]
(2) The dealer shall provide lighting throughout the facility that is sufficient to promote good
manufacturing practices. [SC/K]
D. Disposal of Other Wastes.
(1) Disposal of waste materials shall be conducted in accordance with appropriate federal and
state laws and regulations. [O]
(2) All areas and receptacles used for the storage or conveyance of waste shall be operated
and maintained to prevent attraction, harborage, or breeding places for insects and vermin;
and [O]
E. Equipment Condition, Cleaning, Maintenance, and Construction of Non-Food Contact Surfaces.
(1) The dealer shall use only equipment, including approved plastic ware, which is
constructed in a manner and with materials that can be cleaned, sanitized, maintained, or
replaced; and [O]
(2) The dealer shall use easily cleanable, corrosion-resistant, impervious materials, free from
cracks to construct any non-food contact surfaces in shellfish storage or handling areas. [O]
(3) Cleaning activities for equipment shall be conducted in a manner and at a frequency
appropriate to prevent contamination of shellfish and non food contact surfaces. [K]
(4) All conveyances and equipment which come into contact with stored shellstock shall be
cleaned and maintained in a manner and frequency as necessary to prevent shellstock
contamination. [O]
F. Shellfish Storage and Handling.
(1) The dealer shall buy shellfish only from sources certified by the Authority or listed in the
ICSSL. [K]
(2) The dealer shall not:
(a) Commingle, sort, or repack shellfish; or [K]
(b) Remove or alter any existing tag or label. [K]
(3) A dealer whose activity consists of trucks only shall:
(a) Have his own facility for the storage of shellfish; or [K]
(b) Have arrangements with a facility approved by the Authority for the storage of
shellfish; and [K]
(c) Have a permanent business address at which records are maintained and inspections
can be performed. [K]
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(4) During storage frozen shellfish shall be maintained frozen.[SK/O]

G. Heat Shock. - N/A
H. Supervision.
(1) A reliable, competent individual shall be designated to supervise general plant
management and activities; [K]
(2) Cleaning procedures shall be developed and supervised to assure cleaning activities do
not result in contamination of shellfish or food contact surfaces. [K]
(3) All supervisors shall be:
(a) Trained in proper food handling techniques and food protection principles; and [K]
(b) Knowledgeable of personal hygiene and sanitary practices. [K]
(4) The dealer shall require:
(a) Supervisors to monitor employee hygiene practices, including handwashing, eating,
and smoking at work stations, and storing personal items or clothing. [K]
(b) Supervisors to assure that proper sanitary practices are implemented, including:
(i) Plant and equipment clean-up; [K]
(ii) Rapid product handling; and [K]
(iii) Shellfish protection from contamination. [K]
(c) Supervisors to not allow unauthorized persons in those portions of the facilities where
shellfish are stored, handled, processed, or packaged or food handling equipment,
utensils, and packaging materials are cleaned or stored. [K]
(d) Employees shall:
(i) Be trained in proper food handling and personal hygiene practices, and [K]
(ii) Report any symptoms of illness to their supervisor. [K]

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Section II. Model Ordinance

Chapter XV. Depuration Page 1 of 14

Note: In those States where depuration is not practiced, this Chapter may be deleted from the
Ordinance, as well as references to depuration throughout the Ordinance.

Requirements for the Authority

[Note: The Authority must meet the requirements of this section even if the Authority does not formally
adopt this Chapter in regulation.]

A. Prior to authorizing depuration, the Authority shall develop and maintain an effective program to:
(1) Control shellstock harvesting by special license in accordance with Chapter VIII. @.01
C.;
(2) Control shellstock transportation between the harvest area and the depuration facility to
prevent shellstock from being illegally diverted to direct marketing;
(3) Approve the design and construction of the depuration facility or activity including
subsequent changes;
B. If shellstock is transported interstate to be depurated, the Authorities in both States shall execute a
memorandum of agreement to provide adequate control measures to prevent diversion prior to
depuration.
C. The Authority shall review and approve the Depuration Plant Operating Manual prior to granting
depuration certification.
D. The Authority shall review the depuration plant performance index and other records as part of
the monthly inspections to verify that the process and CCP are effective and the process
verification analysis is being performed properly.
E. The Authority shall maintain adequate records for each depuration facility. The following records
for each facility shall be kept for the period of five years:
(1) Inspection reports and reviews of the plant performance in accordance to §D. (above);
(2) Current Depuration Plant Operations Manual for each dealer (§.03).
F. The Authority shall assure that each dealer has procedures to assure that no shellstock which has
not been depurated is removed from the depuration facility without the direct supervision of the
Authority.

Requirements for the Dealer

.01 Critical Control Points.

A. Receiving Critical Control Point - Critical Limits. The dealer shall receive and depurate only
shellstock which is:
(1) Obtained from a licensed harvester who has:
(a) Harvested the shellstock from an Approved or Conditionally Approved area in the
open status as indicated by the tag; [C] and
(b) Identified the shellstock with a tag on each container or transaction record on each
bulk shipment; [C] and
(2) Originates from a dealer who has identified the shellstock with a tag on each container or
transaction record with each bulk shipment; [C] and
(3) Obtained from a special licensed harvester who has:

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(a) Harvested or supervised the harvest of shellstock from a Restricted or Conditionally

Restricted area in the open status; [C] and
(b) Identified the shellstock by transaction records which include the harvest area, the
special-licensed harvester's name, harvester license number(s), the harvest date, and the
amount of shellstock shipped in each lot. [C]
B. Processing Critical Control Points - Critical Limits. The dealer shall assure that:
(1) All depuration lots are treated for a minimum of 44 hours; [C] and
(2) The water treatment system is operating to design specifications; [C] and
(3) All critical limits established during verification of the specific depuration process are
being met. [C]
C. Finished Shellstock Storage Critical Control Point - Critical Limits. The dealer shall assure that:
(1) If wet storage in artificial bodies of water is practiced, water quality meets the
requirements outlined in Chapter X.08; [C] and
(2) Once placed under temperature control while in the possession of the dealer, shellstock
shall be:
(a) Iced; [C] or
(b) Placed in a storage area or conveyance maintained at 45 °Fahrenheit (7.2 °Centigrade)
or less; [C] and
(c) Not permitted to remain outside temperature control for more than 2 hours at points of
transfer such as loading docks. [C]

.02 Sanitation

A. Safety of Water for Processing and Ice Production

(1) Water Supply.
(a) Dealers shall provide a potable water supply in accordance with applicable federal,
state and local regulations. [C]
(b) If the water supply is from a private source, the dealer shall make arrangements to
have the water supply sampled by persons recognized by the Authority and tested at
laboratories sanctioned or certified by the Authority: [K]
(i) Prior to use of the water supply; [C]
(ii) Every six months while the water supply is in use; [K] and
(iii) After any water supply has been repaired and disinfected. [SC/K]
(2) Ice production. Any ice used in the processing or storage of shellfish shall:
(a) Be made on-site from potable water in a commercial ice machine; [C] or
(3) Shellstock washing
(a) Water from either a potable water supply, a growing area in the approved
classification, a saltwater well approved by the authority, or the restricted area at the time
and place of harvest, shall be used to wash shellstock. [C]
(b) If the dealer uses any system to wash shellstock which recirculates water, the dealer
shall:
(i) Obtain approval for the construction or remodeling of the system from the
Authority; [K]
(ii) Provide a water treatment and disinfection system to treat an adequate quantity of
water to a quality acceptable for shellstock washing, which, after disinfection, meets
the coliform standards for drinking water; and does not leave any unacceptable
residues in the shellstock; [C]
(iii) Test wash water daily for bacteriological water quality; [SC/K]
(iv) Clean, service, and test disinfection units at the frequency necessary to ensure
effective disinfection. [K]

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(c) The dealer may use ultra-violet (UV) disinfection in his recirculating wash water
system, provided that the turbidity of the water to be disinfected:
(i) shall not exceed 20 nephelometric turbidity units (NTUs); [K] and
(ii) Is measured using the method in the APHA Standard Methods for the
Examination of Water and Wastewater. [K]
(d) Food contact plumbing which is designed and installed to permit effective cleaning
and sanitization shall be used. [C]
(4) Depuration Process Water. The dealer shall:
(a) Continuously treat process water with a disinfection system approved by the
Authority that does not leave any unacceptable residue in the shellstock; [C] and
(b) Verify that the disinfection system produces process seawater with no detectable
coliform organisms as measured using an NSSP approved method in the tank influent
according to the following sampling protocols.
(i) If the source water is an approved growing area, approved well, or other approved
source, then the tank influent produced by each disinfection unit is evaluated once
per process batch; [C]
(ii) If the source water is a restricted growing area, then:
a. A study meeting the requirements of Chapter VII. 04. C. is required; [C]
b. The tank influent produced by each disinfection unit is evaluated daily; [C]
and
c. Source water prior to final disinfection must meet the water quality criteria for
restricted for depuration in accordance with Chapter IV.02. G-H. [C]
(iii) If the source water is a recirculating water system, then:
a. A study meeting the requirements of Chapter VII. 04. C. [C] is required; and
b. The tank influent produced by each disinfection unit is verified daily. [C]
c. A prohibited growing area may not be used for source water. [C]
(5) Plumbing and Related Facilities.
(a) The dealer shall design, install, modify, repair, and maintain all plumbing and
plumbing fixtures to:
(i) Prevent contamination of water supplies; [C] and
(ii) Prevent any cross-connection between the pressurized potable water supply and
water from an unacceptable source. [C] The dealer shall install and maintain in good
working order devices to protect against backflow and back siphonage. [K]
(b) Depuration Plant Design and Construction. The dealer shall ensure that:
(i) Depuration tanks, processing containers, and piping are fabricated from non-toxic
corrosion-resistant materials and are easily cleanable; [K]
(ii) Depuration tank design, hydraulics, and typical container configuration are such
that process water is evenly circulated throughout all the shellfish containers within a
given tank; [K]
(iii) Shellfish containers allow process water to flow freely and uniformity to all
shellfish within each container. [K]
(6) Depuration unit
(a) Depuration unit including depuration tanks, all reservoir tanks, and related piping
shall be fabricated from safe materials, and depuration unit construction is such that it:
(i) Is easily accessible for cleaning and inspection; [K]
(ii) Is self-draining; [K] and
(iii) Meets the requirements for food contact surfaces. [K]

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Additional Guidance - Section IV Guidance Documents

Chapter III Harvesting, Handling, Processing, and Distribution .01 Shellfish Industry
Equipment Guide

B. Condition and Cleanliness of Food Contact Surfaces.

(1) Equipment and utensil construction for food contact surfaces.

(a) Except for equipment in continuous use and placed in service prior to January 1,
1989, the dealer shall use only equipment which conforms to Shellfish Industry
Equipment Construction Guides (August 1993), U.S. Department of Health and Human
Services. [K]
(b) The dealer shall use only equipment and utensils, including approved plastic ware
which is:
(i) Constructed in a manner and with materials that can be cleaned, sanitized,
maintained or replaced in a manner to prevent contamination of shellfish
products; [K]
(ii) Free from any exposed screws, bolts, or rivet heads on food contact surfaces [K]
and
(iii) Fabricated from food grade materials.[K]
(c) The dealer shall assure that all joints on food contact surfaces:
(i) have smooth easily cleanable surfaces; [K] and
(ii) are welded. [K]
(d) All equipment used to handle ice shall be kept clean and stored in a sanitary manner,
and shall meet the construction requirements in §.02 B (1) (a), (b), and (c). [K]
(e) Shellstock washing tanks and related plumbing shall be fabricated from safe
materials.
(i) Is easily accessible for cleaning and inspection: [K]
(ii) Meets requirements for food contact surfaces [K]
(2) Cleaning and sanitizing of food contact surfaces.
(a) Food contact surfaces of the depuration units, equipment and containers shall be
cleaned and sanitized to prevent contamination of shellstock and food contact surfaces.
The dealer shall:
(i) Provide applicable adequate cleaning supplies and equipment, brushes, detergents,
and sanitizers, hot water and pressure hoses. [K]
(ii) Wash, rinse and sanitize equipment prior to the start-up of each day's activities
and following any interruption during which food contact surfaces may have been
contaminated; [K]
(b) Containers which may have become contaminated during storage shall be properly
washed, rinsed and sanitized prior to use or are discarded. [K]
(c) Shellstock depuration tanks shall be cleaned and sanitized on a regular schedule as
part of a plant sanitation standard operating procedure. [K]
B. Prevention of Cross Contamination.
(1) Protection of shellfish.
(a) Shellstock shall be stored in a manner to protect shellstock from contamination in dry
storage and at points of transfer. [SC/K]
(b) Shellstock shall not be placed in containers with standing water for the purposes of
washing shellstock or loosening sediment; [K]
(2) Separation of Operations: Manufacturing activities which could result in the
contamination of the shellstock shall be separated by adequate barriers. [K]

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(3) Employee practices.

(a) The dealer shall require all employees to wash their hands thoroughly with soap and
water and sanitize their hands in an adequate hand washing facility:
(i) Before starting work; [K]
(ii) After each absence from the work station; [K]
(iii) After each work interruption; [K] and
(iv) Any time when their hands may have become soiled or contaminated. [K]
(b) In any area where shellfish are stored and in any area which is used for the cleaning
or storage of utensils, the dealer shall not allow employees to:
(i) Store clothing or other personal belongings [O]
(ii) Eat or drink; [K]
(iii) Spit; and [K]
(iv) Use tobacco in any form. [K]
C. Maintenance of Hand Washing, Hand Sanitizing and Toilet Facilities
(1) Hand washing facilities with warm water at a minimum temperature of 100 °F (37.8 °C),
dispensed from a hot and cold mixing or combination faucet, shall be provided; [SK/O]
(2) Handwashing facilities shall be provided which are:
(a) Convenient to work areas; [O]
(b) Separate from the three compartment sinks used for cleaning equipment and utensils;
[K]
(c) Directly plumbed to an approved sewage disposal system, and [SK/O]
(d) Adequate in number and size for the number of employees, and located where
supervisors can observe employee use; [K]
(3) The dealer shall provide at each handwashing facility;
(a) Supply of hand cleansing soap or detergent; [K]
(b) Conveniently located supply of single service towels in a suitable dispenser or a hand
drying device that provides heated air; [O]
(c) Easily cleanable waste receptacle; and [O]
(d) Handwashing signs in a language understood by the employees; [O]
(4) Sewage [C] and liquid disposable wastes [K] shall be properly removed from the facility.
(5) The dealer shall provide:
(a) Toilet room doors that are tight fitting, self closing, and do not open directly into a
processing area; [K]
(b) An adequate number of conveniently located toilets. [K]
(c) Each toilet facility with an adequate supply of toilet paper [K] in a suitable
holder. [SK/O]
D. Protection from Adulterants.
(1) Shellstock shall be protected from contamination while being transferred from one point
to another during handling and processing; [K]
(2) Any lighting fixtures, light bulbs, skylights, or other glass suspended over food storage or
processing activities in areas where shellstock are exposed shall be of the safety type or
protected to prevent food contamination in case of breakage. [O]
(3) Conveyances or devices used to transport shellstock shall be constructed, maintained and
operated to prevent contamination of the shellstock. If overhead monorails or conveyors are
used, the dealer shall take precautions to assure that hydraulic fluids or lubricants do not leak
or drip onto the shellstock or conveyance surfaces. [K]
(4) Adequate ventilation shall be provided to minimize condensation in areas where shellfish
are stored, processed or packed. [SK/C]
(5) Shellstock packing activities shall be conducted to provide adequate protection from
contamination and adulteration. [K]
(6) Protection of ice used in shellstock shipping.
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(a) Any ice which is not made on-site in the depuration facility shall be inspected upon
receipt and rejected if the ice is not delivered in a way so as to be protected from
contamination. [SC/K]
(b) Ice shall be stored in a safe and sanitary manner to prevent contamination of the
ice. [SC/K]
(c) Any ice used in the processing, storage, or transport of shellstock shall come from a
facility sanctioned by the Authority or the appropriate regulatory agency. [C]
(7) The dealer shall assure that any steam used in food processing or that comes in contact
with food contact surfaces is free from any additives, or deleterious substances consistent
with federal and state laws and regulations; [K]
(8) Air pump intakes shall be located in a protected place. Air filters shall be installed on all
blower air pump intakes. Oil bath type filters are not allowed. [O]
E. Proper Labeling, Storage and Use of Toxic Compounds.
(1) Storage of toxic compounds.
(a) The dealer shall assure that only toxic substances necessary for plant activities are
present in the facility. [K]
(b) Each of the following categories of toxic substances shall be stored separately:
(i) Insecticides and rodenticides; [K]
(ii) Detergents, sanitizers, and related cleaning agents; [K] and
(iii) Caustic acids, polishes, and other chemicals. [K]
(c) The dealer shall not store toxic substances above shellfish or food contact
surfaces. [K]
(2) Use and labeling of toxic compounds.
(a) When pesticides are used, the dealer shall apply pesticides in accordance with
applicable federal and state regulations to control insects and rodents in such a manner to
prevent the contamination of any shellfish or packaging materials with residues. [K]
(b) Cleaning compounds/supplies, detergents and sanitizing agents shall be used only in
strict accordance with the manufacturer's label instructions and all applicable federal and
state laws and regulations. [K]
(c) Toxic substances shall be used only in strict accordance with the manufacturer's label
instructions. [K]
(d) Provide a test kit, strips or other device that accurately measures the parts per million
concentration of the chemical sanitizing agent in use. [K]

Additional Guidance - Section IV Guidance Documents

Chapter III.07 Guidance for Reinstating a Previously Infected Employee

F. Control of Employees with Adverse Health Conditions.

(1) The dealer and the supervisor shall take all reasonable precautions to assure that any
employee with a disease in the communicable stage which might be transmissible through
food shall be excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces. The pathogens causing diseases
which are transmissible from food workers through food are those determined by the US
Centers for Disease Control and Prevention, in compliance with the Americans with
Disabilities Act, and published in the Federal Register. These include: [K]
(a) Norovirus
(b) Hepatitis A virus,
(c) Shigella spp.,
(d) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
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(e) Salmonella typhi;

(2) All employees shall immediately report to the dealer and/or the supervisor information
about their health and activities as they relate to diseases that are transmissible through food.
All employees shall report the information in a manner that allows the dealer and/or
supervisor to reduce the risk of shellfish-borne disease transmission, including providing
necessary additional information, such as the date of onset of symptoms of an illness, or of a
diagnosis without symptoms, or if the employee: [K]
(a) Has any of the following symptoms:
(i) Vomiting
(ii) Diarrhea,
(iii) Jaundice,
(iv) Sore throat with fever, or
(v) A lesion containing pus such as a boil or infected wound that is open or draining
on any part of the body, or
(b) Has an illness diagnosed by a health practitioner due to:
(i) Norovirus
(ii) Hepatitis A virus,
(iii) Shigella spp.,
(iv) Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, or
(v) Salmonella typhi;
(c) Had a previous illness, diagnosed by a health practitioner, within the past 3 months
due to Salmonella typhi, without having received antibiotic therapy, as determined by a
health practitioner;
(d) Has been exposed to, or is the suspected source of, a confirmed disease outbreak,
because the employee consumed or prepared food implicated in the outbreak, or
consumed food at an event prepared by a person who is infected or ill with:
(i) Norovirus within the past 24 hours of the last exposure:
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli or Shigella spp.
Within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure;
(iv) Hepatitis A virus within the past 30 days of the last exposure; or
(e) Has been exposed by attending or working in a setting where there is a confirmed
disease outbreak, or living in the same household as, and has knowledge about, an
individual that works or attends a setting where there is a confirmed disease outbreak or
living in the same household as, and has knowledge about, an individual diagnosed with
an illness caused by:
(i) Norovirus within the past 24 hours of the last exposure;
(ii) Enterohemorrhagic or Shiga toxin-producing Escherichia coli, or Shigella spp.
within the past 3 days of the last exposure;
(iii) Salmonella typhi within the past 14 days of the last exposure; or
(iv) Hepatitis A virus within the past 30 days of the last exposure.
(3) If an employee with an infected wound protects the lesion by keeping it covered with a
proper bandage, a dry, durable, tight-fitting impermeable barrier, and a single-use glove for a
hand lesion, the dealer and/or supervisor may allow the employee to work in the shellfish
processing facility without additional restrictions. [K]
(4) The dealer shall notify the State Shellfish Control Authority and Health Department when
notified by an employee of a diagnosis or exhibits symptoms of hepatitis, and shall ensure that
the employee is excluded from working in any capacity in which the employee may come in
contact with the shellfish or with food contact surfaces or that may transmit the illness to
other employees. [K]

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G. Exclusion of Pests. The dealer shall operate his facility to assure that pests are excluded from his
facility and his activities. Animals shall not be allowed in those portions of the facilities where
shellfish are stored, handled, processed, or packaged or where food handling equipment, utensils,
and packaging materials are cleaned and stored. [K]

.03 Other Model Ordinance Requirements

A. Plants and Grounds.

(1) General
(a) The physical facilities shall be maintained in good repair. [O]
(2) Flooding.
(a) Facilities in which shellstock are stored, packed, or repacked shall be located so that
these facilities are not subject to flooding during ordinary high tides. [C]
(b) If facilities are flooded:
(i) Shellstock processing or repacking activities shall be discontinued until the
floodwaters have receded from the building; and the building is cleaned and
sanitized. [C]
(ii) Any shellstock coming in contact with the floodwaters while in storage shall be
destroyed; or discarded in non-food use. [C]
(3) The dealer shall operate his/her facility to provide adequate protection from
contamination and adulteration by assuring that dirt and other filth are excluded from the
facility and activities. [SC/K]
(4) The dealer shall employ necessary internal and external insect and vermin control
measures to insure insects and vermin are not present in the facility.
(a) Tight fitting, self closing doors; [K]
(b) Screening of not less than 15 mesh per inch; [K] and
(c) Controlled air current. [K]
(5) Plant Interior.
(a) Sanitary conditions shall be maintained throughout the facility. [O]
(b) Interior surfaces are kept in good repair. [O]
(c) All dry area floors are hard, smooth, easily cleanable and in good repair; [O] and
(d) All wet area floors used in areas to store shellstock, food processing, and cleaning
equipment are constructed of easily cleanable, impervious, and corrosion resistant
materials which:
(i) Are graded to provide adequate drainage; [O]
(ii) Have even surfaces, and are free from cracks that create sanitary problems and
interfere with drainage; [O] and
(iii) Have sealed junctions between floors and walls to render them impervious to
water. [O]
(e) Walls and ceilings. Interior surfaces of rooms where shellstock are stored, handled,
processed, or packaged and food handling equipment and packaging materials shall be
constructed of easily cleanable, corrosion resistant, impervious and light colored
materials. [O]
(6) Grounds around the facility shall be maintained to be free from conditions which may
result in shellfish contamination. These conditions may include:
(a) Rodent attraction and harborage; [O]
(b) Inadequate drainage. [O]
B. Plumbing and Related Facilities.
(1) All plumbing and plumbing fixtures shall be properly designed, installed, modified,
repaired, and maintained. The water system shall provide an adequate quantity of water under
pressure, and includes cold and warm water at all sinks. [K]
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(2) Adequate floor drainage, including backflow preventers such as air gaps, shall be
provided where floors are:
(a) Used in shellstock storage; [K]
(b) Used for food holding units (e.g. refrigeration units); [K]
(c) Cleaned by hosing, flooding, or similar methods; [K] and
(d) Subject to the discharge of water or other liquid waste, including, if applicable, three
compartment sinks, on the floor during normal activities; [K]
(3) A safe, effective means of sewage disposal for the facility shall be provided in accordance
with applicable federal and state laws and regulations; [SC/K]
(4) Installation of drainage or waste pipes over processing or storage areas, or over areas in
which containers and utensils are washed or stored shall not be permitted. [K]
(5) Shellstock washing storage tanks and related plumbing shall be fabricated from safe
materials such that it:
(a) Is easily accessible for inspection. [K]
(b) Is self draining. [K]
C. Utilities.
(1) The dealer shall ensure that ventilation, heating, or cooling systems do not create
conditions that may cause the shellfish products to become contaminated. [SC/K]
(2) The dealer shall provide lighting throughout the facility that is sufficient to promote good
manufacturing practices. [SC/K]
D. Disposal of Wastes.
(1) Disposal of waste materials shall be conducted in accordance with appropriate federal and
state laws and regulations. [O]
(2) All areas and receptacles used for the storage or conveyance of waste shall be operated
and maintained to prevent attraction, harborage, or breeding places for insects and
vermin. [O]
E. Equipment Condition, Cleaning, Maintenance and Construction of Non-food Contact Surfaces.
(1) The dealer shall use only equipment which is constructed in a manner and with materials
that can be cleaned, sanitized, maintained or replaced in a manner to prevent contamination
of shellstock. [O]
(2) The dealer shall use easily cleanable, corrosion resistant, impervious materials, free from
cracks, to construct any non-food contact surfaces in shellfish storage or handling areas. [O]
(3) Cleaning activities for the depuration unit and equipment shall be conducted in a manner
and at a frequency appropriate to prevent contamination of shellstock and food contact
surfaces. [K]
(4) All conveyances and equipment which come into contact with stored shellstock shall be
cleaned and maintained in a manner and frequency as necessary to prevent shellstock
contamination. [O]
F. Shellstock Storage and Handling.
(1) The dealer shall assure that shellstock is:
(a) Reasonably free of sediment; [O] and
(b) Culled. [K]
(2) Shellstock shall be stored in a protected location which assures complete and rapid
drainage of water away from the shellstock by:
(a) Placing shellstock at an adequate height off the floor; [K] or
(b) Grading the floor. [O]
(3) Any mechanical refrigeration equipment used for shellstock storage shall be adequate in
size and are equipped with:
(a) An automatic temperature regulating control; [K] and
(b) Installed thermometers to accurately measure temperature within the storage
compartments. [K]
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(4) Inspect incoming shipments and shall reject dead or inadequately protected
shellstock. [K]
(5) Ensure that separate dry storage facilities are provided for depurated and undepurated
shellfish. [K]
(6) Cull and wash the shellstock prior to loading into the depuration tanks. This process may
occur before the shellstock is received at the facility by;
(a) Licensed harvester(s) at the harvest site; [K] or
(b) Certified dealer(s) at their certified facility. [K]
(7) Assure that culled shellfish are destroyed or disposed of in such a manner as to prevent
their use for human food. [K]
(8) Transport, store, and handle shellstock so that:
(a) Shellstock potential for normal physiological activity during depuration is not
compromised; [K] and
(b) Shellstock quality is not degraded. [K]
(9) Assure that different harvest lots of shellfish are not commingled during washing, culling,
processing, or packing. If more than one harvest lot of shellfish is being processed at the
same time, the identity of each harvest lot is maintained throughout the stages of
depuration. [K]
(10) Wash and cull shellstock after depuration and pack the shellstock in clean shipping
containers fabricated from safe materials. [K]
(11) Depurated packaged shellstock shall be protected from contamination at all times and be
held at an ambient temperature not to exceed 45 °Fahrenheit (7.2 °Centigrade). [K]
G. Heat Shock. N/A
H. Supervision.
(1) A reliable, competent individual shall be designated to supervise general plant
management and activities; [K]
(2) Cleaning procedures shall be developed and supervised to assure cleaning activities do
not result in contamination of shellstock or food contact surfaces. [K]
(3) All supervisors shall be:
(a) Trained in proper food handling techniques and food protection principles; [K] and
(b) Knowledgeable of personal hygiene and sanitary practices. [K]
(4) The dealer shall require:
(a) Supervisors to monitor employee hygiene practices, including handwashing, eating,
smoking and/or storing personal items and clothing at work stations. [K]
(b) Supervisors to assure that proper sanitary practices are implemented, including:
(i) Plant equipment clean up; [K]
(ii) Rapid product handling; [K] and
(iii) Shellstock protection from contamination. [K]
(c) Supervisors shall not allow unauthorized persons in those portions of the facility
where shellfish are processed, handled, stored or packaged or where food handling
equipment, utensils, and packaging materials are cleaned or stored. [K]
(d) Employees
(i) shall be trained in proper food handling and personal hygiene practices, [K] and
(ii) shall report any symptoms of illness to their supervisor. [K]
I. Plant Operations Manual. The dealer shall prepare a written Depuration Plant Operations Manual
(DPOM) according to Minimum Requirements of a Depuration Plant Operations Manual (below);
and update the DPOM as necessary. A copy of the DPOM shall be kept in a location readily
accessible to the trained personnel responsible for the depuration activity. The minimum
requirements for a Depuration Plant Operations Manual shall address:
(1) Introduction including;
(a) Status of document (to create, revise, or update DPOM);
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(b) Ownership and principal(s) involved with operation of facility;

(c) Address and phone number of owners and principles; and
(d) Summary of proposed use of the depuration facility including statement of objectives
of the operation of the plant, species to be processed, proposed periods of facility
operation, proposed sources of shellfish, including potential harvest areas, and maximum
capacity of plant.
(2) Description of the Facility including;
(a) Site plan drawings;
(b) Facility layout including detailed schematic of the entire depuration system;
(c) Schematic drawing of process;
(d) Product flow diagram showing product movement through facility (may be combined
with §01.B.(3);
(e) Statement that construction materials and fabrication will meet the requirements of
§.03.E. (1) and (2); and
(f) Schematic of seawater delivery and distribution system.
(3) Design Specifications of Depuration Unit including;
(a) Depuration tank diagram including tank dimensions and construction details, influent
and effluent locations, operating water level, and typical container configuration;
(b) Process water system describing type of system (flow-through or recirculating),
pretreatment and filtration systems, disinfection system, and hydraulic schematic;
(c) Shellfish containers construction and material meets §.04 and §.08 of this Chapter;
and
(d) List of equipment including washing, culling, and packing equipment, material
handling equipment, and cleaning and sanitation equipment.
(4) Laboratory to be utilized for microbial analyses (in house, government agency, private
commercial);
(5) Depuration process monitoring including:
(a) Sampling protocols including frequency of sampling, number of samples, sampling
locations, and methodology for process water analyzing, incoming shellstock, depurated
shellstock, and growing waters;
(b) Monitoring equipment maintenance and calibration procedures and copy of activity
log forms that will be used for data entry;
(c) Process water monitoring protocol for physical and chemical parameters; and
(d) Data analysis and evaluation.
(6) Standard Operating Procedure for:
(a) Receiving and holding;
(b) Washing, culling, and placement of undepurated product in process tanks;
(c) Depuration unit operation;
(d) Monitoring of depuration unit operation;
(e) Removal of depurated product from process tanks;
(f) Storage parameters and procedures;
(g) Labeling/tagging procedures;
(h) Plant cleaning and sanitation; and
(i) Data analysis.
(j) Recall procedures.
(7) Record Keeping. List categories of information that will be recorded. Include copies of
proposed forms to be used in each category. A single form may be used for several categories
if properly designed.
(a) Shipping and receiving records;
(b) Plant Operation Log, including provisions for recording the values for chemical and
physical parameters;
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(c) Maintenance and Sanitation Log(s);

(d) Laboratory records;
J. Process Verification.
The Dealer shall continually:
(1) Routine Verification. Perform process verification on a continuous basis according to the
following protocol:
(a) Following completion of a minimum of 44 hours of depuration, collect and assay at
least one end-product sample;
(i) from each lot of restricted shellstock to be depurated in the depuration unit.
(ii) weekly from each lot of approved shellfish to be depurated in the depuration unit.
(b) Determine daily, or as results become available, the depuration performance indices
defined as the geometric mean and 90th percentile of fecal coliform (FC) from assay data
of the most recent ten (10) consecutive harvest lots for each species depurated and for
each harvest area used.
(c) Compare daily, or as a results become available, the depuration performance indices
with the following Critical Limits for the Indices of Depuration Plant Performance.

Limits for Verification of Depuration Plant Performance

Fecal coliform per 100 grams
Species Geometric Mean 90th Percentile
Soft Clams (Mya arenaria) 50 130
Hard Clams (Mercenaria mercenaria) 20 70
Oysters 20 70
Manilla Clams 20 70
Mussels 20 70

(d) If the depuration performance indices for a specific species from a specific growing
area are less than or equal to the above Critical Limits for the Indices of Depuration Plant
Performance, then the process is considered verified for that species from that growing
area.
(e) For the purpose of making calculations, fecal coliform counts that signify the upper or
lower limit of sensitivity of the test (MPN or ETCP) shall be increased or decreased by
one significant figure. Thus, <9.0 becomes 8.9, <17 becomes 16 and >248 becomes 250.
Individual plates which are too numerous to count (TNTC) are considered to have >100
colonies per plate. A sample containing "TNTC" plates is collectively rendered as having
a count of 10,000.
(2) Conditional Protocol Verification. If the depuration performance indices for a specific
growing area fail to meet the Critical Limits for the Indices of Depuration Plant Performance,
or if a new restricted growing area is used as a source of shellfish for depuration, or if a new
depuration process has generated less than 10 process batches of data, the process is
considered to be unverified and the dealer shall adhere to the following conditional protocols:
(a) The depuration processor shall collect and assay at least one zero hour and three end-
product samples from each harvest lot;
(b) Environmental parameters including process water temperature, salinity, dissolved
oxygen, and turbidity and/or other operational conditions may inhibit the physiological
process and must be identified. The condition(s), once identified and quantified, become
critical control points (CCP) for specific species in the specific plant and the hazard
analysis and HACCP plan shall be revised accordingly;
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(c) Shellstock which are processed during this conditional protocol must meet the
following release criteria before they may be released to market:
(i) Geometric mean (from three samples) of soft clams not to exceed 110 and no
single sample to exceed 170; or
(ii) Geometric mean (from three samples) of other clam species, mussels, or oysters
not to exceed 45 and no single sample to exceed 100.
(d) If the harvest lot fails to meet the release criteria, the depuration processor may
choose to subject the product to additional depuration processing whereupon the shellfish
can be resampled for release criteria or the disposition of the shellfish shall be as follows:
(i) The Authority, in consultation with the depuration processor, may order the
destruction of the shellfish; or
(ii) The Authority, in consultation with the depuration processor, may allow non-food
use of the shellfish; or
(iii) The Authority, in consultation with the depuration processor, may allow the
shellfish to be relayed in accordance with Chapter V.
(e) When in Conditional Protocol Verification due to a failure of an established harvest
area to meet the above Indices for Depuration Plant Performance, determine daily, or as
results become available, the depuration performance indices defined as the geometric
mean and 90th percentile of fecal coliform (FC) from assay data of the most recent ten
(10) consecutive end product samples for each species depurated and for each harvest
area used
(i) Compare these depuration performance indices with the above Critical Limits for
the Indices of Depuration Plant Performance for this species.
(ii) If these depuration performance indices are less than or equal to the above
Critical Limits for the Indices of Depuration Plant Performance for this species, the
process is then considered to be verified for this species from this particular harvest
area; and the process reverts to the Process Verification protocol in XV§.03 J. (1).
(iii) If either the geometric mean or the 90th percentile values exceed the above
Critical Limits for the Indices of Depuration Plant Performance for this species, the
process shall remain in Conditional Protocol Verification for this species from this
particular harvest area until the above Indices of Depuration Plant Performance are
attained.
(f) When in Conditional Protocol Verification due to the use of a new harvest area as the
source of shellfish or if a new depuration process has generated less than 10 process
batches of data, determine daily, or as results become available, the depuration
performance indices defined as the geometric mean and 90th percentile of fecal coliform
(FC) from assay data of the most recent ten (10) consecutive harvest lots for each species
depurated and for each harvest area used.
(i) Compare these depuration performance indices with the above Critical Limits for
the Indices of Depuration Plant Performance for this species.
(ii) If these depuration performance indices are less than or equal to the above
Critical Limits for the Indices of Depuration Plant Performance for this species, the
process is then considered to be verified for this species from this particular harvest
area; and the process reverts to the Process Verification protocol in §XV.03 J. (1).
(iii) If less than 10 process batches of data have been collected or either the
geometric mean or the 90th percentile values exceed the above Critical Limits for the
Indices of Depuration Plant Performance for this species, from this particular harvest
area, the process shall remain in Conditional Protocol Verification for this species
from this particular harvest area until 10 batches of data have been collected and the
above Indices of Depuration Plant Performance are attained.

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(3) When depuration units with multiple tanks are used, it is necessary to determine whether
the individual tanks are similar.
(a) Tanks are considered similar if the difference between physical tank dimensions and
process water flow rate is less than 10%.
(b) If they are not similar, then the process verification protocols contained in Section .03
J. (1) - (2) must be employed for each tank.
(4) The dealer shall ensure that all microbiological assays of end-point samples of shellstock:
(a) Are analyzed by a laboratory which has been evaluated and approved pursuant to the
requirements in Chapter III, using an NSSP-approved method;
(b) Sample size consists of a pool of at least 12 shellfish selected at random from each
designated container (more than 12 individuals may be required in the case of smaller
shellfish); and
(c) Samples are collected at locations within the depuration unit that are considered to be
most compromised as regards shellfish activity, based on the sampling plan contained in
the Depuration Plant Operations Manual.

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Section II. Model Ordinance

Chapter XVI. Post Harvest Processing Page 1 of 2

Post-Harvest Processing

A. If a dealer elects to use a process to reduce the level(s) of one target pathogen or some target
pathogens, or all pathogens of public health concern in shellfish, and wishes to make labeling
claims regarding the reduction of pathogens, the dealer shall:
(1) Have a HACCP plan approved by the Authority for the process that ensures that the target
pathogen(s) are at safe levels for the at risk population in product that has been subjected to
the process. The HACCP Plan shall include:
(a) Process controls to ensure that the end point criteria are met for every lot; and
(b) A sampling program to periodically verify that the end point criteria are met.
(c) Analytical results used for validation and verification of a PHP shall come from an
analytical laboratory that is evaluated by the State and/or FDA and found to be in
compliance with applicable NSSP laboratory requirements.

Additional Guidance - Section IV Guidance Documents

Chapter [Link] Areas. 10 Approved NSSP Laboratory Tests

(2) Validate the process by demonstrating that the process will reliably achieve the
appropriate reduction in the target pathogen(s). The process shall be validated by a study as
outlined in Guidance Documents Chapter IV, Naturally Occurring Pathogens, Section .04 and
be approved by the Authority, with concurrent of FDA.
(a) The dealer must demonstrate that the process reduces the level of Vibrio vulnificus
and/or Vibrio parahaemolyticus in the process to non-detectable (<30MPN/gram) and the
process achieves a minimum 3.52 log reduction. Determination of V. vulnificus and/or V.
parahaemolyticus levels must be done using the MPN protocols described in Guidance
Documents, Chapter IV, Naturally Occurring Pathogens, Section .04 followed by
confirmation using methods approved for use in the NSSP.
(b) For processes that target other pathogens the dealer must demonstrate that the level of
those pathogens in processed product has been reduced to levels below the appropriate
FDA action level, or, in the absence of such a level, below the appropriate level as
determined by the ISSC.
(3) Conduct verification sampling to verify that the validated process is working properly.
Verification sampling shall be at least equivalent to the verification protocol found in
Guidance Documents, Chapter IV, Naturally Occurring Pathogens, Section .04 as determined
by the Authority and shall be reviewed annually by the Authority.
(4) Package and label all shellfish in accordance with all requirements of this Ordinance.
This includes labeling all shellfish which have been subject to the process but which are not
frozen in accordance with applicable shellfish tagging and labeling requirements in Chapter
X.05 and X.06.
(5) Keep records in accordance with Chapter X.07.
B. A dealer who meets the requirements of this section may label product that has been subjected to
the reduction process as:
(1) "Processed for added safety", if the process reduces the levels of all pathogens of public
health concern to safe levels for the at risk population;

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(2) "Processed to reduce [name of target pathogen(s)] to non-detectable levels," if the process
reduces one or more, but not all, pathogens of public health concern to safe levels for the at
risk population, and if that level is non-detectable; or
(3) "Processed to reduce [name of target pathogen(s)] to non-detectable levels for added
safety," if the process reduces one or more, but not all, pathogens of public health concern to
safe levels for the at risk population, and if that level is non-detectable; or
(4) A term that describes the type of process applied (e.g. "pasteurized," "individually quick
frozen," "pressure treated") may be substituted for the word "processed" in the options
contained in (B) (1)-(3).
C. For the purposes of refrigeration, if the product is dead, the product shall be treated as shucked
product. If the product is live, the product shall be treated as shellstock.

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Section III. Public Health Reasons and Explanations Page 1 of 47

Introduction

Oysters, clams, and mussels are unique foods that have been enjoyed by consumers for many years. The
popularity of shellfish as a food can be traced through several centuries of American history. The value of
these renewable natural resources to the early settlers was reflected in colonial legislation designed to
encourage their wise use.

Public health controls of shellfish became a national concern in the U.S. in the late 19th and early 20th
century when public health authorities noted a large number of illnesses associated with consuming raw
oysters, clams, and mussels. During the winter of 1924, there occurred a widespread typhoid fever
outbreak, which resulted in a request that the Surgeon General of the United States Public Health Service
develop necessary control measures to ensure a safe shellfish supply to the consuming public. In
accordance with this request, the Surgeon General called a conference, which was held in Washington,
D.C., on February 19, 1925.

The members of the conference recommended eight resolutions for the sanitary control of the oyster
industry, which formed the basis for development of the National Shellfish Sanitation Program. The
conference also established a committee to develop further necessary guidelines to recommend practices
for the sanitary control of the shellfish industry.

The basic concepts in formulating a program of national public health controls were reiterated by the
Surgeon General in his letter of August 12, 1925, to State health officers and all others concerned. This
letter set forth the following understandings:

1. "The Public Health Service considers that the responsibility for the sanitary control of the
shellfish industry rests chiefly upon the individual States; and that the requisite coordination and
uniformity of control may best be achieved by mutual agreement among the States, with the
assistance and cooperation of the Public Health Service..."
2. "In accordance with this principle, it is considered that each producing State is directly
responsible for the effective regulation of all production and handling of shellfish within its
confines, not merely for the protection of its own citizens, but equally for safeguarding such of its
product as goes to other States..."
3. "In order that each state may have full information concerning the measures carried out in other
States, the Public Health Service will undertake systematic surveys of the machinery and
efficiency of sanitary control as actually established in each producing State, and will report
thereon for the information of the authorities of other States. It is believed that, in addition to
furnishing valuable information, these reports will have an important influence in stimulating the
development of better sanitary control and in promoting substantial uniformity on a higher
plane." "The officers of the Public Health Service assigned to this survey work will assist the
State agencies in determining their sanitary problems, in formulating plans for adequate sanitary
control, and in making actual sanitary surveys as far as practicable."
4. "In addition to the above, the Public Health Service will continue to extend the services which it
is already rendering, especially in conducting scientific investigations of fundamental importance
to control, and in serving as a clearinghouse for the interchange of information and the discussion
of policies between State authorities."

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To implement this program, the members of the 1925 conference agreed that the producing states would
issue "Certificates," i.e., a permit to operate, to shellfish shippers that met agreed upon sanitary standards.
The Public Health Service would serve as a clearinghouse for information on the effectiveness of the
State control programs.

The procedures used by the Public Health Service in fulfillment of its obligations under the Public Health
Service Act resulted from an understanding that implementation and enforcement of the necessary public
health controls could best be accomplished under State laws with federal technical support and industry
participation. The National Shellfish Sanitation Program is dependent entirely upon the States adopting
the recommended requirements and the cooperative and voluntary efforts of State regulatory agencies and
the shellfish industry.

The NSSP went beyond the original objective set forth in the 1925 Conference of insuring that shellfish
shipped interstate would not be the cause of communicable disease. In the 1940's paralytic shellfish
poison became a matter of public health concern and steps were taken to protect the public against this
hazard. In 1957 it was recognized that shellfish might concentrate certain radionuclides and that a
radiation surveillance activity might become a necessary addition to the established procedures. In the
1960's and 1970's it became apparent that shellfish have the ability to concentrate poisonous and
deleterious substances such as metals, pesticides, hydrocarbons, etc. to potentially unsafe levels. To
ensure the safety of shellfish, the State must supervise the growing, harvesting, relaying and
transportation of shellfish. It is also important that shellfish be protected against contamination.

If State supervision is to be effective, the activity must be supported by legal authority. This authority
may be either a specific law or a regulation. The success with which the State is able to regulate the
several components of the shellfish industry provides a measure of the adequacy of the statutory
authority. The unique nature of shellfish as a food consumed whole and raw also makes it necessary for
the State shellfish control agency to have authority to take immediate emergency action without recourse
to lengthy administrative procedures, to halt harvesting and processing of shellfish. This authority should
include placing restrictions on harvesting on the basis of a potential as well as an actual public health
hazard. As examples, a State may find it necessary to close a shellfish growing area following a
breakdown of a wastewater treatment plant or the unexpected finding of marine toxin(s), or when a
growing area is implicated in confirmed illnesses.

Periodic revisions of State shellfish laws or regulations may be necessary to cope with new public health
hazards and to reflect new knowledge. Examples of changes or developments which have called for
revision of State laws include: (1) the increased use of pleasure boats with the resulting probability of
contamination of shellfish growing areas with fresh untreated fecal material, (2) the conditionally
approved area concept resulting from the construction of wastewater treatment facilities, (3) the effect of
non-point source pollution, and (4) the ability of shellfish to concentrate certain radionuclides and
hazardous chemicals. Experience has demonstrated that all actual and potential shellfish growing waters
of the State must be classified by their sanitary suitability for shellfish harvesting. Harvesting should be
permitted only from those areas that have been found by sanitary survey to meet the criteria of this
Manual. Harvesting should accordingly be specifically prohibited from areas which do not meet the
criteria, or which have not been surveyed, or which have outdated survey information.

The National Shellfish Sanitation Program (NSSP) is the federal/state cooperative program recognized by
the U.S. Food and Drug Administration (FDA) and the Interstate Shellfish Sanitation Conference (ISSC)
for the sanitary control of shellfish produced and sold for human consumption. The purpose of the NSSP
is to promote and improve the sanitation of shellfish (oysters, clams, mussels and scallops in any form,
except when the final product form is the adductor muscle only) moving in interstate commerce through
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federal/state cooperation and uniformity of State shellfish programs. Participants in the NSSP include
agencies from shellfish producing States, FDA, and the shellfish industry. Under international agreements
with FDA, foreign governments also participate in the NSSP. Other components of the NSSP include
program guidelines, State growing area classification and dealer certification programs, and FDA
evaluation of State program elements.

In 1984, the FDA entered into a Memorandum of Understanding (MOU) with the Interstate Shellfish
Sanitation Conference recognizing the ISSC as the primary voluntary national organization of State
shellfish regulatory officials that provides guidance and counsel on matters for the sanitary control of
shellfish. The purpose of the ISSC is to provide a formal structure for State regulatory authorities to
participate in establishing updated regulatory guidelines and procedures for uniform state application of
the Program. The ISSC has adopted formal procedures for state representatives to review shellfish
sanction issues and develop regulatory guidelines. Following FDA concurrence, these guidelines are
published in revision of the NSSP Model Ordinance.

The NSSP Guide for the Control of Molluscan Shellfish consists of a Model Ordinance, supporting
guidance documents, recommended forms, and other related materials associated with the Program. The
Model Ordinance includes guidelines to ensure that the shellfish produced in States in compliance with
the guidelines are safe and sanitary. The Model Ordinance provides readily adoptable standards and
administrative practices necessary for the sanitary control of molluscan shellfish.

Chapter I. Shellfish Sanitation Program

Requirements for the Authority

@01. Administration

A. Scope. Because shellfish can be contaminated either in the growing area before harvest or during
activities involved in harvesting, processing, distribution, or shipping, State laws or regulations must
provide an adequate legal basis for sanitary control of all of these phases of handling shellfish. This legal
authority must enable one or more departments or agencies of the state to regulate and supervise the
classification of growing areas, harvest, relaying and transport of shellstock at its source; the shipment,
tagging and storage of shellstock; the operation of depuration plants; and the shucking, packing, labeling
and repacking of shellfish. The State must be able to apply the NSSP requirements to every actual and
potential growing area, and to all shellfish harvesters to insure that shellfish available to certified dealers
have been produced and harvested under acceptable sanitary conditions. The state must also have the
authority to certify and suspend or revoke the certification of interstate shellfish shippers; to conduct
laboratory examinations of shellfish; to prevent the sale of unsafe shellfish or shellfish from uncertified
dealers by such legal means as detention, monetary fines, seizure, embargo and destruction; and to
suspend harvesting and certificates of interstate shippers in public health emergencies.

B. Records. States must maintain data and files that will provide evidence and demonstrate the effective
administrative management of the shellfish sanitary control program as part of their participation in the
NSSP. States must keep records in a central file to facilitate the FDA review of their shellfish sanitation
programs and must assist the FDA in making such reviews. The purpose of this FDA review is to evaluate
the adequacy of each state program in meeting the requirements of the NSSP Model Ordinance. The
maintenance of proper records, organized files and adoption of accepted public administrative procedures
provides the State control agencies with the means to conduct an effective program. The State program
should have clearly written administrative procedures to affect the controls specified in the NSSP Model
Ordinance.

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C. Shared Responsibilities. When two or more State agencies are involved in the sanitary control of the
shellfish industry, a clear statement of each agency's responsibilities should be developed in the form of a
memorandum of understanding. This administrative practice eliminates misunderstandings concerning
agency responsibility and ensures that all aspects of shared program responsibility are addressed.

D. Administrative Procedures. If state supervision is to be effective, the activity must be supported by

legal authority applied through law, regulation or appropriate administrative procedures. Periodic
revisions of state shellfish laws, regulations or administrative procedures may be necessary to cope with
new public health hazards and to reflect new knowledge. The success with which the State is able to
regulate the several components of the shellfish industry provides a measure of the adequacy of the
statutory authority.

E. Epidemiologically Implicated Outbreaks of Shellfish-Related Illness. The intrinsic risk associated

with consumption of raw or partially cooked shellfish products compels the shellfish control authority to
act quickly and effectively when shellfish are implicated in a food-borne outbreak. Development of
administrative procedures in advance of outbreaks supports quick effective action and avoids costly
mistakes and inadvertent destruction of evidence through delay.

F. Commingling. Commingling means the act of combining different lots of shellstock or shellfish from
different days in the same growing area, or combining different lots of shellstock from different growing
areas. Health departments and other appropriate state and federal agencies must be able to determine the
source of shellfish contamination when an outbreak of disease attributable to shellfish occurs so they can
prevent any further illnesses from this source. Separating shellfish from different sources is necessary to
maintain lot identity during harvest, transport, storage, shucking, and repacking operations. This lot
separation assists in tracing shellfish back to its source when questions of public health safety arise.
Maintaining lot identity will prevent implication of sources that are not associated with the outbreak and
can prevent unnecessary regulatory action and liability. When commingling is allowed under any state
management plan, the objective is to minimize the commingling of different dates of harvest and different
growing areas. For additional information concerning commingling, see the NSSP Model Ordinance
Guidance Document: Shellstock Tagging (ISSC/FDA, 2007).

@.02 Dealer Certification

A. - D. General, Initial Certification, Renewal of Certification, and Revocation or Suspension of

Certification. A principal objective of the NSSP has been to provide a mechanism for health officials and
consumers to receive information as to whether lots of shellfish shipped in interstate commerce meet
acceptable and agreed upon sanitation and quality criteria. This NSSP objective is achieved through
establishment of criteria and procedures to allow a producing or processing state to "certify" to receiving
states that the product from a specific dealer has been grown, harvested, transported, processed, or
shipped in compliance with the NSSP Model Ordinance guidelines. Dealer certification is dependent on a
dealer maintaining acceptable operational and sanitary conditions and is determined through uniform
inspections by standardized inspectors. For more information concerning standardized inspections, see the
NSSP Model Ordinance Guidance Document: Shellfish Plant Inspection Standardization Procedures
(ISSC/FDA, 2007).

State officials who certify dealers must fully comply with the administrative requirements for certification
for the process to remain viable. For the certification process to be effective, dealers must fully comply
with the applicable Model Ordinance sanitation guidelines pertaining to the type of operation involved.
For a full discussion of the certification process, see the NSSP Model Ordinance Guidance Document:
Dealer Certification and the Interstate Certified Shellfish Shippers List (ICSSL) (ISSC/FDA, 2007).

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E. Interstate Certified Shellfish Shippers List (ICSSL). Placement of a dealer on the ICSSL serves as
nationwide notification to receiving states and the shellfish industry of dealer certification. Food control
officials throughout the United States use the ICSSL to determine that shellfish offered for sale at the
wholesale or retail level have been produced under the sanitary guidelines of the NSSP Model Ordinance.
These officials generally rely upon the certification process instead of holding up shipments or sales of
shellfish lots pending examination. The ICSSL is also used by the seafood and other food industries to
find sources of safe shellfish. For a full discussion of the ICSSL purpose and use, see the NSSP Model
Ordinance Guidance Documents: Dealer Certification and the Interstate Certified Shellfish Shippers List
(ICSSL) (ISSC/FDA, 2007).

F. Inspections. Through inspections by both the shellfish control agency and the dealer, as part of the
dealer's HACCP plan, unsanitary conditions may be detected and corrected. Unannounced shellfish
control agency inspections serve to verify that NSSP Model Ordinance guidelines are being met by the
dealer. For additional information concerning inspections, see the NSSP Model Ordinance Guidance
Documents: Shellfish Plant Inspection Standardization Procedures (ISSC/FDA, 2007).

G. Performance Based Inspection Program (PIP). Performance based inspections for dealers with a
significant history of satisfactory compliance result in improved regulatory efficiency. Regulatory
inspections can be concentrated on more high-risk shellfish operations or operations with poor
performance histories. Dealers recognized as having a record of excellent performance may be rewarded
with the privilege of a reduced number of inspections.

H. Enforcement. The unique nature of shellfish as a food consumed whole and raw in the form as it
comes from the growing area requires the state shellfish control authority to have sufficient growing area
patrol capacity to enforce the public health based restrictions on harvesting and to obtain meaningful
penalties for violation of those harvesting restrictions. Information concerning enforcement activities at
the growing area level can be found in the NSSP Model Ordinance, Chapter V, @04 and Chapter VIII,
@01, B., Patrol of Growing Areas (ISSC/FDA, 2007) and in Guidance Documents: Growing Area Patrol
and Enforcement and Shellstock Relay (ISSC/FDA, 2007). Dealer certification is intended to provide an
unbroken chain of sanitation control to a lot of shellfish from the moment of harvest to its sale at the
wholesale or retail level. Dealers having major non-conformities with the NSSP Model Ordinance should
not be certified. Certified dealers found to have major non-conformities should have their licenses or
permits suspended or certifications revoked. Information concerning enforcement activities at the dealer
certification level can be found in the NSSP Model Ordinance Guidance Documents: Dealer Certification
and the Interstate Certified Shellfish Shippers List (ICSSL) (ISSC/FDA, 2007).

Chapter II. Risk Assessment and Risk Management

Requirements for the Authority

@.01 Outbreaks of Shellfish-Related Illness.

Shellfish are filter feeders and therefore have the ability to concentrate microorganisms, including human
pathogens and toxigenic micro-algae, from the water column if these organisms are present in the
growing area. Concentrations in the shellfish may be as much as 100 times that found in the water
column. If the microorganisms concentrated are harmful to humans, and if, in the case of human
pathogens, the shellfish are consumed raw or partially cooked, human disease can result.

When illness has occurred, immediate closure of the implicated growing area and/or recall of implicated
product will significantly reduce the chance of additional illnesses. Additional information concerning
investigation of an outbreak of shellfish related illness believed to be associated with a naturally occurring
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pathogen can be found in the NSSP Model Ordinance Guidance Documents: Guidance for a Time-
Temperature Evaluation of a Shellfish Implicated Outbreak (ISSC/FDA, 2007). Additional information
concerning the disease causing potential of shellfish can be found in the NSSP Model Ordinance
Guidance Documents: Sanitary Survey and the Classification of Growing Waters, Guidance for
Developing Marine Biotoxin Contingency Plans, and Shellstock Relay (ISSC/FDA, 2007).

Documentation of the information supporting growing area classification, proper tagging and record
keeping, expeditious follow-up on reported illnesses, effective recall of implicated product and public
warning announcements are all requisite to protecting public health. Shellfish growing areas implicated
through epidemiological association between illness and shellfish consumption must be closed
immediately to prevent additional implicated product from reaching the consumer. Broad closures of
Growing Areas, in addition to reducing the chance of additional illnesses, will: improve identification of
specific sites where harvesting is taking place; reduce the size of areas available to harvest; reduce the
practice of mixing together shellstock from different growing areas; and reduce illegal harvesting because
legitimate harvesters will self-police their ranks to prevent false tagging. In addition, shellfish product
from the implicated growing areas should be detained and an effective recall of product initiated.

When the source of the illness is found to be the distribution and processing system, shellfish product
should be also detained and an effective recall of product initiated, and the problem immediately
corrected.

@.02 Presence of Human Pathogens in Shellfish Meats.

Human pathogens have been found in shellfish in the absence of human illness. These pathogens can be
present at levels below that of an infectious dose, and may originate either as naturally occurring
organisms in the growing area or from contamination of the growing area or of the shellfish during its
handling, storage, transport or processing. Continued finding of the presence of human pathogens in
shellfish from a specific growing area with no evidence of illness in the consumers may or may not
constitute a human health risk. In these circumstances, the shellfish control authority needs to act quickly
to initiate a thorough investigation to determine if the pathogen source is either the growing area or the
system used for distributing and processing the product. If the source can be determined, the authority
needs to take immediate steps to correct the problem through appropriate actions such as eliminating the
source, reclassifying the growing area or changing a distribution or processing procedure.

When the source of the organism cannot be identified or if the organism is naturally occurring, the
authority should conduct a risk assessment using all available information to determine if the human
consumer is at risk. When the risk is determined to be negligible, no further action is required. A
determination that some risk exists may prompt further action to protect the consumer such as allowing
the shellfish to be harvested with an advisory to immunologically compromised individuals, allowing
shellfish to be used only for cooked product, or closing the growing area.

@.03 Presence of Toxic Substances in Shellfish Meats

Because shellfish are filter feeders, they can readily accumulate toxigenic micro-algae and other
substances from the water column. These substances include heavy metals, chlorinated hydrocarbons and
other poisonous or deleterious substances. The presence of these substances does not necessarily
constitute a health risk, as toxicity is dependent on both concentration (dose) and length of exposure.

To protect the consumer, the shellfish control authority needs to evaluate the levels of toxic substances
that may be present in the shellfish against known tolerance levels in human foods or other appropriate
information, and determine what action, if any, should be taken. Additional information concerning this
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topic can be found in the NSSP Model Ordinance Guidance Documents: Action Levels, Tolerances and
Guidance Levels for Poisonous or Deleterious Substances in Seafood (ISSC/FDA, 2007); and Guidance
for Developing Marine Biotoxin Contingency Plans (ISSC/FDA, 2007).

Chapter III. Laboratory

Requirements for the Authority

@.01 Quality Assurance.

Laboratory results from the bacteriological and chemical testing of shellfish growing waters and meats are
widely used in the National Shellfish Sanitation Program to determine the safety of shellfish for human
consumption. Experience with the bacteriological and toxicological examination of shellfish and
shellstock growing waters has indicated that minor differences in laboratory procedures or techniques
might cause wide variations in the results. Improper handling of the sample may also cause variations in
results during collection or transportation to the laboratory. The APHA Recommended Procedures for the
Examination of Seawater and Shellfish, which are revised periodically, offer reliable information for
minimizing these variations. Assuring uniformity nationwide in the application of a laboratory quality
assurance program is necessary to substantiate the validity of analytical results. Integral to laboratory
quality assurance is a strong program for the evaluation of laboratory performance.

@.02 Methods.

American Public Health Association (APHA) Recommended Procedures for the Examination of Seawater
and Shellfish shall be followed for the collection, transportation, and examination of samples of shellfish
and shellfish waters. The official reference of the NSSP for the examination of shellfish for Vibrio
cholerae, V. vulnificus, and V. parahaemolyticus is Section IV, Guidance Documents, Chapter II,
Growing Areas: .10 Approved National Shellfish Sanitation Program Laboratory Tests: Microbiological
and Biotoxin Analytical Methods. State laboratories should conduct the test for these organisms when
routine tests of marine foods implicated in foodborne outbreaks fail to demonstrate other enteric
pathogens or bacterial toxins.

Use of standardized laboratory methods and procedures produces results acceptable to all regulatory
agencies and allows comparative evaluation of data across laboratories. The APHA reference and FDA's
BAM contain procedures for the virological examination of seawater and shellfish. However, the use of
these procedures should be limited to special studies such as the development of new approaches for
assessing, controlling, or improving shellfish sanitary quality, investigation of shellfish-borne disease
outbreaks and other research studies. Routine virus monitoring of shellfish or their waters is not
recommended due to the technical complexity, time required, high cost, and limitations of the detection
and recovery method. For methods used in the NSSP, see the NSSP Model Ordinance Guidance
Document: Approved NSSP Laboratory Test (ISSC/FDA, 2007).

Chapter IV. Shellstock Growing Areas

Requirements for the Authority

@.01 Sanitary Survey

A. General. One of the goals of the NSSP is to control the safety of shellfish for human consumption by
preventing its harvest from contaminated growing areas. The positive relationship between sewage
pollution of shellfish growing areas and disease has been demonstrated many times. Shellfish-borne
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infectious diseases are generally transmitted via a fecal-oral route. The pathway can become quite
circuitous. The cycle usually begins with fecal contamination of the growing waters. Feces deposited on
land surfaces can release pathogens into surface waters via runoff. Most freshwater streams eventually
empty into an estuary where fecal bacteria and viruses may accumulate in sediment and subsequently can
be re-suspended.

Shellfish pump large quantities of water through their bodies during the normal feeding process. During
this process the shellfish also concentrate microorganisms, which may include pathogenic
microorganisms. Epidemiological investigations of shellfish-caused disease outbreaks have found
difficulty in establishing a direct numerical correlation between the bacteriological quality of water and
the degree of hazard to health. Investigations made from 1914 to 1925 by the states and the Public Health
Service, a period when disease outbreaks attributable to shellfish were more prevalent, indicated that
typhoid fever or other enteric diseases would not ordinarily be attributed to shellfish harvested from water
in which not more than 50 percent of the 1 cc portions of water examined were positive for coliforms (an
MPN of approximately 70 per 100 ml), provided the areas were not subject to direct contamination with
small amounts of fresh sewage which would not be revealed by bacteriological examination.

Following the oyster-borne typhoid outbreaks during the winter of 1924-25 in the United States, the
National Shellfish Sanitation Program was initiated by the States, the Public Health Service, and the
shellfish industry. Water quality criteria were then stated as: (1) the area is sufficiently removed from
major sources of pollution so that the shellfish would not be subjected to fecal contamination in quantities
which might be dangerous to the public health, (2) the area is free from pollution by even small quantities
of fresh sewage, and (3) bacteriological examination does not ordinarily show the presence of the coli-
aerogenes group of bacteria in 1 cc dilution of the growing area water. Once the standards were adopted
in the United States in 1925, reliance on this three-part standard for evaluating the safety of shellfish
harvesting areas has generally proven effective in preventing major outbreaks of disease transmitted by
the fecal-oral route. Similar water quality criteria have been used in other countries with favorable results.

Nevertheless, some indicators and pathogens are capable of persisting in terrestrial soil, fresh and marine
waters, and aquatic sediment for many days while others are even capable of growth external to a host. A
small number of shellfish-borne illnesses have also been associated with bacteria of the genus Vibrio. The
vibrios are free-living aquatic microorganisms, generally inhabiting marine and estuarine waters. Among
the marine vibrios classified as pathogenic are strains of non-01 Vibrio cholerae, V. parahaemolyticus,
and V. vulnificus. All three species have been recovered from coastal waters in the United States and other
parts of the world. These and other vibrios have been detected in some environmental samples recovered
from areas free of overt sewage contamination and coliform.

In general, shellfish-borne vibrio infections have tended to occur in coastal areas in the summer and fall
when the water was warmer and vibrio counts were higher. V. parahaemolyticus and non-01 V. cholerae
are commonly reported as causing diarrhea illness associated with the consumption of seafood including
shellfish. In contrast, V. vulnificus has been related to two distinct syndromes: wound infections, often
with tissue necrosis and bacteremia, and primary septicemia characterized by fulminant illness in
individuals with severe chronic illnesses such as liver disease, hemochromatosis, thalassemia major,
alcoholism or malignancy. Increasing evidence shows that individuals with such chronic diseases are
susceptible to septicemia and death from raw seafoods, especially raw oysters. Shellfish-borne vibrio
infections can be prevented by cooking seafood thoroughly, keeping them from cross contamination after
cooking, and eating them promptly or storing them at hot (60°C or higher) or cold (4°C or lower)
temperatures. If oysters and other seafoods are to be eaten raw, consumers are probably at lower risk to
vibrio infection during months when seawater is cold than when it is warm.

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In addition to pathogenic microorganisms, poisonous or deleterious substances may enter shellfish

growing areas via industrial or domestic waste discharges, seepage from waste disposal sites, agricultural
land or geochemical reactions. The potential public health hazard posed by these substances must also be
considered in assessing the safety of shellfish growing areas.

The primary responsibility of the shellfish control authority is to ensure the public health safety of the
shellfish growing areas through compliance with the NSSP Model Ordinance. The Authority must
perform a sanitary survey that collects and evaluates information concerning actual and potential
pollution sources that may adversely affect the water quality in each growing area. Based on the sanitary
survey information, the authority determines what use can be made of the shellstock from the growing
area and assigns the growing area to one of five classifications. The survey information must be updated
periodically to ensure that it remains current and must be readily accessible to both the Authority and the
harvester. Experience has shown that the minimum sanitary survey components required in this chapter
are necessary for a reliable sanitary survey. A more detailed explanation is provided in the NSSP Model
Ordinance Guidance Documents: Sanitary Survey and the Classification of Growing Waters (ISSC/FDA,
2007).

B. Sanitary Survey Required. The findings of the sanitary survey represent a comprehensive analysis of
data from several sources used to determine the proper classification of a growing area. Therefore, the
Authority is required to complete the survey before determining the classification of a growing area and
the appropriate use of shellstock from the area. If no harvesting is to be permitted in a growing area, the
sanitary survey is unnecessary.

C. Sanitary Survey Performance. Since the sanitary survey must be kept current to routinely verify the
classification of the growing area, specified frequencies for updating the various survey components are
necessary. Lack of written documentation precludes accurate assessment on a routine basis, and requires
that, to protect the public health, the growing area be placed in the prohibited classification or closed
status of its classification. A more detailed explanation is provided in the NSSP Model Ordinance
Guidance Documents: Sanitary Survey and the Classification of Growing Waters (ISSC/FDA, 2007).

D. Shoreline Survey Requirements. The shoreline survey (also known as the pollution source survey) is
the sanitary survey component in which the actual and potential pollution sources that may adversely
affect the growing area are identified. These sources may introduce infectious disease agents or poisonous
and deleterious substances to the growing waters where they may be taken up and concentrated by
shellfish. Detailed and accurate information concerning the pollution sources is necessary for a proper
growing area classification. A more detailed explanation is provided in the NSSP Model Ordinance
Guidance Documents: Sanitary Survey and the Classification of Growing Waters (ISSC/FDA, 2007).

The key to the accurate classification of shellfish growing areas is the sanitary survey. The principal
components of a sanitary survey include: (1) an evaluation of the pollution sources that may affect the
areas, (2) an evaluation of the meteorological factors, (3) a review of hydrographic factors that may affect
distribution of pollutants throughout the area, and (4) an assessment of water quality.

A pollution source survey should be conducted of the shoreline area and watershed to locate direct
discharges (e.g., municipal and industrial waste discharges, package treatment units, and malfunctioning
septic tanks) and non-point sources of pollution (e.g., storm water runoff and agricultural and wildlife
area runoff). Municipal and industrial wastewater treatment facilities should be evaluated in terms of
design capacity versus actual loading, type and concentration of pollutants discharged, and the type and
effectiveness of pollution control devices.

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Following these evaluations, hydrographic and meteorological characteristics that may affect the
distribution of pollutants to the area should be determined. Examples of these are tidal amplitude and
type, water circulation patterns, depth, salinity, stratification characteristics, rainfall patterns and intensity,
and prevailing winds.

Information from pollution source evaluations and hydrographic studies should be considered in
developing an evaluation of the water quality in a growing area. The purpose of this evaluation is to
develop specific information to assist in defining classification boundaries. In many instances,
bacteriological and related salinity data can be used to develop information on hydrographic
characteristics of the area.

In designing a water quality evaluation, the following should be considered. Most water samples should
be collected from the surface, since pollution discharged into freshwater streams or brackish estuarine
waters usually tends to remain near the surface or above the denser seawater. Sample collection should be
timed to be representative of the major pollution impacts, since shellfish respond rapidly to an increase in
the number of bacteria in their surrounding waters. A sanitary survey report is needed to integrate data
from several sources into a comprehensive analysis to determine the proper classification for the area.
This report should include a compilation of relevant data, a data analysis utilizing recognized statistical
techniques, conclusions as to the appropriate classification of the area, and recommendations for
necessary follow-up actions. The report may also consider relevant resource management, social,
economic, or political factors that may influence the establishment of boundaries and open and closed
periods for conditionally approved and restricted areas.

Maintaining the sanitary survey consists primarily of routinely evaluating major pollution sources,
collecting water quality data from key stations under adverse conditions, and analyzing the data to assure
that the sanitary survey continues to be representative of current sanitary conditions in the growing area.
The growing area must be subjected promptly to a more intense and comprehensive sanitary survey
reevaluation when routine monitoring reveals a substantial change in the sanitary conditions. A
reevaluation report is then needed and a determination must be made as to the proper classification of the
area.

Experience with the shellfish certification program indicates a tendency to omit or de-emphasize some
components of the sanitary survey unless a central state file of all shellfish sanitary survey reports,
maintenance data and analysis, and reevaluation reports is maintained. This is particularly true where
responsibility for shellfish sanitation is divided between two or more state agencies. Maintenance of a
central state file for all shellfish sanitary survey information will also simplify the appraisal of state
programs by the FDA and will prevent loss of historical data which may be useful in evaluating the
sanitary quality of an area.

@.02 Bacteriological Standards

A. General. The NSSP recognizes the use of two different indicator organisms for evaluating shellfish
growing water quality. The water quality standards for the two indicators are numerically different from
one another but are believed to afford the same level of public health protection (Hunt and Springer,
1974). The Authority may use either indicator and its companion water quality standard in any growing
area.

B. Water Sample Stations. The location of water sample collection stations can markedly affect the
water quality detected. The NSSP requires that stations be of sufficient number and located to capture the
effect of pollution sources so that the water quality affecting the shellfish can be adequately evaluated.

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C. Exceptions. Application of the water quality standards under the NSSP is based on the collection of a
specified minimum number of samples at a specified frequency over a 3-year period. When a new
growing area is under evaluation for classification, 3 years of historic data may not exist. This section sets
the minimum number of samples that must be collected as part of the required sanitary survey to
determine the appropriate growing area classification for these new growing areas. The requirements are
more stringent for growing areas that have pollution sources that affect water quality. No water quality
samples are required to place a growing area in the prohibited classification.

D. - F. Standards for the Approved Classification of Growing Areas in the Remote Status, Affected
by Point Sources, or Affected by Nonpoint Sources. Based on the information gathered in the sanitary
survey, the shellfish authority determines the appropriate classification of the shellfish growing area. The
shellfish authority makes a decision to place a growing area in either the approved, conditionally
approved, restricted, or conditionally restricted growing area classification. The growing area
classification determines how the shellstock may be used following harvest. Water samples collected as
part of the sanitary survey or as a required update of the sanitary survey are used to determine if the water
quality meets the water quality standards for the growing area classification. The NSSP recognizes two
water quality-monitoring strategies: adverse pollution condition and systematic random sampling.
Presence of point sources of pollution requires the use of the adverse pollution condition sampling
strategy to collect data for the application of the water quality standard. In growing areas not affected by
point sources, the Authority may elect to use either system. The presence or absence of point sources of
pollution and the water sample monitoring strategy used dictate the frequency of samples that must be
collected. If the water quality meets approved classification water quality standards, the growing area is
placed in the approved classification. If the water quality does not meet the water quality standards for the
approved classification or meets the water quality standards only under certain conditions, the Authority
places the area in another more suitable classification. For a fuller explanation of the classification of
growing waters and the water quality monitoring strategies, see the NSSP Model Ordinance Guidance
Documents: Sanitary Survey and the Classification of Growing Waters, Systematic Random Sampling
Monitoring Strategy, and Management Plans for Growing Areas in the Conditional Classification
(ISSC/FDA, 2007).

A field sampling and data analysis design that employs a systematic random sampling plan, assumes that
a statistically representative cross section of all meteorological, hydrographic, and/or other pollution
events will be included in the data set. Therefore, all shellfish growing area data collected shall be used
during classification. This sampling and data analysis design may be applied to approved and restricted
shellfish growing areas that are affected by only randomly occurring pollution events. Additionally, this
sampling strategy may be used to classify shellfish growing areas where water quality is influenced by
seasonal water uses or where harvesting is controlled by seasonal resource management restrictions.

Systematic random sampling cannot be applied to areas impacted by point source pollution. This field
sampling and data analysis design presumes that if intermittent, unfavorable changes in water quality
occur, they will be revealed in the bacteriological sampling results. These unfavorable sampling results
will then contribute to the variation of the data set. Data sets displaying greater levels of variation will
consequently exhibit an elevated estimated 90th percentile. The Authority's option to use a systematic
random sampling strategy is therefore, contingent upon the acceptance of the estimated 90th percentile, as
the statistic to measure the variance of a data set. This statistic shall, along with the geometric mean or
median, be used when evaluating each sampling station for compliance with NSSP growing area criteria.

An example of an acceptable systematic sampling plan is one that documents a preestablished sampling
schedule in the growing area central file. Monthly or bimonthly sampling regimes are acceptable as long
as there is no avoidance of unfavorable conditions and a reasonable attempt is made to collect samples on
the preestablished days. Field sampling crews will not be required to take unnecessary risks to sample on
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any particular day. The sampling plan will address unsafe sampling (boating) conditions by designating
an alternate sampling day or by allocating extra sampling days in the schedule that may be used when
needed.

If the growing area is intended for year-round harvesting, the sampling regime should stipulate the
collection of samples throughout the year. If the growing area is intended to be approved for direct
harvest for only part of the year, the random sampling plan would need only to address that period when
the area is available for harvest. The only exception to this obligation to a random sampling regime is that
the Authority will direct sampling to a particular tidal condition, if that condition unfavorably impacts the
quality of the growing area.

The estimated 90th percentile was suggested in ISSC issue 8109 and its addendum, to address the public
health concerns associated with variation in shellfish growing water-monitoring data. The estimated 90th
percentile will weigh every MPN value in the data set. This statistic will aid the evaluation of the growing
water data by accurately describing the results of the field sampling. When environmental events (such as
rainfall) produce unfavorable effects on water quality, a randomly collected set of growing water data
may, while still meeting the "10 percent above 43" criterion, display a greater level of variance than that
associated with NSSP criteria. The "percentage factor" was not intended to allow for variation in the data
caused by changes in environmental conditions at the time of sampling. The "percentage factor" was
intended for use with a normally distributed data set, and reflects the inherent variation of the MPN
analytical method.

If growing water data collected following unfavorable pollution events are combined with data collected
under normal conditions, variation is increased. The estimated 90th percentile will reflect this variation.
Therefore, the estimated 90th percentile will facilitate the use of a systematic random sampling strategy,
while protecting against the potential public health problems that may result when shellfish are consumed
from growing waters that are adversely affected by intermittent pollution events. For more information on
systematic random sampling, see the NSSP Model Ordinance Guidance Documents: Systematic Random
Sampling Monitoring Strategy (ISSC/FDA, 2007).

G. - H. Standard for the Restricted Classification of Growing Areas Affected by Point Sources or
Nonpoint Sources and Used as a Shellstock Source for Depuration. Classification as a restricted
growing area used as a shellstock source for depuration is an option available to the Authority as an
alternative to placing a growing area in the prohibited classification. Shellstock harvested from these
waters are subjected to depuration, which is a process of reducing the levels of pathogenic organisms that
may be present in the shellstock by using a controlled aquatic environment as a treatment process.
Following successful depuration, the shellfish are safe to eat.

Water samples are collected to determine if the water quality meets the water quality standards for this
growing area classification. The NSSP recognizes two water quality-monitoring strategies: adverse
pollution condition and systematic random sampling. Presence of point sources of pollution requires the
use of the adverse pollution condition monitoring system to collect data for the application of the water
quality standard. In growing areas not affected by point sources, the Authority may elect to use either
system. The presence or absence of point sources of pollution and the monitoring system used dictate the
frequency of samples that must be collected for application of the water quality standards. If the water
quality meets the water quality standard for this classification, the growing area is placed in the restricted
classification. If the water quality does not meet this water quality standard, or meets the water quality
standard only under certain conditions, the Authority places the area in either the prohibited or the
conditionally restricted classifications. For a fuller explanation of the classification of growing waters and
the water quality monitoring strategies, see the NSSP Model Ordinance Guidance Documents: Sanitary

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Survey and the Classification of Growing Waters, Systematic Random Sampling Monitoring Strategy, and
Management Plans for Growing Areas in the Conditional Classification (ISSC/FDA, 2007).

@.03 Growing Area Classification

A. General. The probable presence or absence of pathogenic microorganisms in shellfish waters is

important in deciding how shellfish obtained from an area may be used. All actual and potential growing
waters should thus be classified according to the information developed in the sanitary survey.
Classification should not be revised upward without careful consideration of trends and currently
available data. Included in the sanitary survey file should be a written report with analysis supporting the
classification.

The classification in which a growing area is placed dictates how the shellstock from that area may be
used i.e. sold directly to the consumer to eat or required to be subjected to natural or artificial cleansing
prior to sale to the consumer. Therefore, the Authority must make every effort to use the sanitary survey
information to determine the correct classification in which to place the growing area to minimize public
health risk to the consumer. Any change from a more restrictive growing area classification to a less
restrictive classification requires a written sanitary survey report that carefully and thoughtfully evaluates
the changes in the information and data supporting the current classification to justify the less restrictive
classification.

The status of a growing area is different from its classification. A growing area is generally in the open
status for harvest subject to the limitations of its classification. When the conditions for the open status
are not satisfied, the growing area may be placed in the closed status of its classification. For example, in
a public health emergency such as deterioration of growing area water quality following a hurricane, a
growing area in the approved classification would be placed in the closed status until the water quality is
determined to meet the water quality standards for its classification. After a closure, a reevaluation must
be made prior to reopening. The growing area would be returned to its open status when the water quality
returns to normal provided it continues to meet all other criteria for the approved classification.

Some growing areas are so remote that there is no possibility of contamination. If an area qualifies for
remote status, less restrictive monitoring requirements are imposed.

B. Approved Classification. A review of epidemiological investigations of disease and marine biotoxin

outbreaks attributable to the consumption of shellfish reveals that three general situations prevail insofar
as contamination of approved growing areas are concerned.

Firstly, improperly conducted or outdated sanitary surveys or misapplication of approved area criteria
have unwittingly allowed sewage contamination of approved areas. Such areas have been shown to be the
source of shellfish involved in shellfish associated disease outbreaks. The misapplication of approved area
criteria includes the improper interpretation of the upper 10 percentile criteria to permit an area that is
contaminated 10 percent of the time to be classified as approved.

A report of a 1910 outbreak of typhoid fever involving 41 persons notes that raw sewage from a city with
a population of 30,000 was discharged only a few hundred feet away from clam beds and floats. In 1947,
a case of typhoid fever was attributed to clams harvested 200 yards from the outlet of a municipal sewage
treatment plant. In the latter case, the coliform MPN of the harbor water exceeded 12,000 per 100 ml and
the area had been posted as closed to shellfish harvesting. In 1961, clams were responsible for at least 15
cases of infectious hepatitis. Subsequent water quality samples from the area found total coliform levels
ranged between 900 to 2,400 MPN per 100 ml. The highest fecal coliform level observed was 2,100 MPN
per 100 ml.
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In 1978, at least 2,000 persons were victims of oyster-associated food poisoning. The causative agent was
determined to be the Norwalk virus. The oysters were contaminated by sewage and runoff during periods
of heavy rainfall. In 1977, there were over 700 cases of viral gastroenteritis associated with the
consumption of sewage-contaminated cockles. Between November 1, 1980 and April 30, 1981, 450 cases
of infectious hepatitis A were reported from the consumption of cockles.

Secondly, shellfish associated illnesses have been caused by chance contamination of growing areas.
These growing areas were contaminated by fresh fecal material, which was not diffused throughout the
entire area and was not readily detectable by ordinary bacteriological sampling procedures. This
possibility of chance contamination was recognized by Dr. Gurion in his report on a 1902 typhoid
outbreak in which he noted "There is a zone of pollution established by the mere fact of the existence of a
populated city upon the banks of a stream or tidal estuary which makes the laying down of oysters and
clams in these waters a pernicious custom if persisted in, because it renders these articles of food
dangerous at times, and always suspicious."

In 1956, an outbreak of infectious hepatitis (691 cases) attributed to oysters, which were contaminated in
a wet storage area, is another example of chance contamination. Similarly in 1939, 87 cases of typhoid
were attributed to fecal contamination of a storage area by a typhoid carrier.

Finally, shellfish illnesses have been traced back to areas where an intermittent pollution source
contaminated the shellfish. These areas should have been managed and classified as conditionally
approved, or classified as restricted.

Shellfish from waters meeting approved area criteria are unlikely to be involved in the spread of disease
that can be attributed to fecal contamination of the shellfish. This is because, in part, a total coliform
MPN of 70/100 ml is equivalent to the fecal material contributed from one person diluted in about 2.27 x
108 liters (8 million cubic feet) of coliform-free water. In addition, such a small amount of sewage
reaching the growing area is likely to have been so treated, diluted, or aged that it will be of negligible
public health significance. This also means an element of time and distance to permit mixing of sewage or
fecal material with large volumes of diluting water. An increasing amount of saltwater will increase the
rate at which many terrestrial microorganisms die out. Many reports have been published on the natural
die-off of microorganisms in the marine environment.

In general, microbial inactivation in seawater occurs by two different processes -physical dilution by
diffusion and a process of biological inactivation. The inactivation process appears to be associated with
the following factors: specific bacteriophages, sunlight and solar radiation, temperature, absorption and
sedimentation, predation, antibiosis, action of inorganic salts, nutrient deficiencies, and action of heavy
metals and other substances.

Studies have shown that enteric bacteria in seawater may survive from a few hours to five days and
longer. Field and laboratory studies have demonstrated that enteric viruses can survive in marine water
and shellfish from a few days to over 130 days. The survival of viruses in seawater becomes greatly
prolonged once they become associated with sediments. Virus concentrations may be many-fold greater
in sediments than in overlying water. In general, viruses survive longer at lower temperatures, at low
salinity, and in waters contaminated by sewage. Evidence from many field studies indicates that a
constant relationship does not exist between either pathogen (bacterial or viral) or coliform content of
shellfish and overlying water.

The effectiveness of sewage treatment processes must be considered in evaluating the sanitary quality of a
growing area since the bacterial and viral content of the effluent will be determined by the degree of
treatment which is obtained. The results of bacteriological sampling must also be correlated with sewage
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treatment plant operation and evaluated in terms of the minimum treatment which can be expected with
the possibility of malfunctioning, overloading, or poor operations.

The ability of shellfish to concentrate chemical pollutants from water and sediment may lead to
accumulation of these poisonous and deleterious substances to levels that may constitute a public health
hazard. The degree to which these added substances are concentrated depends upon such variables as the
species of shellfish, water temperature and salinity, the level of contaminants in the waters, and the
physiological conditions of the shellfish. Concentration factors in oysters may range from near unity for
Strontium 90 to as high as 104 for DDT. Anatomical distribution in shellfish and biological half-life of the
substances are also highly variable.

Although there have been at least nine closures of shellfish growing areas in the United States due to
findings of added poisonous or deleterious substances, there have been no documented illnesses attributed
to consumption of shellfish from these areas. The level of surveillance for these substances in a shellfish
control program may vary widely. Review of existing background data derived from national and
international monitoring programs and assessment of potential sources of the substances should enable
program managers to determine if a potential problem exists that may indicate a need for further field
study. Sampling for specific chemical contaminants in shellfish is recommended only when the pollution
source survey reveals a potential problem, or if there is concern due to lack of information.

Limiting maximum permissible concentrations of radioisotopes and unidentified mixtures in water and
food has been established. Current standards should be consulted in evaluating public health significance
in market shellfish. The NSSP Model Ordinance Guidance Documents: Action Levels, Tolerances, and
Guidance Levels for Poisonous or Deleterious Substances in Seafood, (ISSC/FDA, 2007) contains current
FDA action levels and tolerances for poisonous and deleterious substances in seafood. Existing data are
insufficient to establish levels for other substances at this time. Information on procedures for developing
action levels and guidelines may be found in the September 30, 1977 Federal Register. In the absence of
specific levels, decisions must be made on a case-by-case basis utilizing the best available knowledge.

The approved classification for a growing area requires that the sanitary survey has determined that there
are no unacceptable concentrations of fecal material, pathogenic microorganisms, or poisonous and
deleterious substances. There are no NSSP limitations on the harvest of shellstock from growing areas
placed in this classification.

C. Conditional Classification. The basic concept of the NSSP is to control the safety of shellfish by
preventing their harvest from contaminated growing areas. In reviewing growing area classifications and
sanitary surveys conducted by national and international control officials, it appears that a common
misinterpretation is the classification of an area as approved when in fact the area should have been
classified as conditionally approved. Critical investigations usually reveal that the area is subject to
intermittent pollution events. Careful consideration of an intermittent pollution event, development and
application of a management plan, and cooperation and compliance by all parties may also allow
upgrading of an area to a conditionally approved or conditionally restricted classification instead of
requiring the area to be restricted or prohibited at all times.

Intermittent pollution to shellfish growing waters has been a significant cause of shellfish-borne
infectious disease outbreaks worldwide. In 1978, at least 20,000 persons were involved in an outbreak of
oyster-associated gastroenteritis attributed to Norwalk virus. The investigation of the outbreak indicated
that a combination of meteorological and hydrographic events had caused inadequately treated and
diluted sewage from a nearby municipal facility to reach the area. In an incident in 1982, at least 471
persons developed gastroenteritis after consumption of sewage contaminated oysters when a combination
of raw sewage bypasses, high rainfall, strong winds, and abnormally low tides caused contamination of an
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area that was classified as approved. In both of these instances, application of the conditionally approved
area concept probably could have prevented the outbreaks.

A common situation where this classification might be appropriate is when water quality is, to some
degree, dependent upon the operation of a wastewater treatment plant. For example, the boundaries of an
approved shellfish area might be improperly determined during a period when a wastewater treatment
plant is operating at a satisfactory level. If there is some interruption in treatment, it follows that there will
be some degradation of water quality in the growing area which may require a relocation of the
boundaries. The degree of relocation would depend upon such items as the distance between the pollution
source and the growing area, hydrography, the amount of water, and the amount of pollution.

The concept is also applicable to other situations in which there may be a rapid or seasonal change in
water quality. Examples of such situations include:

The water quality in a growing area adjacent to a resort community may vary according to seasons of the
year. During the summer months, when the community experiences a significant population increase,
water quality may be adversely affected. However, during the winter when there are few people in the
community, water quality might improve sufficiently to allow approval of the area. In some states, this is
known as a seasonal closure.

The water quality in a protected harbor in a sparsely settled area, which provides anchorage for a fishing
fleet, several months a year might vary. When the fishing fleet is in, the harbor water might be of poor
sanitary quality. However, during the remainder of the year the quality of the harbor water might be
satisfactory. The area would be closed for shellfish harvesting when the fishing fleet is using the harbor.

The water quality in an area may fluctuate with the discharge of a major river, or rainfall in the area may
cause runoff of pollutants into the growing area. This type of pollution is often referred to as non-point
pollution. During periods of low runoff, such an area might be of satisfactory quality and thus be
approved for shellfish harvesting.

The first step in determining whether an area should be classified as conditionally approved or
conditionally restricted is to determine whether sufficient state resources are available to manage, survey,
monitor, control harvesting, affect closures, and reopen the area as required. It should be noted that
sources of pollution must be routinely monitored; coordination between state, local and industry officials
must be timely; performance standards must be monitored; and closures must be immediate and effective.
States electing to classify areas as conditionally approved have found the public resource investment to be
substantial.

The second step in determining whether an area should be placed in the conditionally approved or
conditionally restricted classification is to evaluate the potential sources of pollution in terms of their
effect on water quality in the area. Some potential sources of pollution include: bypasses and overflows
within a sewage collection and treatment system, intermittent discharges from boats, seasonally used
areas, animals, land runoff, and freshwater flows.

The third step in establishing a conditionally approved or conditionally restricted area is to evaluate each
source of pollution in terms of the water quality standards to be maintained, and to formulate performance
standards for each pollution source having a significant effect on the sanitary quality of the area. The
following are examples of different types of performance standards that might be developed:

Performance standards or closure criteria may be based upon the bacteriological quality of effluent from
sewage treatment plants. This might be stated in terms of chlorine residual if the bacteriological quality of
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the effluent can be positively related to chlorine residual. The following is an example of a performance
standard for an effluent discharge: "The median coliform MPN, in any one month, shall not exceed 500
per 100 ml, based on not less than 16 composite samples per month, and not more than 10 percent of the
samples shall have an MPN in excess of 10,000 per 100 ml. Determinations of the chlorine residual of the
effluent should be made hourly and recorded in the permanent plant records."

A performance standard may be based upon total quality of sewage, which can be discharged from any
given unit, or from a combination of units, without causing the basic water quality standards to be
exceeded.

A performance standard may be based upon the amount of vessel traffic in the area and the concomitant
amount of sewage, which can be expected.

Performance standards may be based upon the amount of rainfall in the immediate area. An example
could be: "The area will be closed when there has been 5 cm (2 inches) or more rainfall registered at a
rain gauge at (specified area within a 24-hour period)."

Performance standards may be based upon the height of a river stage. An example could be: "When the
river at (a specified area) reaches 3.66 meters (12 feet) or above, the area will be closed."

The design of a waste treatment plant and the plant effluent specifications may be critical to the
designation of an area classified as conditionally approved or conditionally restricted. Design criteria
which may be useful in determining the quality of sewage which can be discharged into an area without
exceeding the desired water quality standards include: population equivalent (coliform) of sewage,
predicted survival of coliform in seawater, effectiveness of chlorination and the total quality of clean
dilution water in an area. Results of many studies on the survival of bacteria in seawater have been
published.

The mechanical equipment at critical sewage treatment or pumping units should be such that interruptions
will be minimized. Wherever possible, operations should be automatically recorded on charts.
Requirements that might be imposed depend upon the importance of the unit's relationship to water
quality. Important design features of a sanitary waste collection system that should be considered include:

Storm water should be excluded from the sanitary system. There should be stand-by equipment to insure
that treatment or pumping will not be interrupted. It should be taken into account that interruptions may
occur because of damage to a single unit or a power failure.

The pumps and critical units should be fitted with meters or gauges so the regulatory agency can monitor
performance standards.

Installation of recording scales to indicate rate of chlorine use is helpful. Chlorine flow meters are
available that integrate hydraulic flow with chlorine demand.

Liquid level recording gauges fitted with alarms and located in overflow channels of sewage treatment
plants and wet wells of lift stations are useful. They can be set to indicate when overflow takes place. It is
good operating procedure to date recording charts. Gauges should be calibrated and maintained so that
indicated discharge rates are accurate.

Automatic devices to warn of failure or malfunctioning at self-operated pumping stations or treatment

plants can be an important control.

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Another factor to consider in developing a conditionally approved or conditionally restricted area is that a
prohibited area must be interposed between the conditionally approved or restricted area and the source of
pollution. The size of such area should be based on the total time it would take for the operating agency to
detect a failure, notify the state shellfish control agency, and for the latter agency to issue a notice to stop
shellfish harvesting. It is recommended that the area be of such size that the flow time through the safety
area is at least twice that required for the notification process to become effective. Due consideration
should be given to the possibility that closure actions might be necessary on holidays or at night.

The length of time a conditionally approved or conditionally restricted area should be closed following a
temporary closure will depend upon several factors including the species of shellfish, water temperature,
shellfish activity and cleansing rates, presence of silt or other chemicals that might interfere with the
physiological activity of the shellfish, and the degree of pollution of the area.

The conditional classifications are designed to address growing areas that are subject to intermittent
microbiological pollution. These optional classifications offer the Authority an alternative to placing the
area in the restricted or prohibited classification year round when during certain times of the year or under
certain conditions, the shellstock from the growing area may be safely harvested. Public health protection
and the control of shellfish safety in the use of the conditional classifications are afforded through the use
of a management plan. The management plan for each growing area placed in a conditional classification
is based on the information gathered during the sanitary survey. The plan establishes a strict set of criteria
that must be met for the growing area to remain in the open status. Failure to meet the criteria
automatically places the growing area in the closed status, with immediate notice to the public, the
affected industry, and the plan's participants. Two of the most important components of the management
plan are: the acceptance of and the agreement to the conditions of the management plan by the one or
more Authorities involved, other local, state and federal agencies which may be involved, the affected
shellfish industry, and the persons responsible for the operation of any treatment plants or other
discharges that may be involved; and the annual reevaluation of compliance with the plan to assure public
health protection. Use of the conditional classification requires more intense monitoring and more
frequent reevaluation because of the intermittent nature of the pollution event.

When the Authority has sufficient resources to manage a conditional classification, the use of the
conditional classification could allow the safe use of growing areas that might otherwise not be available
to the shellfish industry. For a complete discussion of the conditional classification, see the NSSP Model
Ordinance Guidance Documents: Management Plans for Growing Areas in the Conditional Classification
(ISSC/FDA, 2007). For additional information concerning the classification of growing waters and the
sanitary survey, see the NSSP Model Ordinance Guidance Documents: Sanitary Survey and the
Classification of Growing Waters (ISSC/FDA, 2007).

D. Restricted Classification. The restricted area classification is an option available to state shellfish
control agencies to use instead of a prohibited classification. The establishment of a restricted area might
be considered in instances where an area does not meet approved area criteria but is not grossly polluted.
Another common situation where this classification might be appropriate is for areas affected by non-
point pollution from either urban or rural sources that cause the water quality to fluctuate unpredictably or
of sufficient frequency that a conditionally approved area is not feasible. In such instances, the state may,
at its option, classify these areas as restricted and may limit the use of the shellfish to relaying, container
relaying, or depuration operations.

Relaying is a process of reducing the levels of microorganisms that may be present in the shellstock by
moving the shellstock to growing areas in the approved classification and using the shellstock's ability to
cleanse itself naturally as a treatment process. Depuration is a process of reducing the levels of pathogenic

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organisms that may be present in the shellstock by using a controlled aquatic environment (i.e. a land
based facility) as a treatment process.

The sanitary and bacteriological criteria to be applied by the state for classifying restricted areas are to be
developed by the state shellfish control agency. The criteria may vary according to the use to be made of
the shellfish and according to the effectiveness of the relay and/or depuration process to which the
shellfish will be subjected. The effectiveness of the process is determined by a study as provided for in
the Model Ordinance, Chapter V, Shellstock Relaying and Chapter XV, Depuration. The purpose of this
study is to establish the bacteriological quality requirements for the shellfish processing. Effectiveness of
the process is likely to vary from one cleansing area to another, from one species of shellfish to another,
and from one depuration plant to another. The classification criteria may be based upon the quality of the
shellfish or the water in the restricted area in addition to other sanitary parameters.

Before classifying an area as restricted, the state shellfish control agency should make a determination of
whether sufficient state resources are available to monitor pollution sources; to provide coordination
between state, local and industry officials; to issue special harvesting permits; and to supervise harvesting
and transportation of shellfish to depuration facilities or relay sites. Some states that have classified areas
as restricted have found the resource investment to be substantial. For a complete discussion of relay, see
the NSSP Model Ordinance Guidance Documents: Shellstock Relay (ISSC/FDA, 2007). For a complete
discussion of depuration, see the NSSP Model Ordinance Public Health Reasons and Explanations
Chapter XV Depuration (ISSC/FDA, 2007).

E. Prohibited Classification. The positive relationship between disease and consuming contaminated
shellfish has been clearly established. Prevention of consumption of contaminated shellfish is the primary
objective of the NSSP. The prohibited area classification is the most restrictive growing area
classification, used for areas subject to gross pollution. The use of this classification is also required, as a
precautionary measure, for any growing area where the shellfish authority has not performed a sanitary
survey, and for a growing area immediately adjacent to a sewage treatment plant outfall, irrespective of
the level of effluent treatment provided. The harvesting of shellstock is not allowed for any human food
use. For additional information concerning the classification of growing waters and the sanitary survey,
see the NSSP Model Ordinance Guidance Documents: Sanitary Survey and the Classification of Growing
Waters (ISSC/FDA, 2007)

@.04 Marine Biotoxin Control

Marine biotoxins may be ingested by molluscan shellfish feeding on toxic dinoflagellates. Dinoflagellates
in their vegetative stage flourish seasonally when water conditions are favorable. Toxic blooms of
dinoflagellates can occur unexpectedly or may follow predictable patterns. Paralytic shellfish poisoning
(PSP), neurotoxic shellfish poisoning (NSP) and domoic acid poisoning, also known as amnesic shellfish
poisoning (ASP) are the three types of poisonings most commonly associated with oysters, clams,
mussels and scallops in the United States.

Cases of paralytic shellfish poisoning, including several fatalities resulting from poisonous shellfish, have
been reported from both the Atlantic and Pacific coasts. The minimum quantity of poison, which will
cause intoxication in the susceptible person, is not known. Epidemiological investigations of paralytic
shellfish poisoning in Canada have indicated 200 to 600 micrograms of poison will produce symptoms in
susceptible persons. A death has been attributed to the ingestion of a probable 480 micrograms of poison.
Investigations indicate that lesser amounts of the poison have no deleterious effects on humans. Growing
areas should be closed at a level to provide an adequate margin of safety, since in many instances, toxicity
levels will change rapidly.

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A review of the literature and research dealing with the source of the poison, the occurrences and
distribution of poisonous shellfish physiology and toxicology, characteristics of the poison, and
prevention and control of poisoning has been prepared.

In Gulf coast areas, toxicity in shellfish has been associated with red tide outbreaks caused by massive
blooms of the toxic dinoflagellate, Karemia brevis (formerly Ptychodiscus brevis). Toxic symptoms in
mice suggest a type of neurotoxic shellfish poisoning rather than symptoms of paralytic shellfish
poisoning. The most common public health problem associated with Karemia brevis blooms is respiratory
irritation; however, neurotoxic shellfish poisonings associated with Karemia brevis blooms have been
reported in Florida. Uncooked clams from a batch eaten by a patient with neurotoxic symptoms were
found to contain 118 mouse units per 100 grams of shellfish meat.

Toxic dinoflagellates are indigenous to most coastal and estuarine waters on the Atlantic, Gulf, and
Pacific coasts of America, as well as in many other parts of the world. Blooms of these organisms can
occur unexpectedly and rapidly. This phenomenon occurred in New England in 1972 when shellfish
suddenly became toxic in a previously unaffected portion of the coastline and resulted in many illnesses.
During 1991 and 1992, there was a spread of domoic acid producing organisms throughout the world
including the detection of high numbers of Pseudonitzschia pseudodellcatissima in Australia and
Pseudonitzschia pseudoseratia in California. Domoic acid was also recovered from shellfish in
Washington and Oregon. All shellfish producing states or MOU countries must have a contingency plan
that defines administrative procedures, laboratory support, sample collection procedures, and patrol
procedures to be implemented on an emergency basis in the event of the occurrence of shellfish toxins. A
model state contingency plan for control of marine biotoxins is provided in the NSSP Model Ordinance
Guidance Documents, A.2., Guidance for Developing Marine Biotoxin Contingency Plans (ISSC/FDA,
2007).

All states or MOU countries must monitor toxin levels to establish a baseline historical reference.
Thereafter, states or MOU countries where shellfish toxins are likely to occur must monitor toxin levels
on a routine basis to meet the approved area requirements for direct market harvesting. Experience with
monitoring for shellfish toxins suggests that an effective program should include the following:

Sampling stations should be located at sites where past experience has shown toxin is most likely to
appear first.

Samples should be collected of shellfish species which are most likely to reveal the early presence of
toxin and which are most likely to show the highest toxin levels. For example, mussels have been found
to be useful for early PSP detection.

The frequency and period for collection of samples should be based upon historical patterns. This
assumes several years of baseline data in order to establish stations and sampling plans.

An information network should be established between the health and marine resource communities and
the state shellfish control agency. Any toxin-like illnesses related to shellfish and environmental
phenomena such as dinoflagellate blooms, fish kills, or bird kills, which might indicate the early stages of
an increase in toxin levels should be rapidly communicated over the network.

Sampling stations and frequency of sampling should be increased when monitoring data or other
information suggests that toxin levels are increasing.

Sample collection, sample transportation, and sample analysis procedures should be developed so that in
an emergency sample results will be known within 12 hours.
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When monitoring data or other information indicates that toxin levels have increased to the quarantine
levels, growing area closures must be immediately implemented. The determination of which growing
areas should be closed should include consideration of the rapidity with which toxin levels can increase to
excessive levels and the inherent delays in the state sample collection procedures. It may be appropriate to
close growing areas adjacent to known toxic areas until increased sampling can establish which areas are
toxin free and that toxin levels have stabilized.

Shellfish growing areas closed because marine biotoxins have exceeded quarantine levels may be
reopened for growing after a sufficient number of samples and other environmental indices, if used, have
established that the level of toxin will remain below quarantine levels for an extended period. For
example, experience has shown that appropriate reopening criteria include a minimum of three samples
collected over a period of at least 14 days. These samples should show the absence of PSP or levels below
80 micrograms per 100 grams.

A. Contingency Plan. The suitability of some areas for harvesting shellstock is periodically influenced
by the presence of toxigenic micro-algae. Recent increases in toxigenic micro-algae distribution dictate
that a more comprehensive series of public health controls be adopted. The need exists to make
contingency plans to address the contamination of a growing area by toxigenic micro-algae or a disease
outbreak caused by marine biotoxin. This contingency plan must describe administrative procedures,
laboratory support, sample collection procedures, and patrol procedures to be implemented on an
emergency basis in the event of the occurrence of marine biotoxin in shellstock. The primary goal of this
planning should be to ensure that maximum public health protection is provided in growing areas subject
to marine biotoxin contamination. For a fuller discussion of marine biotoxin disease and its management
in shellfish growing areas, see the NSSP Model Ordinance Guidance Documents: Guidance for
Developing Marine Biotoxin Contingency Plan (ISSC/FDA, 2007).

B. Marine Biotoxin Monitoring. The primary purpose of a marine biotoxin-monitoring program is to

prevent illness or death among the shellfish consuming public. The monitoring program should use the
"indicator station" and "critical species" concepts to develop an early warning system to prevent harvest
of biotoxin contaminated shellstock. For a full discussion, see the NSSP Model Ordinance Guidance
Documents: Guidance for Developing Marine Biotoxin Contingency Plan (ISSC/FDA, 2007).

C. Closed Status of Growing Areas. In the event of a toxigenic micro-algae bloom, shellstock-growing
areas shall be placed in the closed status for harvesting to prevent human consumption of biotoxin-
contaminated shellfish. The biotoxin level governing the need to place the growing area in the closed
status will vary depending on the species of toxigenic micro-algae and the species of bivalve shellfish.
Since the ability to concentrate biotoxins varies among species, it is possible for one species in a growing
area to have safe levels of biotoxin while another species in the same growing area will have dangerous
biotoxin concentrations. In this situation, the Authority may permit the harvesting of one species with no
adverse public health consequences while prohibiting the harvest of another species. In these situations,
the Authority must closely monitor the growing area and develop a sufficient database for use in making
this determination.

The Authority must develop criteria, which must be met before a growing area can be returned to the
open status for harvesting. These criteria should integrate public health, conservation, and economic
considerations. The criteria should also employ a sufficient number of samples and other environmental
indices, if used, to establish that the level of toxin will remain, for an extended period of time, at levels
safe for human consumption. For additional discussion concerning biotoxin contamination of shellstock,
see the NSSP Model Ordinance Guidance Documents:Guidance for Developing Marine Biotoxin
Contingency Plan (ISSC/FDA, 2007).

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D. Heat Processing. Heat treatment can reduce the toxicity of some biotoxins. When heat treatment is
used, the Authority must require that the processor provide adequate demonstration of the destruction of
the biotoxin and adequate controls to assure that the end product is safe for human consumption.

E. Records. Good record keeping is essential to the successful management of a marine biotoxin
contingency plan. Appropriate records of monitoring data, evaluation reports, and closure and reopening
notices should be compiled and maintained by the Authority. This information is important in defining
the severity of the problem, as well as for a retrospective evaluation of the adequacy of the entire control
program.

@.05 Marinas

A. Marina Proper. Under the NSSP, any growing area within the confines of the marina proper is
presumed to be contaminated for some period of time. Therefore, no growing area within the marina
proper can be placed in the approved classification.

B. Adjacent Waters. The microbiological and chemical contamination associated with marina facilities
may result in the contamination of adjacent shellfish growing waters. The NSSP has developed a set of
evaluation criteria to be used in determining if the growing waters adjacent to a marina are affected by
microbiological contaminants associated with sewage. Since there are significant regional differences in
all factors that affect pollution loading from marinas, sufficient flexibility must be allowed to account for
these differences. The Authority has the option of applying the specified occupancy and discharge rates
necessary to conduct a dilution analysis. The Authority may also opt to conduct studies to document
different rates for specific areas. Best professional judgment of qualified individuals and best available
technology must be applied to determine adequate restrictions on harvesting in and around marinas.

Chapter V. Shellstock Relaying

Requirements for the Authority

@.01 General. Relaying is the practice of harvesting bivalve shellstock from polluted growing or
growing areas and placing them in unpolluted bodies of water for a sufficient time for the shellstock to
reduce contaminating microorganisms or chemicals to safe levels. Through the natural cleansing process
in relaying, shellstock resource that would otherwise not be available for human consumption is made
safe and becomes accessible to the shellfish industry and the consumer. As early as 1911, public health
officials were investigating the use of natural cleansing through relaying to reduce pathogenic organism
levels in oysters. For a complete discussion of relaying activities, see the NSSP Model Ordinance
Guidance Documents: Shellstock Relay (ISSC/FDA, 2007).

@.02 Contaminant Reduction. Research has shown that shellfish have the ability to purge themselves of
certain microbial and chemical contaminants when placed in clean saline water. The rate of purging
depends on the specific contaminants, species of shellfish, and environmental factors such as temperature
and salinity. The shape of the containers used to hold the shellstock may also affect the purging rate.
Because of the differences in purging rates among shellfish species and contaminants, a specific study
must be performed in each growing area used for relaying to determine the purging rates, and the relay
activity must be carried out in strict conformance with criteria established from the study. For a fuller
discussion of the factors effecting contaminant reduction during relay, see the NSSP Model Ordinance
Guidance Documents: Shellstock Relay (ISSC/FDA, 2007).

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@.03 Licenses to Relay Shellstock. Licensing of each person who harvests shellstock is an important
control measure to help protect against contaminated shellstock reaching the consumer and to help
maintain accurate source identity records. Special permits must be issued to licensed harvesters for taking
shellstock from contaminated growing areas and transporting them to other growing areas for the purpose
of natural cleansing. Use of special permits with special harvesting conditions facilitates the shellfish
authority's prevention of contaminated product being diverted for sale to the consumer prior to treatment
rendering the shellstock safe for consumption. For more information concerning relay, see the NSSP
Model Ordinance Guidance Documents: Shellstock Relay (ISSC/FDA, 2007).

@.04 Management of Relaying Activities. Because shellstock relaying involves the harvesting and
transport of contaminated shellstock and its treatment to render it safe for human consumption, great care
must be taken to assure that contaminated product does not inadvertently reach the consumer. This
requires direct supervision of the operation and good enforcement by the shellfish authority. Techniques
such as special licenses, testing of shellstock before and after relay activities, special tagging of shellstock
during relay, special marking of the growing areas used for natural cleansing, record keeping, and
additional patrol activities are used to ensure that effective contaminant purging is completed before the
shellstock is marketed to the consumer. For additional information concerning the management of
shellstock relaying, see the NSSP Model Ordinance Guidance Documents: Shellstock Relay (ISSC/FDA,
2007).

Requirements for Harvesters

.01 Harvester License Required. Licensing of each person who harvests shellstock is an important
control measure to help protect against contaminated shellstock reaching the consumer and to help
maintain accurate source identity records. Harvesters must work with the shellfish authority to foster the
use and enforcement of special permits to prevent bypassing of the natural cleansing treatment process.
Compliance with permit requirements is extremely important. Prevention of sale of contaminated
shellstock to the consumer is the primary objective of the NSSP. Use of special permits with special
harvesting conditions facilitates the shellfish authority's prevention of contaminated product being
diverted for sale to the consumer prior to treatment rendering the shellstock safe for consumption. For
more information concerning relay, see the NSSP Model Ordinance Guidance Documents: Shellstock
Relay (ISSC/FDA, 2007).

Chapter VI. Shellfish Aquaculture

Oysters, clams, mussels and scallops are filter feeders and therefore have the ability to concentrate
microorganisms, including human pathogens and toxigenic micro-algae, and poisonous or deleterious
substances from the water column if these organisms or substances are present in the growing area.
Concentrations in the shellfish may be as much as 100 times that found in the water column. If the
microorganisms concentrated are harmful to humans, and if, in the case of human pathogens, the shellfish
are consumed raw or partially cooked, human disease can result. Poisonous or deleterious substances can
induce illness or death immediately or through long-term exposure, may contribute to the development of
cancer in humans. Additional information concerning the disease causing potential of shellfish can be
found in the NSSP Model Ordinance Guidance Documents: Guidance for Developing Marine Biotoxin
Contingency Plan, Sanitary Survey and the Classification of Growing Waters, and Shellstock Relay
(ISSC/FDA, 2007).

The culturing of molluscan shellfish in natural and artificial growing areas is known as aquaculture. This
may include the cultivation of molluscan shellfish with non-molluscan species in a common aquaculture
system known as polyculture. Oysters, clams, mussels and scallops raised in aquaculture operations are
subject to the same potential for contamination as they are growing in the wild. In land-based operations,
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there may be some additional risk of accumulation in the shellstock of animal drugs used to stimulate
growth and control mollusk diseases, or fish diseases in the case of polyculture. Since some components
of aquaculture such as relaying, wet storage, depuration, growing water classification and tagging, are
similar to other activities covered in the NSSP Model Ordinance, they are regulated under those Model
Ordinance chapters. The shellfish authority must have an adequate legal basis and sufficient resources to
regulate public health concerns pertinent to bivalve shellstock aquaculture.

Polyculture and land-based monoculture operations must be under adequate control to assure the
shellstock product harvested will be acceptable for human consumption. The shellstock authority must
establish detailed procedures for issuing permits for shellfish aquaculture, approving culturing sites and
boundaries, controlling of harvesting, sampling of shellstock, monitoring environmental parameters,
keeping records, imposing quarantine measures, controlling the use of animal drugs to stimulate growth
or treat diseases, and developing other control measures as may be necessary. The shellfish authority
should work with FDA in its review of the plans for a land based aquaculture operation.

Of particular concern in land-based systems is the use of a closed or recirculating water system. Potential
exists for shellstock contamination through the failure of the water treatment system to sufficiently
disinfect the water to control levels of human pathogens that might be introduced through the water
supply or other means. There is also potential for the increased concentration of poisonous and deleterious
substances such as animal drugs or antifouling agents in the water supply and subsequently the shellstock
over time.

Prior to its harvest for sale in interstate commerce, the aquaculturist must demonstrate that the water in
the land-based system met the NSSP Model Ordinance criteria for direct sale of shellstock to the
consumer. If the water supply does not meet those criteria, the aquaculturist must subject the shellstock to
relaying or depuration prior to sale. Relay is a process of reducing the levels of microorganisms that may
be present in the shellstock by moving the shellstock to growing areas in the approved classification and
using the shellstock's ability to cleanse itself naturally over time as a treatment process. Depuration is a
process of reducing the levels of pathogenic organisms that may be present in the shellstock by using a
controlled aquatic environment (i.e. a land based facility) as a treatment process.

The cultivation of shellfish with other species in a common aquaculture system is known as polyculture.
There are some additional public health concerns related to polyculture. Greater potential may exist for
contamination of oysters, clams, mussels and scallops with human pathogens and animal drugs in
polyculture. However, the extent of that potential is not known. The extensive use of tanks, sea
enclosures, floating rafts, ponds, etc. in polyculture makes the oysters, clams, mussels or scallops highly
vulnerable to pollution from various sources, including their association with the other species present in
the polyculture operation. The usage of anti-fouling agents (tributyltin, copper, etc.), hormones, and
antibiotics in finfish aquaculture has evoked concern about its environmental effects and potential threat
to human health through bioaccumulation in shellfish. Therefore, a conservative approach to polyculture
is provided in the NSSP Model Ordinance requirements.

Chapter VII. Wet Storage in Approved and Conditionally Approved Growing Areas

The purpose of wet storage is to improve palatability of shellfish by desanding or increasing their salt
content, or to provide temporary storage for depurated shellfish or shellfish from approved or
conditionally approved harvest areas. Wet storage facilities are not designed and operated to increase the
safety of shellfish. Therefore, all controls pertaining to shellfish for direct consumption must be applied.

Effective control measures must be established and implemented by the Authority to ensure that wet
stored shellfish are protected from becoming contaminated. These control measures include review of the
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plans for proposed wet storage areas or flats; review of the design and operating procedures for onshore
facilities; periodic inspections of wet storage facilities; and, evaluation of the water quality for
compliance with the requirements of the Model Ordinance.

The types, location, and uses of wet storage operations are highly variable and may range from temporary
storage near shore in approved areas to onshore tanks using recirculating natural or synthetic seawater for
the purpose of desanding, temporary storage, or salt uptake. Consequently, it is not possible to provide
detailed guidelines in the Model Ordinance and it is necessary for each separate operation to be developed
and evaluated on its own merit with respect to overall Program guidelines.

Removing shellfish from growing beds for storage in areas close to shore may subject such shellfish to
constant or intermittent pollution. Shellfish in wet storage tanks are similarly subjected to pollution if the
tank water is obtained from a polluted source. An example of health consequences due to such
contamination is the outbreak (691cases) of infectious hepatitis in Sweden in 1956 attributed to oysters
contaminated in a wet storage area.

Shellfish on floats near shore may be more directly exposed to potential contamination from boats and
surface runoff than are shellfish in their natural growing areas. Therefore, particular emphasis should be
placed on a sanitary survey of the vicinity to ensure that chance contamination does not occur.

Careful consideration must be given to designing and operating onshore wet storage tanks to ensure that
shellfish are not contaminated during holding or do not die from physiological stresses such as low
dissolved oxygen and unsuitable temperatures or salinity. Excessive mud on the shells and dead shellfish
may increase bacterial loads in the tanks and lead to increased microbial levels in the shellfish during wet
storage. Hence, washing and culling the shellfish prior to wet storage is essential.

Chapter VIII. Control of Shellfish Harvesting

Requirements for the Authority. Other portions of this section of the Guide have described the public
health reasons for limiting shellfish harvesting to areas free of contamination and shellfish toxins.
Methods have been described for the evaluation and classification of such areas. However, classification
is not effective unless the State can prevent illegal harvesting of shellfish from closed areas. For a full
discussion of control activities, see the NSSP Model Ordinance Guidance Documents: Growing Area
Patrol and Enforcement (ISSC/FDA, 2007).

For the most part, control of illegal harvesting depends upon the police activities as described in this
chapter. Adequate delineation of closed areas is fundamental to effective patrol. The type of area
identification will be determined by the structure of the local shellfish industry and the legal requirements
for each State to permit successful prosecution. Posting a warning sign is one method of informing
shellfish harvesters that an area is closed to the taking of shellfish for public health reasons.

Other methods for identification of closures include telephone, maps issued at checkpoints, or with
harvesting licenses, direct mail, and news media. It is recommended that the advice of the State's legal
counsel be obtained to insure that the marking of closed areas and notifications to shellfish harvesters are
such that persons harvesting from closed areas can be successfully prosecuted.

The primary objective of the NSSP is to ensure that shellfish are only harvested from areas free of
excessive concentrations of pathogenic microorganisms and poisonous or deleterious substances.
Growing areas may be classified as to their public-health suitability for shellfish harvesting on the basis of
information obtained by sanitary surveys in accordance with Chapter IV., @01. However, if local
shellfish harvesters are not convinced of the need for restrictions, shellfish may be harvested
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surreptitiously from closed areas. Thus, the patrol element of the NSSP is important to ensure compliance
with the public-health safeguards resulting from the sanitary survey. The fact that the law prohibits the
removal of shellfish from certain areas will deter the majority of the population from attempting to
harvest such shellfish, provided they are aware of the law and of the areas which are closed. Where
traditional gathering practices have prevailed, local public opinion may not support the need for such
closures. In such cases, favorable opinion may be developed through an educational program or a locally
demonstrated need resulting from an outbreak of shellfish-associated illness or intoxication.

The type of patrol needed for any particular situation cannot be specified and is determined by the nature
of areas to be patrolled, means of access, methods of harvesting, and species. Patrol equipment should be
such that the officers can apprehend persons illegally harvesting shellfish in a closed area. Equipment that
has proven effective for apprehension of illegal harvesters includes: small, high-speed, readily
transportable boats capable of operating in open waters; automobiles; aircraft; communications for
coordinating patrol activities; radar surveillance systems; and night scopes.

Organization of the patrol activity must take into consideration the need for night, weekend, holiday,
undercover and surprise patrols. Various patrol methods may be used depending on the nature of the area
to be patrolled and the type of industry.

Complete removal of shellfish from polluted areas provides a safeguard against contaminated shellfish
reaching the market. In some cases, depletion may be the method selected to eliminate an irresistible
temptation for harvesters. Depletion may be more economical and effective than patrol of closed areas
and will serve to protect public health.

Educational programs should be developed for both industry and the public describing the public health
necessity for eliminating shellfish harvesting from closed areas. Programs developed specifically for
participation of key industry people may be especially helpful in eliciting cooperative efforts of the entire
industry. Such programs should focus on incentives to eliminate harvesting and marketing of shellfish
from closed areas.

The adequacy of state laws as a basis for prosecution is an important component of this activity. Shellfish
patrol will be ineffective and or compromised if State laws are so written or interpreted that violators can
not successfully be prosecuted and if penalties are so small that they are economically unimportant. It is
important that periodic assessments are made by the State control or patrol agency of the degree of
success of court actions taken in response to illegal harvesting. Information of this nature is necessary for
both the analysis of the effectiveness of the program and for education purposes. Prosecution will be
difficult where local public opinion does not support the need for the restriction or the courts are not fully
aware of the public health hazards associated with the crime.

Requirements for Harvesters. Precautions exercised in gathering shellfish from approved growing areas
may be nullified if shellfish are contaminated with bilge water or polluted overboard water, or in the case
of trucks, with contaminated water on the floor or hazardous materials on or adjacent to the shellstock.
Also, several investigations have been conducted by States and the FDA regarding shipments of shellfish
where product deterioration resulted when shellstock was held or shipped under adverse conditions such
as direct sunlight and warm temperatures. These studies reaffirm the critical role that adequate shellstock
protection and refrigeration plays when ambient temperatures are high. Product deterioration and bacterial
growth occurs when shellstock is left exposed for several hours on harvest boats. If this shellstock is
transported in trucks without adequate prechilling and in-transit refrigeration, product deterioration
continues.

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The majority of studies on microbiological quality of shellfish point up the need to refrigerate shellstock
quickly after harvesting and maintain the product below 10°C (50°F) throughout processing, distribution
and storage. It should be noted that a study by Cook and Ruple reported in 1989, showed that 10°C (50°F)
storage of summer harvested Eastern oyster shellstock from the U.S. Gulf Coast, prevented the
multiplication of fecal coliforms and vibrios, including Vibrio vulnificus. Universally, food control
officials consider shellfish as a potentially hazardous food that is capable of supporting rapid and
progressive growth of infectious or toxigenic microorganisms. Other foods in this category are milk, milk
products, eggs, meat, poultry and fish. Generally, FDA recommends that potentially hazardous food be
held at 5°C (41°F) or below, and if large volumes are involved in processing, methods be employed to
rapidly cool the product to an internal temperature of 5°C (41°F) within four hours.

Several studies have established that some pathogenic Vibrio species and other autochthonous bacteria
may be present in marine sediments throughout the year. One study of Vibrio species and Aeromonas
hydrophila in sediments of Apalachicola Bay, Florida, routinely detected V. parahaemolyticus, V.
alginolyticus, and A. hydrophila and during some portions of the year at relatively high levels (up to
46,000 organisms per gram). Additionally, V. vulnificus, V. cholerae, V. fluvialis were detected at levels
up to 2,400 organisms per gram of sediment.

Furthermore, there is evidence that some pathogenic organisms will survive in shellfish for a considerable
length of time after harvesting and that some bacterial pathogens may multiply in the absence of adequate
refrigeration. Vibrio species can also survive on inadequately cleaned equipment in a processing plant.
Washing sediments from shellstock at the time of harvest helps to protect the shellfish and the processing
equipment from becoming contaminated. Washing shellstock also helps to prevent quantities of mud and
other bacteria from being mixed with the shucked shellfish, thereby contributing to high bacteria counts in
the finished product. Muddy shellstock also makes it difficult to maintain shucking rooms in a clean,
sanitary condition.

Water used for shellstock washing should be of good sanitary quality, to avoid possible contamination of
the shellstock. There are instances when shellstock washing by the harvester might introduce a sanitary
hazard because of the possible tendency of the harvester to wash the shellstock with polluted water from a
harbor area, rather than with clean water from a growing area. Therefore, the Authority may waive the
requirement for shellstock washing by the harvester when there are climatic, technical, or sanitary reasons
for such action. In such event, the processor becomes responsible for washing shellstock.

It is necessary to protect the shellfish from pollution by disease-causing organisms that may be present in
body wastes discharged from boats. This item is intended to protect the shellfish from chance pollution
during harvesting. The likelihood of body wastes being discharged from boats will be considered in
evaluating the sanitary quality of the harvesting area. If discharges are not adequately controlled, the area
cannot meet the classification requirements for an approved harvesting area.

Licensing of each person who harvests shellfish for sale to a certified dealer is an important control
measure to help protect against illegally harvested shellfish and to help maintain accurate source identity
records. Harvesters must provide information necessary to create a record of the origin, quantity, and date
of harvest that can be used to trace lots of questionable shellstock back to the source(s). Investigation of
disease outbreaks can be severely hindered if the source of the shellfish cannot be readily identified. This
can result in shellfish from the unacceptable source continuing to be used and continuing to cause illness.
Health authorities may be forced to close safe areas, to ban safe shipments or to seize safe lots as a public
health precaution if the source of contaminated shellfish cannot be accurately and rapidly determined.

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Chapter IX. Transportation

Requirements for the Authority. Studies conducted during the period from pre-1925 to 1989 showed
that the bacteriological examination of shellfish is an important tool in detecting: product mishandling;
temperature abuse; and gross errors in growing area classification. The studies also demonstrated that
shellfish will generally reflect the bacteriological quality of the water in which they have grown.
However, this relationship is not consistent. Variation reflects differences in species and product forms
and seasonal conditions at the time of harvest. Some studies concluded that there is no single uniform
bacteriological standard which could be applied to all species of shellfish.

Efforts to develop satisfactory bacteriological criteria for interstate shipments of shellfish (especially
oysters) as received at the wholesale market level were begun in 1950. During the period from 1950 to
1964, there were many studies conducted to determine the bacteriological changes associated with
shellfish harvesting, shucking - packing and marketing. Throughout this period various coliform and plate
count standards were developed under the NSSP. However, it wasn't until 1965, that the fecal coliform
and standard plate count criteria were applied to all species of shucked oysters at the "wholesale market
level" (wholesale market level not defined). In 1968, the NSSP Workshop adopted these criteria,
presumably for all species and product forms of oysters, clams and mussels.

Certified dealers are responsible to assure that shellfish purchased for direct sales, further shipments, or
processing are safe and wholesome. The safety of shellfish is predicated on the cleanliness of the growing
area waters from which they are obtained, and the sanitary practices applied during harvesting and
shipping.

The positive relationship between sewage-polluted shellfish and enteric disease has been demonstrated
many times. Because physiologically active shellfish pump and filter large quantities of water as part of
their feeding process, rapid intake and concentration of bacteria, viruses, marine toxins, and other
poisonous and deleterious substances may occur. Therefore, the shellfish may contain higher levels of
chemical contaminants or pathogens than are found in the water in which they grow.

The shellfish-water bacteria ratio depends upon the shellfish species, water temperature, presence of
certain chemicals, and varying physiological capabilities of the individual animals. If the water in which
the shellfish are grown is polluted, it may be assumed that the shellfish will also contain pathogenic
bacteria or viruses capable of causing disease in man.

In addition, shellfish contaminated by added trace metals can result in illness to man if consumed in
sufficient quantities. Health hazards also may result from the presence of naturally occurring biotoxins
produced by certain marine dinoflagellates. The occurrence of these poisons is related to the
concentration of toxic dinoflagellates in the growing area. The contamination of shellfish by these
dinoflagellates usually occurs in well-defined areas and, in some instances, only during certain seasons
not widespread over all shellfish producing areas.

Cooking does not necessarily ensure safety of contaminated shellfish since, in ordinary cooking
processes; shellfish may not be heated sufficiently to ensure a kill of pathogenic organisms, although a
considerable reduction will take place. Also, normal cooking processes cannot be relied upon to destroy
paralytic shellfish poison.

Certified dealers have three principal responsibilities to assure that the consumer receives a safe product.
The first is to purchase only safe and wholesome raw products. The second is to maintain the product in a
sanitary manner. The final responsibility is to ship the product under sanitary conditions. The tagging and

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shipping records requirements, the sanitary shipping practices requirements, and the raw product
inspection requirements are necessary to fulfill these responsibilities.

Chapter X. General Requirements for Dealers

.01 General HACCP Requirements.

HACCP is a preventive system of hazard control. It consists first of an identification of the likely hazards
that could be presented by a specific product, followed by the identification of the critical control points
in a specific production process where a failure to control would likely result in a hazard being created or
allowed to persist. These critical control points (CCP) are then systematically monitored, and records are
kept of that monitoring. Corrective actions are also documented when problems occur.

The application of HACCP controls by the molluscan shellfish industry, coupled with inspections by
Shellfish Control Authorities based on the HACCP system, are a more effective and efficient system for
ensuring the safety of molluscan shellfish products than the traditional Good Manufacturing Practices-
based system. Adoption of HACCP controls by the molluscan shellfish industry will provide a basis for
enhanced consumer confidence in the safety of molluscan shellfish.

The first step in the HACCP process, called Hazard Analysis, should include an assessment of both the
likelihood that a food safety hazard will occur and its severity if it does occur. To be addressed by the
HACCP system, the hazards must be such that their prevention, elimination, or reduction to acceptable
levels is essential to the production of safe food. Even factors beyond the control of the processor, such as
how the food will be distributed and how it will be consumed, must be considered because these factors
could influence how it should be processed. A hazard is a biological, chemical, or physical property that
may cause a food to be unsafe.

All dealers must conduct a hazard analysis or have one conducted on their behalf. The hazard analysis
need not be performed according to a standardized regime, nor must it be documented in writing for
review by the State Shellfish Control Authority.

The hazard analysis must identify the hazard of pathogen contamination at the receiving CCP as a
significant hazard for all raw, molluscan shellfish products. For this reason, all dealers must have and
implement a written HACCP plan. Other hazards may also be identified (e.g., natural toxins, pesticides
and environmental contaminants) at receiving and at other CCPs. In general, the CCPs identified in
chapters XI.01, XII.01, XIII.01, XIV.01 and XV.01 must be listed in HACCP plans for molluscan
shellfish products. However, a dealer has the option to demonstrate, through the performance of a hazard
analysis, that a particular hazard does not exist for a particular product or processing method, or that it can
be controlled at another CCP in a manner that provides an equivalent level of public health protection.
This option is not provided for the hazard of pathogen contamination at the receiving step.

In addition to listing the food safety hazards that are reasonably likely to occur in the food and the critical
control points necessary to control these hazards, the HACCP plan must establish the critical limits for the
preventive measures at each CCP. Critical limits can be thought of as boundaries of safety for each CCP.
They may be derived from sources such as regulatory standards and guidelines, literature surveys,
experimental studies, and experts. In general, the critical limits listed in chapters XI.01, XII.01, XIII.01,
XIV.01 and XV.01 must be listed in HACCP plans for molluscan shellfish products. However, a dealer
has the option to demonstrate that another critical limit provides an equivalent level of public health
protection. This option is not provided for the hazard of pathogen contamination at the receiving step.

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Monitoring procedures must also be included in the plan. Monitoring is a planned sequence of
observations or measurements to assess whether a critical control point is under control and to produce an
accurate record for future use in verification. Monitoring: 1) tracks the system's operation so that a trend
toward a loss of control can be recognized, and a process adjustment can be made before a deviation
occurs; and 2) indicates when loss of control and a deviation has actually occurred, and corrective action
must be taken. Monitoring intervals must be frequent enough to permit the dealer to determine whether
the hazard is under control.

While the HACCP system is intended to prevent deviations from a planned process from occurring,
perfection is rarely, if ever achievable. When a deviation from a critical limit occurs, corrective action
must be sufficient to: 1) ensure that no product enters commerce that is injurious to health or is otherwise
adulterated as a result of the deviation; and 2) correct the cause of the deviation. These goals can be
achieved by either predetermining what corrective actions will be taken when a critical limit failure
occurs and then following those procedures, or following the minimum generic-type procedures described
in X.01F(3).

The HACCP plan must also list the records that are necessary to document the result of monitoring at
CCPs. These records must contain the actual values and observations obtained during monitoring. This
requirement ensures that preventive monitoring is occurring in a systematic way.

.02 General Sanitation Requirements. General Sanitation Requirements apply to Chapters XI, XII,
XIII, XIV, and XV as appropriate to the activity being conducted and as required in the Model Ordinance:
(1) Safety of Water for Processing and Ice Production; (2) Condition and Cleanliness of Food Contact
Surfaces; (3) Prevention of Cross Contamination; (4) Maintenance of Hand Washing, Hand Sanitizing,
and Toilet Facilities; (5) Protection from Adulterants; (6) Proper Labeling, Storage, and Use of Toxin
Compounds; (7) Control of Employees with Adverse Health Conditions; (8) Exclusion of Pests.

.03 Other Model Ordinance Requirements. Other Model Ordinance Requirements apply to Chapters
XI, XII, XIII, XIV, and XV as appropriate to the activity being conducted: (1) Plants and Grounds; (2)
Plumbing and Related Facilities; (3) Utilities; (4) Disposal of Other Wastes; (5) Equipment Condition,
Cleaning, Maintenance and Construction of Non-Food Contact Surfaces; (6) Shellfish Storage and
Handling; (7) Heat Shock; (8) Supervision.

.04 Certification Requirements. A principal objective of the NSSP has been to provide a mechanism for
health officials and consumers to receive information as to whether lots of shellfish shipped in interstate
commerce meet acceptable and agreed upon sanitation and quality criteria. Although these requirements
pertain only to interstate shipments, it is recommended that the same requirements be imposed on
intrastate operations. To accomplish this, the NSSP includes criteria and procedures to assure that
producing and processing states receive only product that has been grown, harvested, transported,
processed, and/or shipped in compliance with NSSP guidelines. Certification is dependent on a dealer
maintaining acceptable operational and sanitary conditions. The state must have adequate legal authority
to regulate the sanitary requirements for harvesting, transporting, shucking-packing, and repacking of
shellfish to be shipped interstate. This authority may be either a specific law or a regulation. The success
with which the state is able to regulate all components of the shellfish industry provides a measure of the
adequacy of the statutory authority.

The unique nature of shellfish as a food eaten whole and raw also makes it necessary that the Authority
have authority to take immediate emergency action to halt sale and distribution of shellfish without
recourse to lengthy administrative procedures. As an example, a state may find it necessary to detain lots
of shellfish following reports of illness traced to a certain source of shellfish before confirmatory
laboratory analysis can be conducted to document the causative agent. In taking such action, the
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responsible regulatory agency should be cognizant of the need to use rapid analytical methods for
determining status of these highly perishable products. Periodic revisions of state shellfish laws or
regulations may be necessary to cope with new public health hazards and to reflect new knowledge.
Examples of changes or developments that have called for revision of state laws include the construction
of depuration plants, changes in conservation laws, or the exploitation of a new resource.

State officials who certify dealers must fully comply with the requirements for certification for the
process to remain viable. Certification is intended to provide an unbroken chain of sanitation control to a
lot of shellfish from the moment of harvest to its sale at the wholesale or retail level. For the certification
process to be effective, certified dealers must fully comply with the applicable sanitation requirements
pertaining to the type of operation involved.

The minimum plant sanitation and management guidelines for interstate shellfish shippers are described
in Model Ordinance Chapters XI., XII., XIII., XIV., and XV. Only those shellfish firms that meet the
guidelines are eligible for certification as Interstate Shellfish Shippers and may be listed in FDA's
monthly publication of the ICSSL. Plants having major non-conformities should not be certified and
certified plants found to have major non-conformities should have their license or permits suspended or
certification canceled. This "List" is mailed to a comprehensive list of interested agencies, industry and or
persons to inform them of approved sources of shellfish. Food control officials throughout the United
States use the "List" to determine that shellfish offered for sale or used in food service establishments
have been produced under the sanitary guidelines of the NSSP. These officials are asked to rely upon the
certification process by not holding up shipments or sales of shellfish lots pending examination.

Inspections of certified shellfish dealers should be conducted at such frequency as is necessary to assure
compliance with NSSP requirements. The recommended frequency of inspection of certified shellfish
dealers is:
Depuration plants (when operating) at least monthly
Shucker packers and repackers: at least quarterly
Shellstock shippers and reshippers: at least semi-annually
To conduct effective inspections, it is necessary that inspectors have adequate equipment and supplies to
measure compliance with applicable requirements. Since the type of equipment and supplies required for
an inspection will vary with the type of establishment, it is recommended that a checklist of equipment be
developed for each dealer classification.

.05-.07 Shellstock Identification, Shucked Shellfish Labeling, Shipping Documents and Records.

The NSSP requires that the product be identified with certain information showing that the shellfish were
harvested by licensed diggers and shipped and processed by certified dealers. This information assists in
tracing the product back through the distribution system to the growing area in the event the shellfish are
associated with a disease outbreak. The requirement for placing the certificate number and shucked
marking on the lid or bottom of packages holding 1873 ml (64 fluid ounces) or more is to discourage re-
use of these containers for illegal purposes.

In case of an outbreak of disease attributable to shellfish, it is necessary that health departments and other
appropriate state and federal agencies be able to determine the source of contamination, and thereby to
prevent any further outbreaks from this source. This can be done most effectively by following the course
of a shipment, through all the various dealers who have handled it, back to the point of origin by means of
records kept by the shellfish dealers. Maintaining adequate records is considered by some industry
members to be a burden. This has resulted in various unacceptable practices being encountered by health
officials, including no written records of purchase, undated shippers tags maintained in an unordered
manner, new shipping tags being placed on a lot without records to correlate the original identity of the
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lot with the new identity, and shellfish on the premises with no tags. Although these dealers often have
"records" in the most general sense, these records are not in the form that meets the intent of the NSSP
certification requirement to provide traceability on a lot-by-lot basis. As a result, follow-up investigations
of disease outbreaks have been stymied, identification of the cause of the outbreak has been delayed, and
outbreaks have continued. The NSSP Guide Section V, Suggested Forms, contains an example of a
typical ledger that may be used to provide the required information.

An example where the failure to maintain adequate records was identified as one of the principal
contributing factors to a series of continuing disease outbreaks was in 1981 and 1982. The outbreaks
continued for several months and affected thousands of people. An investigation by the states involved
and FDA revealed that some states were unable to enforce the record keeping and tagging requirements of
the NSSP. FDA found in one state that approximately one-third or the certified dealers inspected failed to
maintain adequate records. State officials realized that an improved labeling or manifest system was
needed to track shellfish in the marketplace back to the distributor and to the digger. However, they also
recognized that no single source identity and record keeping system would be applicable to all situations
in each state. Therefore, specific requirements should be developed by each state to achieve the NSSP
requirements.

Additionally, the Federal Food, Drug and Cosmetic Act requires that food labels provide an accurate
statement which includes the name and address of either the manufacturer, packer, or distributor; the net
amount of food in the package; the common or usual name of the food; and the ingredients, unless the
product conforms to standard of identity requirements. Foods shipped in interstate commerce having
labels that do not meet these requirements are deemed misbranded and in violation of Section 405 of the
Food, Drug and Cosmetic Act.

.08 Wet Storage in Artificial Bodies of Water.

The purposes of wet storage are the temporary storage of approved shellfish, desanding and improving
palatability. Wet storage facilities are not designed and operated to increase safety of the shellfish.
Therefore, all controls pertaining to shellfish for direct consumption should be applied.

The types, locations, and purposes of wet storage operation are highly variable and may range from
temporary storage near shore in approved areas to onshore tanks using recirculating, synthetic seawater
for the purpose of desanding and salt uptake. Consequently, it is not possible to provide detailed
guidelines in the Model Ordinance and it is necessary for each separate operation to be developed and
evaluated on its own merit with respect to overall program guidelines.

Removing shellfish from growing beds to storage areas close to shore and habitations may subject such
shellfish to constant or intermittent pollution. Shellfish in wet storage tanks are similarly subjected to
pollution if the tank water is obtained from a polluted source. An example of such contamination is the
1956 outbreak of infectious hepatitis in Sweden (691 cases) attributed to oysters contaminated in a wet
storage area.

Shellfish on floats nearshore may be more directly exposed to potential contamination from boats and
surface runoff than are shellfish in their natural growing areas. Therefore, particular emphasis should be
placed on a sanitary survey of the vicinity to assure that chance contamination does not occur.

Careful consideration must be given to designing and operating onshore wet storage tanks to assure that
shellfish are not contaminated during holding or do not die from physiological stresses such as low
dissolved oxygen and unsuitable temperatures or salinity. Excessive mud on the shells and dead shellfish

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may increase bacterial loads in the tanks and lead to increased microbial levels in the shellfish during
storage. Hence, washing and culling the shellfish prior to storage is essential.

Proper hydraulic design of the tank is important to assure an adequate quantity and quality of water with
minimum turbulence at suitable temperatures to achieve the intended purpose of the storage operation.
Inadequate flow or "dead spots" can lead to oxygen deficiency and shellfish mortality if the shellfish are
physiologically active. Minimum turbulence will permit feces and pseudo feces generated by active
shellfish to settle out without being resuspended and ingested. Tanks fabricated with safe material, which
are easily cleanable, will prevent possible adulteration with chemicals migrating from the tank into the
water and will facilitate cleaning and sanitizing.

Commingling of bivalve mollusks with other species in tanks may subject the bivalve mollusks to
contamination from pathogenic organisms from the non-molluscan animals. Fish, crabs, lobsters, and
other marine species may be harvested from polluted areas and may have ingested pathogens or
accumulated them on their body surfaces. Therefore, holding such animals in the same tank with bivalve
mollusks presents a risk of cross contamination. This risk can be avoided by using separate tanks for non-
bivalve molluscan species. Where the same water is used for all tanks, effective disinfection must be
provided prior to entering the tank holding the bivalve species.

Chapters XI, XII, XIII, and XIV. - SHELLFISH PROCESSING AND HANDLING

Requirements for Dealers.

.01 Critical Control Points. [NOTE: these Critical Control Points apply to Chapters XI, XII, XIII, and
XIV as appropriate to the activity being conducted and as required in the Model Ordinance.]

A. Receiving Critical Control Point. Certified dealers are responsible to assure that shellfish purchased
for direct sales, further shipments, or processing are safe and wholesome. The safety of shellfish is
predicated on the cleanliness of the growing area waters from which they are obtained and the sanitary
practices applied during harvesting and shipping. The positive relationship between sewage-polluted
shellfish and enteric disease has been demonstrated many times. If the water in which shellfish are grown
is polluted, it may be assumed that the shellfish will also contain pathogenic bacteria or viruses capable of
causing disease in man. Harvesters and shippers must provide information necessary to create a record of
the origin, quantity, and date of harvest, which can be used to trace lots of questionable shellfish back to
the sources(s).

B. Shellstock Storage Critical Control Point. There is evidence that some pathogenic organisms will
survive in shellfish for a considerable length of time after harvesting and that some bacterial pathogens
may multiply in the absence of adequate refrigeration.

C. Processing Critical Control Point. The bacteria count of the final pack is related to the elapsed time
after shucking when the shellfish are held at temperatures favorable to the rapid growth of bacteria.
Factors which influence the length of time required to lower the temperature of shucked shellfish to 7.2°C
(45°F) include the temperature of blower or other process water, the speed of the individual shucker or
shucking machinery, the frequency with which the shucking containers are delivered to the packing room,
ambient air temperature in the plant, and the temperature of the shellstock being shucked. To maintain
optimum bacteriological quality, it is preferable that the elapsed time between shucking and cooling to a
temperature of 7.2°C (45°F) does not exceed four hours. More rapid processing is very desirable.

D. Shucked Meat Storage Critical Control Point. Shucked shellfish are an excellent medium for the
growth of bacteria. Thus, it is very important that the packaged shellfish be cooled and refrigerated
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promptly so that bacteria growth is minimized. Studies have shown that bacterial growth is significantly
reduced at storage temperatures of less than 7.2°C (45°F) and that storage in wet ice is the most effective
method for refrigeration of shucked meats.

.02 Sanitation Requirements. [NOTE: these General Sanitation Requirements apply to chapters XI, XII,
XIII, and XIV as appropriate to the activity being conducted and as required in the Model Ordinance.]

A. Safety of Water for Processing and Ice Production. Water should be safe and sanitary to avoid
contamination of food-contact surfaces and the product. Ice may become contaminated by non-potable
water or may become contaminated during freezing or in subsequent storage or handling. When non-
hermetically sealed containers of shellfish are stored in unsanitary ice, a partial vacuum may form within
the containers and draw water from the melting ice into the container and contaminate packed shellfish.
Special attention should be given to ice used for direct contact chilling of shellfish meats to assure that the
ice is of acceptable quality. Water used for shellstock washing should be of good quality, to avoid
possible contamination of the shellstock. The organisms causing typhoid fever, hepatitis, and other
gastrointestinal diseases may be present in the body discharges of cases or carriers, and thus be present in
the drainpipes in the plants. Correctly installed plumbing protects the water supplies against cross
connections and back siphonage.

B. Condition and Cleanliness of Food Contact Surfaces. Colanders, shucking pails, skimmers,
blowers, and other equipment or utensils which come into contact with the shucked shellfish and which
have cracked, rough, or inaccessible surfaces or are easily cracked or chipped, or which are made of
improper material, are apt to harbor accumulations of organic material in which bacteria or other
microorganisms may grow. These microorganisms may later cause illness among those who eat the
shellfish, or spoilage in the shucked shellfish. Slime and foreign material, which accumulate in blower
pipes below the liquid level, afford an excellent breeding place for bacteria. This material may be
dislodged and forced into the batch of shellfish in the blower, thus increasing the bacterial content of the
shellfish. Cleaned and sanitized equipment and utensils reduce the chance of contaminating shellfish
during shucking and processing. Shellfish furnish an excellent growth medium for spoilage
microorganisms, and small numbers of these microorganisms on improperly sanitized equipment may
multiply to very high levels in the finished pack. Use of sanitizers is not effective unless the equipment is
first thoroughly cleaned and rinsed.

C. Prevention of Cross Contamination. The nature of shellfish operations is such that the shellfish
require protection from undesirable microorganisms, chemicals, filth, or other extraneous materials. This
protection is achieved by properly selecting the plant location so that it is not contaminated by
floodwaters. It is normal during shucking operations for shucker's clothing to become very soiled. If
shuckers enter the packing room, shucked stock, cans, and other equipment may become contaminated. A
delivery window has proven to be an effective means of keeping shuckers out of the packing room. If
shellstock are stored where polluted ground or surface water or floor drainage can accumulate, the
shellstock may become contaminated.

D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities. Hand washing by
employees is an important public health measure. Providing convenient, properly constructed and
plumbed facilities, supplied with soap and towels encourages employees to wash hands frequently and
correctly. Washing of hands with soap and drying with single service towels or a hand-drying device
improves the sanitizing of the hands. Disease-causing microorganisms may be present in body discharges
of employees that are cases or carriers of communicable disease organisms. When sewage disposal
facilities are of a satisfactory type, there is less possibility that the shellfish being processed may become
contaminated with fecal material carried by flies, rodents, or by other means.

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E. Protection from Adulterants. Shielded light fixtures help protect the food, equipment, and employees
from glass fragments should the fixture break. Ventilation, plumbing, and air intakes for blowers can all
introduce adulterants into the area where shellfish are stored or processed. Care must be exercised to
prevent the entrance or leakage of adulterants. Shellfish can also be contaminated by hydraulic fluid or
other lubricants, dirt or other filth, or contaminated ice. Care must be used to prevent adulterants in these
items from contacting shellfish.

F. Proper Labeling, Storage, and Use of Toxic Compounds. In order to reduce the potential for
contamination, stored poisonous or toxic materials should be limited to those necessary to maintain the
establishment. Proper labeling, use, storage, and handling are essential to prevent accidental
contamination of shellfish and to assure the safety of workers and the consumer.

G. Control of Employees with Adverse Health Conditions. It is considered good public health practice
for any person who, by medical examination or supervisory observation, is shown to have, or appears to
have, an illness, open lesion, including boils, sores, or infected wounds, or any other abnormal source of
microbial contamination by which there is a reasonable possibility of food, food-contact surfaces, or food-
packaging materials becoming contaminated, to be excluded from any operations which may be expected
to result in such contamination until the condition is corrected. Personnel should be instructed to report
such health conditions to their supervisors.

H. Exclusion of Pests. Controlling flies, cockroaches, and other insects may prevent shellfish and food-
contact surfaces from being contaminated with disease organisms. Controls should be directed at
preventing the entrance of insects, rodents, and other vermin into the building, and at depriving them of
food, water, and shelter.

.03 Other Model Ordinance Requirements.

A. Plants and Grounds. The plant and building facilities should be kept clean so as to minimize the
chance of contamination of shellfish during processing. Rooms or lockers should be provided for
clothing, aprons, and gloves to eliminate the tendency to store such articles on the shucking benches or in
packing rooms, where they interfere with plant clean up and operations. Properly graded floors, of
durable, impervious material, maintained in good condition, permit rapid disposing of liquid and solid
wastes, and facilitate easy cleaning of the plant. Smooth, washable walls and ceilings are more easily kept
clean and are, therefore, more likely to be kept clean. A light colored paint or finish aids in the
distribution of light and in the detection of unclean surfaces. Clean walls and ceilings are conducive to
sanitary handling of shellfish. Maintaining the plant grounds and using physical barriers provides
protection from filth, chemicals, microorganisms, or other extraneous materials. Miscellaneous equipment
and articles may interfere with plant operations and make clean up more difficult.

B. Plumbing and Related Facilities. Adequate toilet and Hand washing facilities, including running
water, soap, and sanitary drying facilities also are essential to personal cleanliness of the workers.

C. Utilities. Adequate lighting encourages and facilitates keeping rooms, equipment, and the product
clean by making dirt and unsanitary conditions conspicuous. Comfortable working conditions increase the
efficiency of the workers, and may promote sanitary practices. Adequate ventilation reduces condensation
and aids in retarding the growth of mold. Excessive temperatures also promote growth of spoilage
microorganisms in shellfish and on food-contact surfaces.

D. Insect and Vermin Control. Controlling flies, cockroaches, and other insects may prevent shellfish
and food-contact surfaces from becoming contaminated with disease organisms. Controls should be
directed at preventing the entrance of insects, rodents, and other vermin into the building, and at depriving
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them of food, water, and shelter. Fly control measures, such as insecticide spraying, may also be
necessary on the shell pile.

E. Disposal of Other Wastes. Shellstock shipping and shucking facilities can protect against infestation
by vermin if building entrances are protected, the grounds do not provide harborage, and there is no food
available in the buildings or on the grounds. Removing shell and organic processing wastes from the plant
and properly disposing of these wastes can play a key role in controlling vermin. Methods found to be
suitable for removing these materials without contaminating the shucked product include conveyors,
baskets, barrels, wheelbarrows, and shell drop-holes. When shells are to be temporarily piled or stored on
the premises, special controls may be needed. Organic wastes, including culled shellfish, clam siphons,
and surf and ocean quahog viscera, need to be discarded into separate containers from the shells in the
plant during shucking. These wastes can then be disposed of separately from the shell at, for example, a
landfill. Proper disposal and prompt removal of shell and non-edible wastes from the plant also makes it
possible to keep the premises clean, and decreases the likelihood that any product or food-contact surfaces
will become contaminated.

F. Equipment Construction for Non-Food Contact Surfaces. Unless shucking benches, stands, blocks,
and stalls are made of smooth material and are easily cleaned, they will become very dirty and may
contaminate the shellfish.

G. Cleaning of Non-Food Contact Surfaces. Determining an adequate cleaning procedure for facilities
and equipment will depend upon which method of sanitizing is selected and what equipment and utensils
are identified to be washed in a sink or washed "in place." Detergents and brushes, including special
brushes that may be needed for cleaning equipment, such as blower lines, should be available. Cleaning
and sanitizing of equipment and utensils should be initiated immediately after processing operations are
finished. Postponing clean-up operations results in more difficult cleaning, creates conditions conducive
to growth of bacteria and mold, which may not be completely removed, and may result in product
contamination.

H. Shellfish Storage and Handling. The sanitary requirements for individual shellfish dealers are
variable since they may engage in several different phases of processing and distribution. Some shellstock
shippers may have only a truck that is used to ship shellstock from a harvester to a processor or the
market. Other shippers must have a building where shellstock is stored, repacked, or labeled.
Consequently, the applicable sanitary controls must be based on an evaluation of the individual
characteristics of the operation. Single-service and single-use containers, which have not been stored and
handled in a sanitary manner, may become contaminated and thus may contaminate the packaged
shellfish. Unacceptable practices that can interfere with the prompt handling, packing, and refrigerating of
shellfish include holding shucked meats at the shucking station for prolonged periods, return of overage to
the shucker, and bench grading of shucked meat. Another frequently encountered unacceptable practice is
soaking of shucked meats for prolonged periods in water for the purpose of increasing yield through
uptake of fresh water by the shellfish.

I. Heat Shock. The primary objective of heat shock is to facilitate shucking of shellfish. Due
consideration in developing the scheduled process must be given to a large number of factors which affect
the heat shock process. Heat penetration into the shellfish will vary with species and size. Even regional
variations in shell thickness and shape may affect the length of time required to reach the desired internal
temperature. The temperature and time of exposure must be such that the adductor muscle is sufficiently
relaxed to open easily but must allow the shellfish to remain alive. The scheduled process may be
developed from studies conducted by the state, by a knowledgeable processor in cooperation with state
shellfish control authorities, by shellfish experts such as university biologists, or by any other person with
adequate knowledge of the technical control procedures. The person responsible for developing the
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scheduled process should retain all records of process operations so the FDA may review them and state
shellfish control authority if questions arise regarding the adequacy of the scheduled process or its use.

J. Post-Harvest Processing. Vibrio vulnificus has been identified as an organism of concern to at-risk
consumers of shellfish. Post-harvest treatments which can demonstrate that the process achieves end point
criteria of non-detectable (<30 MPN/gram) for Vibrio vulnificus can provide a product that has a reduced
level of risk for these at-risk consumers. Applying those processes enables the dealer to label treated
products "Processed to reduce Vibrio vulnificus to non-detectable levels."

K. Toxic Materials. Proper labeling, use, storage, and handling are essential to prevent accidental
contamination of shellfish and to ensure the safety of workers and the consumer.

L. Personnel. Disease producing agents may be carried on the hands of shuckers and packers unless
proper Hand washing is practiced. Finger cots, gloves, and shields, unless effectively sanitized
periodically, will accumulate bacteria that may contaminate the shucked shellfish. Employees handling
shucked shellfish need to sanitize their hands as an added public health control practice.

M. Supervision. Hand washing by employees is an important public health measure. Unless someone is
made specifically responsible for this practice, it is apt to be forgotten or overlooked. Similarly, one
person must be responsible for plant clean up. In general, it is considered to be good practice to clearly
assign supervisory personnel the responsibility for assuring compliance by all personnel with all
requirements.

Chapter XV. Depuration

Requirements for the Authority

.01 Administration

Depuration is intended to reduce the number of pathogenic organisms that may be present in shellfish
harvested from moderately polluted (restricted) waters to such levels that the shellfish will be acceptable
for human consumption without further processing. The process is not intended for shellfish from heavily
polluted (prohibited) waters nor to reduce the levels of poisonous or deleterious substances that the
shellfish may have accumulated from their environment. The acceptability of the depuration process is
contingent upon the Authority exercising very stringent supervision over all phases of the process.

The depuration process shall be under the effective supervision of the Authority. The Authority shall have
a management plan which details procedures for regulating the harvesting from restricted areas;
controlling the transport of shellfish between the harvest area and to the depuration plant; approving plant
design and operation, including subsequent changes; certifying and inspecting plants in accordance with
the requirements of the Model Ordinance; and, prohibiting interstate shipments in the event that
nonconformities are found which compromise the validity of the process. A Memorandum of
Understanding (MOU) shall be developed between appropriate Authorities when more than one Authority
is involved in the management plan.

Extensive administrative procedures are essential if the Authority is to adequately control a very complex
operation such as depuration. There are numerous critical control points where significant deviation can
result in the distribution of contaminated shellfish. Control over the harvesting areas is needed to ensure
that the shellfish are not so contaminated that cleansing will be inadequate. Adequate control measures
must be taken to prevent diversion of undepurated shellfish into the marketplace. Shellstock delivered to

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the depuration plant must be properly identified with information necessary to trace each harvest lot back
to the harvest area, date of harvest, and harvester or group of harvesters.

Shellfish destined for depuration plants shall be protected as necessary during harvesting and transporting
to prevent further contamination and undue physiological stress that could reduce the effectiveness of the
depuration process. Thermal and physical shock can adversely affect the pumping action of shellfish and
reduce the rate of elimination of microorganisms. Additional contamination of the shellfish during harvest
could raise bacterial levels to such a point that adequate depuration will not occur. Thermal abuse may
also cause bacterial levels to reach the point that depuration may not be effective in 48 hours. The types of
protection that may be provided to prevent thermal abuse include; but, are not limited to: furnishing shade
in warm weather; providing refrigeration in transit; ensuring rapid transit to the depuration plant;
preventing freezing in cold weather; preventing breakage of shells; and, optimizing holding or storage
time before depuration.

Depurated shellfish require an increased level of control compared to shellfish from approved areas
because of the increased potential for contamination. These controls must include packaging and labeling
that will serve to help identify the deputation cycle of each harvest lot and to deter illegal commingling of
undepurated shellfish with depurated shellfish. Such controls include prohibition against commingling of
harvest lots during packing, tags that identify the shellfish as being depurated, and a prohibition against
repackaging after the shellfish leave the depuration plant. It is recommended that tamper-evident seals be
used on the packages as a further deterrent. Design, construction and operation of the plant must adhere to
guidelines established in the Model Ordinance. Finally, the inspection program must be adequate to detect
critical deviations and to effect immediate correction or prevent the sale of suspect shellfish.

Requirements for the Depuration Processor

.01 Critical Control Points

A. Receiving Critical Control Point

Shellfish intended for deputation must be harvested only from growing areas meeting the water quality
requirements for approved, conditionally approved, restricted, or conditionally restricted areas in the open
status.

It has been amply demonstrated that shellfish harvested from prohibited areas should not be used for
depuration. Depuration studies have been conducted on the relationship of initial levels of indicator
bacteria and viruses to the levels of these indicators after varying lengths of time. These studies have
indicated that consistent reductions of both bacteria and viruses to low levels can be achieved with
moderately polluted shellfish, but satisfactory results cannot be obtained with heavily contaminated
shellfish.

It is also essential that shellfish harvested from restricted or conditionally restricted areas be
controlled so these shellfish are not illegally diverted and sold. This usually necessitates special
procedures for monitoring harvest operations and tagging the shellfish. Methods that may be
employed include the use of specially designed, labeled, or colored containers; or the use of
colored or distinctly shaped tags. If shellfish are transported in bulk, other methods to distinguish
the shellfish as originating from restricted or conditionally restricted areas may need to be
employed. Recommended measures include continuous surveillance of the boat or truck,
transporting in trucks sealed with a serially numbered, tamper-evident seal, or a count by the
Authority of the quantity shipped and quantity received at the depuration plant.
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B. Processing Critical Control Points

Depuration is a complex biological process. Individual species respond in different ways to various
combinations of operational criteria including water turbidity, salinity and temperature, depth of shellfish in
the baskets, and tank design. Consequently, it is necessary to establish process effectiveness on a
continuous basis. Continuous process verification is accomplished by comparing the means and variability
of end-product data from consecutive harvest lots for each species of shellfish harvested with species-
specific critical limits for these parameters established empirically through extensive field work. The
depuration process is considered to be verified or operating effectively for the harvest lot and species
harvested if the end-product data meets these established species-specific critical limits. New harvest areas,
harvest areas having little end-product data, and harvest areas which have failed process verification are all
subject to addition, more rigorous requirements under the conditional protocol. This process is designed to
prevent potentially adulterated shellfish from unproven or ineffective depuration from reaching the
marketplace.

C. Finished Shellstock Storage Critical Control Point

Depurated shellfish must be stored in a manner that maintains quality and prevents the shellfish from
becoming contaminated. Two options are available to meet this requirement. The first is to bring and
maintain the product under appropriate temperature control (45°F) by icing or refrigeration. In this way
any low levels of bacteria that remain in the shellfish after depuration will be prevented from growing and
reaching the point at which they may become harmful. The second option is to wet store depurated
shellfish in waters of appropriate sanitary quality which meet the requirements of Chapters VII or X in the
Model Ordinance.

.02 Sanitation

A. Safety of Water for Processing and Ice Production. The source of the process water and the water
treatment system must be such that an adequate volume and quality of process water can be provided to
accomplish effective depuration. Currently all plants in the United States use ultraviolet light (UV) for
disinfection of process water. Numerous studies have shown UV treatment to be highly effective for
inactivating bacteria and viruses provided the units are properly operated and maintained. In choosing a
UV treatment system, consideration should be given as to whether the process water will be recirculating
or flow through and whether the type of plant and flow rate are compatible with the UV treatment system.

As with any disinfection system, microbial inactivation is strongly dependent on the dose-time
relationship which, for UV treatment is primarily a function of water depth and turbidity. Contact time is
a function of the flow rate of the water and cross-sectional area or volume of the unit. In order for the UV
lights to remain effective, the tubes must be kept clean to prevent build-up of materials which reduce
radiation intensity. The amount of radiation must be monitored and the UV tubes replaced when they are
no longer effective.

Ozone has been used for many years in Europe for treating depuration process water. Care must be taken
in using ozone or other chemicals which may react with organic and inorganic components in the water to
form compounds which adversely affect physiological activity. Disinfection with ozone and other
chemicals could constitute a food additive situation requiring FDA approval before use.

Ice should be produced using potable water to avoid contamination. Care should also be exercised to
avoid contamination of the ice during freezing or in subsequent storage and handling.

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Shellfish washing should make use of water of good sanitary quality to avoid possible contamination or
added contamination of the shellfish. Whatever the source, shellfish wash water must be of the sanitary
quality of potable or drinking water .

B. Condition and Cleanliness of Food Contact Surfaces. The need to effectively clean and sanitize
processing tanks, containers and pipes carrying process water is well established. The inadequate cleaning
and sanitizing of process equipment can result in microorganisms being resuspended in the process water
and increasing the bacterial loading to such a level that adequate depuration will not occur.

Processing tanks and containers used to hold shellfish that have cracked, rough or inaccessible surfaces,
or made of improper material, are apt to harbor accumulations of organic material in which bacteria,
including pathogens, may reside and grow. Such organisms can be regularly introduced into the system
and these potentially may contaminate the shellfish. Surfaces, therefore, must be smooth and easily
cleanable if bacteria are to be flushed out in the cleaning and sanitizing process. Uncleanable surfaces can
result in inconsistent depuration effectiveness, and, possibly, the reintroduction of pathogens into the
shellfish.

C. Prevention of Cross Contamination. Shellfish must be stored in a manner that will protect them from
contamination while in dry storage and at transfer points. Employees should be encouraged to practice
good personal hygiene, as they may be a source of cross-contamination.

D. Maintenance of Hand Washing, Hand Sanitizing, and Toilet Facilities. Adequate toilet, hand
washing and sanitizing facilities must be provided. Hand washing by employees is an important public
health measure. Providing convenient, properly constructed and plumbed facilities, supplied with soap
and towels encourages employees to wash their hands frequently and correctly. Washing of hands with
soap and drying with single service towels or a hand-drying device improves the sanitizing of the hands.

E. Protection from Adulterants. Shielded light fixtures help protect the shellfish from contamination
with glass fragments should the fixture break. Ventilation, plumbing, and air intakes can all introduce
adulterants into the area where shellfish are stored or processed. Shellfish can also be contaminated by
hydraulic fluid or other lubricants, dirt or other filth, or contaminated ice. Care must be used to prevent
adulterants from any source from contacting the shellfish or shellfish contact surfaces.

F. Proper Labeling, Storage, and Use of Toxic Compounds. In order to reduce the potential for
contamination, stored poisonous or toxic materials should be limited to those necessary to maintain the
plant. Proper labeling, use, storage, and handling are essential to prevent accidental contamination of
shellfish and to assure the safety of workers and the consumer. Only those chemical agents necessary for
plant operations shall be present in the plant and shall be used only in accordance with labeling.

G. Control of Employees with Adverse Health Conditions. It is considered good public health practice
for any person who, by medical examination or supervisory observation, is shown to have, or appears to
have an illness, open lesion, including boils, sores, or infected wounds, or any other abnormal source of
microbial contamination by which there is a reasonable possibility of shellfish, shellfish contact surfaces,
or shellfish packaging materials becoming contaminated, to be excluded from any operations which could
be expected to result in such contamination until the condition is corrected. Personnel should be instructed
to report such health conditions to their supervisors.

H. Exclusion of Pests. Controlling flies, cockroaches, and other insects may prevent shellfish and
shellfish contact surfaces from being contaminated with disease causing organisms. Controls should be
directed at preventing the entrance of insects, rodents, and other vermin into the plant and at depriving
them of food, water, and shelter.
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. 03 Other Model Ordinance Requirements.

A. Plants and Grounds. Physical facilities of the plant including the processing system shall be kept in
good repair, and are cleaned and sanitized as necessary. No miscellaneous equipment is stored in
processing or holding areas. The plant and building facilities should be kept clean so as to minimize the
chance of contamination of shellfish during processing. Rooms or lockers should be provided for
clothing, aprons and gloves to eliminate the tendency to store such articles where they may interfere with
plant cleanup and operations. Properly graded floors, of durable, impervious material, maintained in good
condition, permit rapid disposing of liquid and solid wastes, and facilitate easy cleaning of the plant.
Smooth, washable walls and ceilings are more easily kept clean and, therefore, are more likely to be kept
clean. A light colored paint or finish aids in the distribution of light and in the detection of unclean
surfaces. Clean walls and ceilings are conducive to sanitary handling of shellfish. Maintaining the plant
grounds and using physical barriers provides protection from filth, chemicals, microorganisms, or other
extraneous materials. Miscellaneous equipment and articles may interfere with plant operations and make
cleanup more difficult.

The grounds about a depuration plant must be free from conditions that may result in contamination of
shellfish at any time during processing and storage. The plant building or structure shall be suitable in
size, construction, and design to prevent contamination of shellfish by animals and other pests; to keep
untreated and treated shellfish separate; and to facilitate adequate cleaning, sanitizing, operation, and
maintenance of the depuration facilities. Processing tanks, containers, piping and conveyances must be
enclosed within a protective structure.

It is essential that depuration plants be designed and constructed so shellfish will be adequately protected
and consistently depurated. Research on the depuration process and experience gained in commercial
facilities has led to some generally accepted standards that are critical for effective depuration. Other
design and construction criteria are less clearly defined, and only general guidance is available.
Additionally, the plant must be designed and constructed so adequate cleaning and sanitizing can be
accomplished, and to facilitate proper operation.

B. Plumbing and Related Facilities. Adequate toilet and hand washing facilities, including running
water, soap, and sanitary drying facilities are essential to personal cleanliness of the workers. Adequate
floor drainage and backflow preventers are installed where appropriate. Drainage or waste pipes are not
installed over shellfish processing or storage areas; nor, are they installed in areas in which shellfish
containers and utensils are stored. Such precautions will minimize the potential for cross contamination.

C. Utilities. Adequate lighting encourages and facilitates keeping rooms, equipment, and the product
clean by making dirt and unsanitary conditions conspicuous. Comfortable working conditions increase the
efficiency of the workers, and may promote sanitary practices. Adequate ventilation reduces condensation
and aids in retarding the growth of mold. Adequate ambient temperature control prevents excessive
temperatures that promote growth of spoilage microorganisms and potential pathogens in shellfish and on
shellfish contact surfaces.

D. Insect and Vermin Control. Controlling flies, cockroaches, and other insects may prevent shellfish
and shellfish contact surfaces from becoming contaminated with disease causing organisms. Controls
should be directed at preventing the entrance of insects, rodents, and other vermin into the plant and at
depriving them of food, water, and shelter.

E. Disposal of Wastes. Depuration facilities can protect against infestation by vermin if building
entrances are protected, the grounds do not provide harborage, and there is no food available in the plant
or on the grounds. Removing shell culled shellfish and organic processing wastes from the plant and
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properly disposing of these wastes can play a key role in controlling vermin. Proper disposal and prompt
removal of shell and non-edible wastes from the plant make it possible to keep the premises clean and
decreases the likelihood that any shellfish or shellfish contact surfaces will become contaminated.

F. Equipment Construction for Non-Food Contact Surfaces. Unless storage and handling equipment
are made of smooth material and are easily cleaned, they will become very dirty and may contaminate the
shellfish.

G. Cleaning of Non-Food Contact Surfaces. Cleaning of the depuration tanks and equipment must be
performed in a manner and at a frequency that will preclude the potential for contamination of the
shellfish or shellfish contact surfaces.

H. Shellfish Storage and Handling. Washing of shellfish prior to depuration rids shells of sand, mud,
and detritus that may interfere with depuration and may make tank cleaning difficult. The type of harvest
method may negate the need for additional washing however. At other times, thorough washing at the
plant may be necessary to adequately remove mud. Depurated shellfish shall be washed and culled after
depuration and packaged in clean containers fabricated from safe materials. Different harvest lots of
shellfish must not be commingled during packing. After depuration, washing removes feces and pseudo-
feces that may cling to shells and may recontaminate the shellfish meats during processing or
consumption. Non-depurated shellfish must be stored in a manner that maintains their physiological
ability to cleanse themselves and prevents post harvest contamination. Otherwise, depuration may not be
effective. Depurated shellfish must be stored in a manner that will maintain their quality and prevent
recontamination.

I. Personnel. Personnel are not allowed to store clothing or other belongings, eat, drink or smoke in areas
where shellfish are processed or stored. Such activities could lead to cross contamination of the shellfish
or shellfish contact surfaces.

J. Supervision. Management shall clearly designate a knowledgeable and competent individual to be

present at the plant and be accountable that appropriate operating procedures and proper personal hygiene
practices are followed. The supervisor will also maintain complete and accurate records that will permit
each batch of depurated shellfish to be traced back to its source, and will account for all product sample
results and measurements of critical parameters for each cycle. One person must be responsible for plant
cleanup. In general, it is considered to be good practice to clearly assign supervisory personnel the
responsibility for ensuring compliance by all personnel with all requirements.

K. Plant Operating Manual. The plant must prepare a written Depuration Plant Operations Manual
(DPOM). A copy of this Manual must be kept in a location that is accessible to plant personnel
responsible for the depuration activity. The DPOM will be kept current and contain all the information
and records relevant to the operation of the depuration plant, and will be formatted to include the
following:

(1) Introduction.

The introduction must contain information relative to the current status of the DPOM (create,
revise, update, etc.), ownership of the plant, proposed schedule of operation, potential harvest
areas and plant capacity.

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(2) Description of the Facility.

The DPOM must contain site plan drawings for the plant, the facility layout including a detailed
schematic of the entire depuration system, a schematic drawing of the process, shellfish flow
diagram showing the movement of the shellfish throughout the plant, and a schematic of the
process water delivery and distribution system. Essentially, the documentation provided should
show that the plant has the capability to achieve effective depuration of the shellfish, provide
adequate storage before and after depuration, and prevent commingling of both depurated and
undepurated shellfish and treated shellfish from different harvest lots.

(3) Design Specifications of the Depuration Unit.

During design and construction of depuration systems, careful consideration must be given to
hydraulic flow through the tank. Non-uniform flow may result in dead spots and oxygen depletion
that lead to inadequate depuration at some locations in the tank. Choice of' design criteria may be
based on existing studies or new studies which verify effectiveness of any new designs. Furfari
reports accepted design criteria for tank loading rates, water flow, and container arrangement. Tank
water volume is recommended to be at least 6,400 liters per cubic meter of shellfish (8 cubic feet of
water per U.S. bushel) for hard clams and eastern oysters and 4,000 liters per cubic meter of
shellfish (5 cubic feet per bushel) for soft clams. A minimum flow rate of 107 liters per minute per
cubic meter of shellfish (1 gallon per bushel) is recommended to maintain adequate oxygen levels.
A clearance space of at least 7.6 cm (3 inches) is recommended for separating containers of
shellfish in the tanks and between the shellfish containers and the bottom and sides of the tanks.

(4) Laboratory to be Utilized for Microbial Analyses.

Sample analyses shall be conducted by a laboratory approved by the Authority pursuant to the
requirements of Chapter III in the Model Ordinance. Use of an approved laboratory ensures the
quality and reliability of the analytical results.

(5) Depuration Process Monitoring.

If shellfish are released for sale before they are adequately depurated, adulterated shellfish may
reach the market. It is essential; therefore, to implement an adequate sampling program designed to
determine if critical environmental conditions are being met and if the shellfish being released to
the market meet accepted criteria. Extensive field-testing has resulted in a set of species-specific
critical limits being established which indicate the effectiveness of depuration process. These limits
are referred to as the Critical Limits for the Indices of Depuration Plant Performance.

(6) Standard Operating Procedures.

Since effective depuration is dependent upon the control of a wide range of interrelated variables, it
is essential that a set of standard operating procedures (SOPs) be developed which specify the
exact procedures to be used for every aspect of the depuration process from receipt of the shellfish
to data analysis, labeling and tagging. Use of SOPs help to ensure that appropriate actions are
taken at each stage in the depuration process. By so doing, the probability that effective depuration
and safe handling will be achieved is considerably increased and the incidence of processing
mistakes is minimized.

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(7) Record Keeping.

It is essential that detailed identification information be maintained on all harvest lots and shipping
containers of depurated shellfish. In the events that an outbreak of illness occurs, or a question
arises concerning the product, responsible state and federal authorities must be able to trace the
implicated shellfish back to a specific depuration cycle, and to the harvest area. Additionally,
maintaining complete and accurate records of all transactions serves to promote business integrity
wherein all harvesters, processors, and dealers are fully accountable for their product. Records of
product samples and critical parameters within the plant are necessary to determine if the plant is
operating in accordance with the DPOM. Plant records should be kept for at least two (2) years in
order that adequate investigations can be conducted in the event of a suspected illness and in order
that the Authority can make process reviews.

L. Process Verification

Depuration is a complex biological process. Individual species respond in different ways to various
combinations of operational criteria including water turbidity, salinity and temperature, depth of shellfish
in the baskets, and tank design. Consequently, it is necessary to establish process effectiveness on a
continuous basis. Continuous process verification is accomplished by comparing the means and
variability of end-product data for consecutive harvest lots for each species of shellfish with species-
specific critical limits for these parameters established empirically through extensive fieldwork and
referred to as the Critical Limits for the Indices of Depuration Plant Performance. The depuration process
is considered to be verified or operating effectively for the harvest lot and species harvested if the end-
product data meets the established species-specific critical limits for the Indices of Depuration Plant
Performance.

New harvest areas, harvest areas having little end-product data, and harvest areas which have failed
process verification are all subjected to additional, more rigorous requirements under what is known as
the conditional protocol. This process is designed to prevent potentially adulterated shellfish from
unproven or ineffective depuration from reaching the market.

Chapter XVI. Background & Performance of Post Harvest Processing (PHP) Validation/
Verification Protocols

BACKGROUND:

A post harvest process (PHP) to reduce the levels of pathogenic vibrios in shellfish, must be capable of
reducing potentially high summer levels to a level that presents a negligible health risk. Cook et al 2002
indicated that a concentration of Vibrio parahaemolyticus or Vibrio vulnificus of 100,000 per gram was
not uncommon in market oysters harvested from the Gulf Coast during summer months. A WHO/FAO
(2005) risk assessment indicated that a Vibrio vulnificus concentration of below 30 per gram is a
negligible health risk. Therefore, in an attempt to validate a post harvest process to be used throughout
the year, the ISSC adopted as interim guidance, a protocol to assure that the process is capable of
reducing levels of vibrios from an initial MPN level of 100,000/gram to <30/gram.

Obtaining an initial level of 100,000/gram was difficult to achieve consistently in some locations (even
with temperature abuse) except during the hottest part of the summer. This limited the time that a
validation could be conducted to 3 months of the year or less. In an attempt to allow validation during
other times of the year, the ISSC proposed a validation procedure based upon a 3.52 log reduction (this is
equivalent to reducing from 100,000 to 30) regardless of the initial level. A new validation protocol was

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developed which specified an initial level between 10,000 and 100,000 and reduction by 3.52 logs
resulting in a final concentration of <30.

VALIDATION:

Validation is the initial check of a PHP to assure that the process can reduce the concentration of V.
vulnificus and V. parahaemolyticus in shellfish by 3.52 logs and to levels <30 as shown in table 1.
Determining the log reduction for validation uses knowledge of both the initial and final concentrations.
The interval containing the initial concentration determines a test on a single sample for the final
concentration. A multiple dilution test is preferred for finding a concentration and the single dilution for
indicating whether the concentration is above a threshold. For the initial concentration, a serial dilution
with three tubes at each of three or four dilutions was chosen. Four samples are taken to determine the
initial concentration and the adjusted geometric mean is used to combine the MPN results. If four
samples from a lot of shellfish with a true concentration of 100,000 per gram are examined by the MPN
procedure, the probability of the geometric mean of the MPNs showing 100,000 or greater is about 50%.
In an attempt to improve the probability of samples being accepted when the true concentration is
100,000 per gram, an adjustment factor of 1.3 was selected based upon examining tables of the
probability of getting various results from simulated outcomes.

For a process to be validated, no more than three samples out of 30 may fail. Depending upon the initial
load, failure of a single sample is determined according to the table below.

TABLE 1
AGM Interval Grams Per Tube Positive Tubes
Allowed
59,995 or Greater .01 2
37,174 – 59,994 .01 1
23,449 – 37,173 .1 4
12,785 – 23,448 .1 3
10,000 – 12,784 .1 2

The choice of intervals for each test in table 1 tried to keep the probabilities near the original test. The
original test used .01 grams/tube and allowed 2 of the 5 tubes to have growth. It tried to test for 30
cfu/gram. At 30cfu/gram the probability of a tube with .01 grams of homogenate not having growth
equals exp (-30*.01) from a Poisson. From putting this value into a binomial at a final concentration of
30 cfu/gram a single sample has a probability of passing the original test of .88656. The table gives initial
concentrations which can be converted to target final concentrations by multiplying by 30/100,000 ≈ -
3.52 log10.

A change from one test to another was done at a concentration where the probability of passing both tests
was the same distance from the probability of passing the original test. For example, an initial
concentration of 59,995 becomes a target final concentration of

(30/100,000) * 59,995 = 17.9985

At this target final concentration and .01 grams/tube the probability of 2 or fewer growth tubes equals
.96562. The probability of 1 or fewer growth tubes equals .80751. Since .96562 - .88656 and .88656 -
.80751 are equal up to rounding, the initial concentration of 59,995 was chosen as the value to change
between these two tests.

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Since validation tries to assure that a PHP gives the desired log reduction and gets the final concentration
below 30 per gram, an operational characteristic curve is used to determine how well the process works.
For an initial concentration, an operational characteristic curve indicates the probability of passing
validation for various final concentrations.

The probability of passing validation for each pair depends on the initial and final concentrations. The
initial concentration indicates which of the five tests in the validation procedure is used. The final
concentration and the test used give the probability of the sample passing.

The probability of passing any of the five tests in the validation procedure is calculated from the final
concentrations. In addition, simulations generated outcomes from the initial concentration. The adjusted
geometric means for the MPNs of these outcomes indicate the probability of each of the five tests given
the initial concentration. The product of the probability of each test times the probability of passing with
the test were added over all five tests. This gives the probability a sample would pass. Calculating with a
binomial gave the probability that at most 3 of the 30 samples would fail for a validation. The following
table (table 2) gives the probability of passing validation with various combinations of initial and final
concentrations.

TABLE 2
INITIAL FINAL CONCENTRATIONS
CONC. 3 6 9 12 15 18 21 24 27 30 33 36 39 42 45 48 51
10,000 .96 .14 .00
20,000 1 .93 .39 .04 .00
30,000 1 .99 .89 .56 .21 .05 .01 .00
40,000 1 .97 .85 .62 .36 .18 .07 .03 .01 .00
50,000 1 .99 .96 .86 .69 .49 .31 .17 .09 .04 .02 .01 .00
60,000 1 .99 .95 .87 .73 .56 .38 .24 .13 .06 .03 .01 .00
70,000 1 .98 .93 .84 .70 .53 .36 .22 .12 .06 .03 .01 .00
80,000 1 .99 .96 .90 .78 .63 .45 .29 .17 .09 .05 .02 .01 .00
90,000 1 .99 .97 .92 .82 .68 .51 .34 .20 .11 .06 .03 .01 .00
100,000 1 .98 .93 .84 .70 .53 .36 .23 .13 .06 .03 .01 .00

Highlighted areas represent a 3.52 log reduction between initial concentration and final concentration.

The original reason for using 30 samples for validation was to be able to select one each week for 30
weeks during the warm weather. This would have given an idea how the post harvest process performed
under various conditions throughout the summer. In order for this to be more feasible for industry, this
arrangement was changed to 10 measurements on a single lot on each of 3 days.

VERIFICATION:

After initial validation of a PHP, verification of the process must be done monthly. In the verification
process, the output of the PHP is tested to determine if it is below 30 per gram. If a PHP fails
verification, then it has to be revalidated in order to use labeling claims as approved by the ISSC. Any
verification that is not excessively burdensome may miss some problems with the process. Consequently,
if other evidence indicates a problem then action may be needed regardless of verification results.

Samples can be taken throughout a month on different lots of product. Although testing different lots
could help find intermittent problems, a small processor during a slow month may not be able to test
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many different lots. Consequently, the decision of how many lots are tested for verification may be left
up to the processor with the approval of the state SSCA.

In order to determine the probability of verification failures that would result in revalidation, 1000
simulations were run with each simulation mimicking nine months and counting the number of passes.
Nine months represents the number of months in a year that oysters might be expected to have high vibrio
counts. The count for 9 months that passed indicates how likely the post harvest process would be of not
needing revalidation.

Based upon a verification procedure that requires 30 tubes per month be tested with no more than 11 of
the 30 tubes being positive for the process to be verified for that month and assuming that all months are
independent and identically distributed, the table (table 3) below indicates the probability of failing
verification in at least one of nine months and at least twice in nine months for various final
concentrations.

TABLE 3
Final Concentration Probability of 1 failure Probability of 2 failures
in 9 months in 9 months
20 4 0
25 17 1
30 45 11
35 76 39
40 93 73

Example: If a final concentration of 30 has been achieved by the Post Harvest Process, there is an 11%
chance that revalidation will be required based upon two verification failures within a 9 month period.
Likewise, at a final concentration of 30, there is a 45% chance that one failure would occur within 9
months.

Cook, D.W., P. O’Leary, J.C. Hunsucker, E.M. Sloan, J.C. Bowers, R.J. Blodgett, and A. DePaola. 2002.
Vibrio vulnificus and Vibrio parahaemolyticus in U.S. retail shell oysters: A national survey June 1998 to
July 1999. J. Food Prot. 65:79-87.

FAO and WHO. Risk assessment of Vibrio vulnificus in raw oysters:

Interpretative summary and technical report. 2005. Rome, Italy, FAO.
Microbiological Risk Assessment Series No. 8.

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Section IV. Guidance Documents

Chapter I. General Page 1 of 6

.01 EVALUATION STANDARDS

Background: 1995 Evaluation Standards Committee

As the result of an issue submitted at the 1994 ISSC annual meeting, the 1995 ISSC Evaluation Standards
Committee was created. The Committee was charged with reviewing the standards of the Evaluation
Research Society and making a recommendation to the ISSC as to whether these standards should be
included in the NSSP and the form the inclusion should take. The Committee reviewed these standards as
well as the American Evaluation Association's (AEA) Guiding Principles for Evaluators. The Committee
recommended that the ISSC adopt the five principles of the AEA. The Committee consensus was that
these principles should apply to all participants of the ISSC and should be included in the FDA state
program evaluation manual currently in development. The Committee also submitted a resolution to the
ISSC voting delegates recommending that the principles be adopted by the ISSC and that FDA
incorporate these principles into its state program evaluation manual. The ISSC adopted the both the
Committee's recommendation and resolution at its 1995 Annual meeting for use in the NSSP.

Evaluation Standards

In 1995, at its Annual Meeting, the ISSC adopted the following principles of the American Evaluation
Association and requested that the Food and Drug Administration conduct its evaluations consistent with
these principles.

• Systematic Inquiry: Evaluators conduct systematic, databased inquiries about whatever is being
evaluated.
• Competence: Evaluators provide competent performance to stakeholders.
• Integrity/Honesty: Evaluators ensure the honesty and integrity of the entire evaluation process.
• Respect for People: Evaluators respect the security, dignity and self-worth of the respondents,
program participants, clients, and other stakeholders with whom they interact.
• Responsibilities for General and Public Welfare: Evaluators articulate and take into account the
diversity of interest and values that may be related to the general and public welfare.

.02 PROCEDURES FOR INITIATING A NEW STATE PROGRAM UNDER THE NATIONAL
SHELLFISH SANITATION PROGRAM

The requirements of the NSSP are contained in its Model Ordinance. Implementation of the Model
Ordinance is a shared responsibility of federal, state, tribal and local governments and the shellfish
industry. The Model Ordinance establishes the minimum requirements necessary to effectively manage
and enforce an interstate program, and is written for ease of legal adoption at all levels of government. It
is intended to be adopted by state and tribal regulators to address the interstate movement of shellfish. The
Model Ordinance provides a uniform legal instrument for enforcement, better nationwide public health
protection, and facilitates the shipment of high quality shellfish in interstate commerce.

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The ISSC provides the formal structure wherein state regulatory authorities, with FDA concurrence, can
change the Model Ordinance and establish other guidelines and procedures for the sanitary control of the
shellfish industry. For additional Information concerning the origin of the Model Ordinance and the ISSC,
see the historical overview by Clem (1994) and the NSSP Guide for the Control of Molluscan Shellfish
(ISSC/FDA, 2002).

To ensure uniformity in the administration and implementation of the requirements of the NSSP Model
Ordinance at the state and tribal regulatory agency level, the FDA reviews their programs on an annual
basis. New state or tribal regulatory programs under the NSSP are required to have their proposed
program reviewed prior to its initiation to assure that any shellstock produced under the state or tribal
program for movement in interstate commerce meets the requirements of the Model Ordinance.

New State or Tribal Program

The Authority must apply to the FDA for evaluation and be found in conformity with the NSSP before
initiating a state or tribal shellfish sanitation program or a new program element within an existing state
or tribal program. The FDA will act on any application submitted by the Authority within 30 days. If the
FDA has not acted within 30 days, the Authority may proceed with the new shellfish sanitation program.

When two or more State or tribal agencies will be involved in the sanitary control of the shellfish
industry, a clear statement of each agency's responsibilities should be developed in the form of a
memorandum of understanding. This administrative practice eliminates misunderstandings concerning
agency responsibility and ensures that all aspects of shared program responsibility are addressed.

States and tribes are responsible for maintaining shellfish programs that conform to the requirements
contained in the Model Ordinance. These requirements should be mandatory within each State program.

.03 PATROL EVALUATION GUIDANCE

A. Patrol Evaluation Criteria

(1) Legal Penalties – Chapter VIII. @.01 A. (2) (c)

Are there penalties in place to address illegal harvest?

Compliance Criteria: The patrol element will be deemed in compliance if laws and
regulations exist that provide penalties for controlling harvest from harvest restricted areas.
[Critical]

(2) Notification of Harvest Restricted Areas – Chapter VIII. @.01 A. (2) (d)
Is the industry notified of the boundaries of Harvest Restricted Areas? – Chapter VIII. @.01
E. (2)

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the appropriate State Authority demonstrates that the industry has been
notified of the boundaries. [Critical]

(3) Comprehensive Listing of Harvest Restricted Areas – Chapter VIII. @ .01

Does the Patrol Agency have a comprehensive listing of Harvest Restricted areas?

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Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when it is determined that the State Authority has a comprehensive listing of all
Harvest Restricted areas. [Critical]

(4) Patrol Policy Document – Chapter VIII. @.01 B. (7)

(a) Does the Patrol Agency have a patrol policy document?

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the State Authority provides a patrol policy document. [Key]

(b) Is the patrol policy document complete?

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when it is determined that the patrol policy document includes all items
in Chapter VIII. @.01 B. (7) listed below. [Key]

(i) Citation of the law providing the legal basis for enforcement authority

(ii) Citation of the laws and regulations, including penalties, which are
directly related to effective control of illegal harvest activities;

(iii) The organizational structure of the unit responsible for patrol activities,
including;

a. Patrol unit(s) name, address, and phone number;

b. The roster and chain of command;
c. Area assignments that support the frequencies of patrol delineated
in B.(2); and
d. A listing of specific vessels, vehicles, and equipment that support
the frequencies of patrol delineated in B.(2);

(iv) Summaries of training in shellfish patrol techniques;

(v) The methods used to inform officers of growing area classifications and
status, and of any special activities licensed in the area;

(vi) A listing of growing areas where patrol is required;

(vii) An identification of any patrol problems;

(viii) The type and frequency of reporting by patrol personnel;

(ix) Copy of agreements with other agencies responsible for shellfish control
activities; and

(x) Citations/summons for the past year. If available, this information may
include:

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a. The number of convictions or dismissals;

b. Fines in dollar amount;
c. Equipment or property confiscations and forfeitures;
d. License suspensions or revocations; and
e. Jail sentences; and
f. Written warnings.

(c) Is the patrol policy document updated annually?

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the State Authority can determine that the patrol policy document
is updated every calendar year. [Key]

(5) Officer Training – Chapter VIII. @.01 B. (6)

Has the Patrol Agency met the NSSP patrol training requirements?
Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the Patrol Agency can demonstrate that all officers have met or are
scheduled for the training requirements of Chapter VIII. @.01 B. (6) before assuming their
patrol duties [Key]

(a) Basic law enforcement training, before assuming their patrol duties;

(b) Training on shellfish control regulations within the jurisdiction of the patrol
agency, before assuming independent patrol duties;

(c) In-service training on the shellfish control regulations within the jurisdiction of
the patrol agency, when the regulations change

(6) Patrol Frequency – Chapter VIII. @.01 B. (2)

(a) Has the agency determined risk categories for all harvest restricted areas? –
Chapter VIII. @.01 B. (4)?

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the State Authority assigns risk categories for each harvest
restricted area and provides a listing of those categories. [Critical]

(b) Does a risk management plan exist if required? – Chapter VIII. @.01. B. (3) (c)
and (d)

Compliance Criteria: The patrol element will be deemed in compliance with this
requirement when the Patrol Authority has conducted a Risk Management Plan for
all areas that are not patrolled at the frequency required in Chapter VIII. @.01 B. (2).
[Critical]

(c) Has the patrol frequency requirement been met in all areas? – Chapter VIII. @.01
B. (3) (b), (c), and (d)
Compliance Criteria: The patrol element will be deemed in compliance as follows:

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(i) When the State Authority achieved 95-100 percent of required patrols in
all harvest restricted areas the program is considered to be in conformance
with NSSP patrol frequency requirements.

(ii) When the State Authority achieved 80 – 94 percent of required patrols in

all harvest restricted areas the program is considered to be in non-
conformance with NSSP patrol frequency requirements. [Key]

(iii) When the State Authority achieved <80 percent of required patrols in all
harvest restricted areas the program is considered to be in major non-
conformance with NSSP patrol frequency requirements. [Critical]

(7) Memorandum of Understanding/Agreements – Chapter VIII. @.01 B. (5)

If enforcement of shellfish regulations is shared with another agency(s), is there a formalized
MOA/MOU with the other agency(s)?
Compliance Criteria: The patrol element will be deemed in compliance when the authority
has developed a Memorandum of Understanding/Agreement with all Authorities which have
delegated patrol responsibilities. [Key]

B. The following procedures will be implemented when an FDA evaluation identifies deficiencies
with the above patrol evaluation criteria.

(1) The overall Patrol Program element will be assigned one of the following designations:

(a) Conformance: The program is in compliance with all of the criteria listed above.

(b) Conformance with Deficiencies: The program only has minor deficiencies
associated with a key compliance item.

(c) Non-Conformance: The program has:

(i) at least one (1) critical deficiency;

(ii) two (2) or more key deficiencies; or

(iii) a repeat [Key] deficiency from the previous evaluation.

(d) Major Non-Conformance: The program has multiple deficiencies, key or

critical, that suggests the program has become ineffective to control harvest in
harvest restricted waters.

(2) During the closeout meeting for patrol evaluation, the Shellfish Specialists shall identify
any patrol deficiency to the state patrol agency;

(3) Within 30 days of the closeout meeting, the Shellfish Specialist shall provide a written
Program Element Evaluation Report (PEER), including supporting documentation, to the
State patrol agency;

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(4) Within 30 days of receiving the PEER, the State patrol agency shall provide a written
response that indicates:

ƒ The item(s) was corrected;

ƒ A correction plan has been developed with a completion date; or,
ƒ The reasons why the State disagrees with FDA's finding(s).

(5) Within 15 days of receipt FDA shall review the State response, and respond to the State;

(6) Any CRITICAL item deficiency shall be corrected within 30 days of acceptance by FDA
of the correction plan;

(7) Any KEY item deficiency shall be corrected within one year of acceptance by FDA of the
correction plan.

(8) FDA shellfish specialists shall be responsible for monitoring the progress of state action
plans.

(9) Patrol Program recommendations addressing improvements not associated with the
criteria included in Section I or recommendations addressing improvements beyond the
requirements of the Model Ordinance should be submitted to the State Authority in
correspondence separate from the Patrol Element Evaluation Report.

References

Clem, David. 1994. Historical Overview. In: Environmental Indicators and Shellfish Safety. Eds. C.R.
Hackney and M.D. Pierson. Chapman and Hall, New York. pp. 1-29

Interstate Shellfish Sanitation Conference. 2002. NSSP Guide for the Control of Molluscan Shellfish.
Interstate Shellfish Sanitation Conference, 209 Dawson Road, Suite 2, Columbia, South Carolina, 29223.

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Chapter II. Growing Areas Page 1 of 4

.01 Total Coliform Standards

Note: The National Shellfish Sanitation Program (NSSP) allows growing areas to be classified using
either a total or fecal coliform standard. The NSSP further allows the application of either standard to
different water bodies within the state. Once properly classified applying either standard for classification,
the NSSP allows the use of the adverse pollution condition or the systematic random sampling strategy
for routine classification monitoring as appropriate to the situation in the growing area. For maximum
flexibility, a state may wish to adopt the use of both standards and both monitoring strategies as
appropriate with each standard. At the Interstate Shellfish Sanitation Conference's annual meeting in
1992, Task Force II recommended that this portion of the Model Ordinance be codified according to the
standard used and the monitoring strategy employed. The Model Ordinance has subsequently been
recodified in this manner. This codification represents the delineation of the standards based on total
coliforms. The division of the standards based on fecal coliforms is outlined in the main body of the
Model Ordinance (Chapter IV).

A. General. Either the total coliform or fecal coliform standard shall be applied to a growing area.
B. Sampling Stations. The Authority shall ensure that the number and location of sampling stations
is adequate to effectively evaluate all pollution inputs into the growing area.
C. Exceptions.
(1) Except for growing areas classified as prohibited, in any growing area where there are
nonpoint pollution sources which impact the water quality, a minimum of 30 samples,
collected under various environmental conditions, shall be required to classify a growing area
not previously classified under Chapter IV @ .03.
(2) Except for growing areas classified as prohibited or when systematic random sampling is
applied in growing areas where there are no pollution sources having an effect on the water
quality, a minimum of 15 samples shall be required to classify any growing area not
previously classified under Chapter IV @ .03 when there are no pollution sources impacting
the water quality.
(3) The Authority is not required to apply the total coliform standard if a detailed study
verified by laboratory findings demonstrates that the coliforms recovered from the growing
area are not of direct fecal origin and do not indicate a public health hazard.
D. Standard for the Approved Growing Area Classification in the Remote Status.
(1) Water Quality. The bacteriological quality of every station in the growing area shall meet
the total coliform standard below.
(2) Total Coliform Standard for the Remote Status. The total coliform geometric mean MPN
of the water sample results for each sampling station shall not exceed 70 MPN per 100 ml;
and not more than 10% of the samples shall exceed an MPN of:
(a) 230 MPN per 100 ml for a 5-tube, decimal dilution test;
(b) 330 MPN per 100 ml for a 3-tube, decimal dilution test; or
(c) 140 MPN per 100 ml for the 12-tube, single dilution test.
(3) Required Sample Collection.
(a) A minimum of 2 samples per sampling station shall be collected annually.
(b) A minimum of the most recent 15 samples collected per sampling station shall be
used to calculate the geometric mean and 10% criteria of the data to determine
compliance with the standard established for the approved classification of remote
growing areas.
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E. Standard for the Approved Classification of Growing Areas Affected by Point Source Pollution.
(1) Water Quality. The bacteriological quality of every station in the growing area shall meet
the total coliform standard in E §.(2)
(2) Total Coliform Standard for Adverse Pollution Condition Monitoring. The total coliform
geometric mean MPN of the water quality sample results for each sampling station shall not
exceed 70 per 100 ml, and, not more than 10% of the samples shall exceed an MPN of:
(a) 230 MPN per 100 ml for a 5-tube, decimal dilution test;
(b) 330 MPN per 100 ml for a 3-tube, decimal dilution test; or
(c) 140 MPN per 100 ml for the 12-tube, single dilution test.
(3) Required Sample Collection.
(a) A minimum of 5 samples shall be collected annually under adverse pollution
conditions from each sample station in the growing area.
(b) A minimum of the most recent 15 samples collected under adverse pollution
conditions from each sample station shall be used to calculate the geometric mean
and 10% criteria of the data to determine compliance with this standard.
(c) Sampling station locations shall be adjacent to actual or potential sources of
pollution.
F. Standard for the Approved Classification of Growing Areas Affected by Nonpoint Source
Pollution.
(1) Exception. If the tidal stage increases the total coliform concentration, the Authority shall
use sample results collected during that tidal stage to classify the area.
(2) Pollution Sources. Harvest waters shall be:
(a) Impacted only by randomly occurring, intermittent environmental events; and,
(b) Not impacted by discharges from sewage treatment facilities or combined sewer
overflows.
(3) Water Quality. The bacteriological quality of every station in the growing area shall meet
the total coliform standard in §F (4) or §F (6) as appropriate to the monitoring strategy being
used.
(4) Total Coliform Standard for Systematic Random Sample Monitoring. The total coliform
geometric mean of the water sample results for each sampling station shall not exceed 70
MPN per 100 ml and the estimated 90th percentile shall not exceed an MPN of:
(a) 230 MPN per 100 ml for a 5-tube, decimal dilution test;
(b) 330 MPN per 100 ml for a 3-tube, decimal dilution test.
(5) Estimated 90th Percentile. The estimated 90th percentile shall be calculated by:
(a) Determining the geometric mean and logarithmic (base 10) standard deviation for
the sample result from each sampling station; then
(b) Multiplying the log standard deviation in (a) by 1.28; and
(c) Adding the product from (b) to the log mean of sample results, and;
(d) Taking the antilog of the results in (c) to get the estimated 90th percentile.
(e) MPN values that signify the upper or lower range of sensitivity of the MPN test
used in the 90th percentile calculation shall be increased or decreased by one
significant digit.
(6) Total Coliform Standard for Adverse Pollution Condition Monitoring. The total coliform
geometric mean MPN of the water sample results for each sample station shall not exceed 70
MPN per 100 ml and not more than 10% of the samples shall exceed an MPN of:
(a) 230 MPN per 100 ml for a 5-tube, decimal dilution test; or
(b) 330 MPN per 100 ml for a 3-tube, decimal dilution test; or
(c) 140 MPN per 100 ml for a 12-tube, single dilution test.

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(7) Required Sample Collection.

(a) Adverse Pollution Condition Monitoring. The Authority shall collect samples at
the same frequency as described in §E. 3) for application of the standard
under §E. (2).
(b) Systematic Random Sample Monitoring. The requirement for systematic random
sample monitoring shall be met when:
(i) Sample station locations are adequate to produce the data to effectively
evaluate all nonpoint sources of pollution;
(ii) Sample collection is scheduled sufficiently far in advance to support
random collection with respect to environmental conditions. Compliance
requires that prior to implementation, the schedule for random sampling shall
be documented in the master file for the growing area and adhered to. If
conditions at the time of scheduled sample collection are hazardous to the
safety of the individuals assigned to collect samples, sample collection shall
be rescheduled in accordance with provisions in the sampling schedule;
(iii) A minimum of 6 random samples shall be collected annually from each
sampling station in the growing area; and
(iv) A minimum of the 30 most recent randomly collected samples from each
sampling station shall be used to calculate the geometric mean and 90th
percentile to determine compliance with this standard.
(c) Transition from Adverse Pollution Condition Monitoring to Systematic Random
Sample Monitoring. If the Authority:
(i) Does not have 30 recent randomly collected sample results from each
station, then the previous 15 samples collected under adverse pollution
conditions may be used with the most recent random samples to meet the
minimum 30 sample requirements for a transition period not to exceed 3
years; and
(ii) Uses the transition period described in (i), as additional random samples
are collected, the random samples shall chronologically replace the samples
collected under adverse pollution conditions (e.g. sample 31 replaces sample
1)
G. Standard for the Restricted Classification of Growing Areas Affected by Point Source Pollution
and Used as a Shellfish Source for Shellfish Depuration.
(1) Water Quality. The bacteriological quality of every sample station in the growing area
shall meet the total coliform standard in §G. (2).
(2) Total Coliform Standard for Adverse Pollution Condition Monitoring. The total coliform
geometric mean MPN of the water sample results for each station shall not exceed 700 per
100 ml and not more than 10% of the samples shall exceed an MPN of:
(a) 2,300 MPN per 100 ml for a 5-tube, decimal dilution test; or
(b) 3,300 MPN per 100 ml for a 3-tube, decimal dilution test; or
(c) 1,386 MPN per 100 ml for a 12-tube, single dilution test.
(3) Required Sample Collection. Samples shall be collected in accordance with §E. (3).
H. Standard for the Restricted Classification of Growing Areas Affected by Nonpoint Source
Pollution and Used as a Shellfish Source for Shellfish Depuration.
(1) Exception. If the tidal stage increases the total coliform concentration, the Authority shall
use samples collected under that tidal stage to classify the area.
(2) Pollution Sources. Growing areas shall meet the requirements in §F. (2).
(3) Water Quality. The bacteriological quality of every sample station in the growing area
shall meet the total coliform standard in §H. (4) or §H. (6) as appropriate to the monitoring
strategy being used.
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(4) Total Coliform Standard for Systematic Random Sample Monitoring. The total coliform
geometric mean MPN of the water sample results for each sample shall not exceed 700 per
100 ml and the estimated 90th percentile shall not exceed:
(a) 2,300 MPN per 100 ml for a 5-tube, decimal dilution test; or
(b) 3,300 MPN per 100 ml for a 3-tube, decimal dilution test.
(5) Estimated 90th percentile. The estimated 90th percentile shall be calculated by the same
method described in §F. (5).
(6) Total Coliform Standard for Adverse Pollution Condition Monitoring. The total coliform
geometric mean MPN of the water sample results for each station shall not exceed 700 MPN
per 100 ml and not more than 10% of the samples shall exceed an MPN of:
(a) 2,300 MPN per 100 ml for a 5-tube, decimal dilution test; or
(b) 3,300 MPN per 100 ml for a 3-tube, decimal dilution test; or
(c) 1,386 MPN per 100 ml for a 12-tube, single dilution test.
(7) Required Sample Collection.
(a) Adverse Pollution Condition Monitoring. The Authority shall collect samples at
the same frequency as described in §E. (3). for application of the standard
under §H. (6).
(b) Systematic Random Sample Monitoring. The Authority shall collect samples in
the same manner and at the same frequency as specified in §F. (7)(b) for application
of the standard under §H. (4).

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.02 Guidance for Developing Marine Biotoxin Contingency Plans

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

Introduction

Shellfish are filter feeders and, therefore, they have the ability to concentrate toxigenic dinoflagellates
from the water column when present in shellfish growing waters. The toxins produced by these
dinoflagellates can cause illness and death in humans. Toxins are accumulated in the viscera and/or other
tissues of shellfish and are transferred to humans when the shellfish are eaten (Gordan et al, 1973). These
toxins are not normally destroyed by cooking or processing and cannot be detected by taste. Most of these
toxins are detected through animal testing. However, some involve the use of instrument based or
biochemical analyses for detection. Since the dinoflagellates are naturally occurring, their presence in the
water column or traces of their toxin in shellfish meat does not necessarily constitute a health risk, as
toxicity is dependent on concentration (dose) in the shellfish. To protect the consumer, the Authority must
evaluate the concentration of toxin present in the shellfish or the dinoflagellate concentration in the water
column against the levels established in the NSSP Model Ordinance to determine what action, if any,
should be taken.

There are three types of shellfish poisonings which are specifically addressed in the NSSP Model
Ordinance: paralytic shellfish poisoning (PSP), neurotoxic shellfish poisoning (NSP) and amnesic
shellfish poisoning (ASP), also known as domoic acid poisoning. All three are dangerous toxins, and PSP
and ASP or domoic acid can cause death at sufficiently high concentrations. In addition, ASP can cause
lasting neurological damage. PSP is caused by dinoflagellates of the genus Alexandrium (formerly
Gonyaulax). NSP is caused by brevetoxins produced by the dinoflagellates of the genus Karenia
(formerly Gymnodinium). Both of these dinoflagellates can produce "red tides", i.e. discolorations of
seawater caused by blooms of the algae. Toxic blooms of these dinoflagellates can occur unexpectedly or
follow predictable patterns. The unpredictably in occurrence of toxic blooms was demonstrated in New
England in 1972 when shellfish suddenly became toxic in a previously unaffected portion of the coastline
and resulted in many illnesses (Schwalm.1973). Historically, Alexandrium blooms have occurred between
April and October along the Pacific coasts from Alaska to California and in the Northeast from the
Canadian Provinces to Long Island Sound (U.S. Public Health Service, 1958); but these patterns may be
changing. The blooms generally last only a few weeks and most shellfish (with the exception of clams
which retain the toxin for longer periods) clear themselves rapidly of the toxin once the bloom dissipates.
NSP, which is less common, has occurred from the Carolinas and extends throughout the Gulf Coast
states. It shows no indication of regular recurrence and shellfish generally take longer to eliminate the
toxin (Liston, 1994).

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The minimum concentration of PSP toxin that will cause intoxication in susceptible persons is not known.
Epidemiological investigations of PSP in Canada, however, have indicated 200 to 600 micrograms of PSP
toxin will produce symptoms in susceptible persons. A death has been attributed to the ingestion of a
probable 480 micrograms of PSP toxin. Investigations indicate that lesser amounts of the toxin have no
deleterious effects on humans. Shellfish growing areas should be closed at a PSP toxin level, which
provides an adequate margin of safety, since in many instances PSP toxicity levels can change rapidly.
The NSSP Model Ordinance requires that growing areas be placed in the closed status when the PSP
toxin concentration is equal to or exceeds the action level of 80 micrograms per 100 grams of edible
portion of raw shellfish (FDA, 1977; FDA, 1985).

In shellfish growing areas where low levels of PSP routinely occur, harvesting for thermal processing
purposes may be an alternative to consider. Thermal processing as defined by applicable FDA regulations
(21 CFR 113) will reduce but not entirely destroy the PSP content of the shellfish. If thermal processing is
practiced, the Authority must develop and implement procedures to control the harvesting and
transportation of the affected shellfish to the processing plant.

In Gulf coast areas, toxicity in shellfish has been associated with red tide outbreaks caused by massive
blooms of the toxic dinoflagellate, Karenia brevis. The most common public health problem associated
with Karenia blooms is respiratory irritation; however, neurotoxic shellfish poisonings associated with
Karenia brevis blooms have been reported in Florida (Center for Disease Control, 1973 [a] and [b]).
Uncooked clams from a batch eaten by a patient with neurotoxic symptoms were found to contain 118
mouse units per 100 grams of shellfish meat. The NSSP Model Ordinance mandates that growing areas be
placed in the closed status when any NSP toxin is found in shellfish meat, or when the cell counts for
members of the genus Karenia in the water column exceed 5,000 cells per liter of water.

ASP is caused by domoic acid, which is produced by diatoms of the genus Pseudonitzachia. Blooms of
Pseudonitzachia are of relatively short duration. However, during the 1991-1992 incident in Washington,
high toxin levels persisted for several months (Liston, 1994). The NSSP Model Ordinance requires that
growing areas be placed in the closed status when the domoic acid concentration is equal to or exceeds 20
parts per million in the edible portion of raw shellfish.

The suitability of some growing areas for shellfish harvesting is periodically influenced by the presence
of PSP, NSP, domoic acid, or other marine biotoxins. The occurrence of these toxins is often
unpredictable, and the potential for them to occur exists along most coastlines of the United States and
other countries having shellfish sanitation Memoranda of Understanding (MOU) agreements with the
United States. As a result, states or countries with MOUs with the U.S. need to make contingency plans to
address shellfish-borne intoxications.

Controlling Marine Biotoxins in Shellfish

The contingency plan must describe administrative procedures, laboratory support, sample collection
procedures, and patrol procedures to be implemented on an emergency basis in the event of the
occurrence of shellfish toxicity (Wilt, 1974). The primary goal of this planning should be to ensure that
maximum public health protection is provided. To achieve this goal the following objectives should be
met:

* An early warning system should be developed and implemented.

* Procedures should be established to define the severity of occurrences.

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* The state or MOU country should be able to respond effectively to minimize illness.

* Adequate intelligence and surveillance information should be gathered and evaluated by the
Authority.

* Procedures should be instituted to return the biotoxin contaminated areas to the open status of their
growing area classification.

Under the certification provisions of the NSSP, FDA and receiver states should have the assurance that
shellfish producing states or MOU countries are taking and can take adequate measures to prevent
harvesting, shipping, and consumption of toxic shellfish. To provide this assurance, the NSSP requires the
Authority to develop and adopt a marine biotoxin contingency plan for all marine and estuarine shellfish
growing areas. The Authority's plan should specify how each of the objectives listed above will be
accomplished. This document provides recommended guidelines to be used in preparing a plan to meet
these objectives.

Recommended Contingency Plan Guidelines

* Provide an early warning system:

1. Communication procedures should be established with other appropriate agencies to rapidly

report to the Authority any abnormal environmental phenomenon that might be associated with
shellfish growing areas such as bird or fish kills, water discoloration or abnormal behavior of
shellfish or marine scavengers.
2. The Authorities should establish procedures for health agencies to report any toxin-like illnesses.
3. An early warning phytoplankton and/or shellfish-monitoring program should be implemented.
These monitoring programs should use the "key station" (for both phytoplankton and shellfish
monitoring) and "critical species" concepts (for shellfish monitoring).
* Sampling stations should be located at sites where past experience has shown toxin is most
likely to appear first.
* When monitoring shellfish, samples should be collected of species which are most likely to
reveal the early presence of toxin and which are most likely to show the highest toxin levels.
For example, mussels have been found to be useful for early PSP detection.
* The frequencies and periods for collection of samples should be established recognizing the
randomness of PSP blooms. This assumes several years of baseline data in order to establish
stations and sampling plans.
* Frequency of sampling should be adequate to monitor for fluctuations in coastal
phytoplankton populations.
4. Channels of communication concerning shellfish toxicity should be established with other states,
countries (in the case of MOU countries), FDA, and other responsible officials. A marine
biotoxin control official should be designated by the Authority to receive and distribute all marine
biotoxin related information. Consultation with adjacent jurisdictions, marine biologists and other
environmental officials might also be useful (Felsing, 1966; Quayle, 1969; Prakash et al., 1971)

* Define the severity of the problem:

1. A procedure should be established to promptly expand the sampling program for marine
biotoxins in the event of increased toxicity/cell counts at any indicator monitoring stations
identified within the plan. Sampling stations and frequencies of sampling should be increased
when monitoring data or other information suggests that toxin levels are increasing. The
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procedure should include plans for obtaining the additional resources necessary to implement the
expanded sampling and laboratory analysis program.
2. Information should be available concerning the location of commercial shellfish resource areas in
the state.
3. Criteria should be developed to define the circumstances under which growing areas will be
placed in the closed status because of marine biotoxin contamination. The criteria should
integrate public health, conservation, and economic considerations. Principal items of concern
include consideration of the rapidity with which toxin levels can increase to excessive levels, the
inherent delays in sample collection, the number of samples required to initiate action, the size of
the area to be closed (including a safety zone), and the type of harvesting restrictions to be
invoked (all species or specific species). It may be appropriate to close harvesting areas adjacent
to known toxic areas until increased sampling can establish which areas are toxin free and that
toxin levels have stabilized.
4. Procedures should be established to promptly identify which shellfish products or lots might be
potentially contaminated, and to determine the distribution of these products or lots.

* Respond effectively to minimize illness:

1. A summary should be provided citing the laws and regulations in the state (or MOU country) that
promptly and effectively allow the Authority to restrict harvesting, withdraw interstate shipping
permits, and to embargo/recall any potentially toxic shellfish already on the market in the event of
a marine biotoxin episode. The plan should clearly define the timeframe involved in taking
appropriate legal action.
2. The administrative procedures necessary to place growing areas in the closed status, to withdraw
interstate certification of dealers, and to embargo and recall shellfish should be delineated. The
timeframe necessary to accomplish these actions should also be specified.
3. A plan should be developed which will define what type of patrol program is necessary to
properly control harvesting in toxin contaminated growing areas. The program should be tested to
ensure prompt implementation in the event it is needed.
4. Procedures should be developed to promptly disseminate information on the occurrences of toxic
phytoplankton blooms to the industry and local health agencies.
5. Procedures should be established to coordinate control activities taken by state and federal
agencies or departments and district, regional, or local health authorities.

* Gather follow-up data:

1. Appropriate records of illnesses should be compiled and maintained by the Authority. These
records should include data on the incidence of illness and appropriate case history data. This
information may be important in defining the severity of the problem, as well as for a
retrospective evaluation of the adequacy of the entire control program.
2. Records of shellfish sample results from toxin testing should include analysis of trends,
detoxification curves, phytoplankton and water sample analyses, and pertinent environmental
observations.

* Return growing areas to the open status of their NSSP classification:

1. Once a growing area is placed in the closed status because of marine biotoxin contamination, a
procedure should be instituted to gather data necessary to decide when the area can be returned to
the open status of its classification. A system of representative samples to establish detoxification
curves should be part of this procedure.
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2. The Authority should develop a set of criteria that must be met before a growing area can be
returned to the open status. These criteria should integrate public health, conservation, and
economic considerations, and employ a sufficient number of samples and other environmental
indices, if used, to establish that the level of toxin or cell counts are below the closure level. For
example, experience has shown that appropriate reopening criteria for PSP include a minimum of
three samples collected over a period of at least 14 days. These samples should show the absence
of PSP or levels below 80 micrograms per 100 grams of shellfish tissue.
3. A program of consumer education should be continued as long as any area remains in the closed
status because of marine biotoxin contamination.

References

1. Center for Disease Control (a). 1973. Shellfish Poisoning - Florida. Morbid. Mortal. Weekly Rep.
22(48):397-398.
2. Center For Disease Control (b). 1973. Neurotoxic Shellfish Poisoning - Florida. Morbid. Mortal.
Weekly Rep. 22(48):397-398.
3. Felsing, W.A., Jr. 1966. Proceedings of Joint Seminar on North Pacific Clams, September 24-25,
1965. U.S. Public Health Service, Washington, D.C.
4. Food and Drug Administration. 1977. Poisonous or Deleterious Substances in Food. Federal
Register 42(190):52814-52819.
5. Food and Drug Administration. 1985. Action Levels For Poisonous or Deleterious Substances in
Human Food and Animal Feed. U.S. Department of Health and Human Services, Public Health
Service, Washington, D.C. 20204. 13 pages.
6. Gordon, K., M.D., et al. 1973. Shellfish Poisoning. Morbid. Mortal. Weekly Rep. 22, (48):397-
398.
7. Liston, J. 1994. Association of Vibrionaceae, natural toxins, and parasites with fecal indicators,
p.215-216. In Hackney, C.R. and M.D. Pierson (eds.), Environmental Indicators and Shellfish
Safety. Chapman and Hall, New York, NY.
8. Prakash, A., J.C. Medcof, and A. D. Tennant. 1971. Paralytic shellfish poisoning in eastern
Canada. Bulletin 177, Fisheries Research Board of Canada. Ottawa, Canada.
9. Quayle, D.B. 1969. Paralytic shellfish poisoning in British Columbia. Bulletin 168, Fisheries
Research Board of Canada. Ottawa, Canada.
10. Schwalm, D.J. 1973. The 1972 PSP outbreak in New England. FDA Report, Boston, MA. U.S.
Food and Drug Administration, Washington, D.C.
11. U.S. Public Health Service (PHS). 1958. Proceedings: 1957 Conference on Shellfish Poison. U.S.
PHS, Washington, D.C. 125 pages.
12. Wilt, D.S. (ed). 1974. Proceedings of Eighth National Shellfish Sanitation Workshop. January 16-
18. New Orleans, LA. National Technical Information Services (PB8 6 236916/AS), U.S. Dept.
of Commerce, Springfield, VA. 158 p.

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.03 Sanitary Survey and the Classification of Growing Waters

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

Oysters, clams, mussels and scallops are filter feeders that pump large quantities of water through their
bodies when actively feeding. During this process, molluscan shellfish can concentrate microorganisms,
toxigenic micro-algae and poisonous or deleterious substances from the water column when they are
present in the growing waters (Kennedy et al., 1996). Concentrations in the shellfish may be as much as
100 times that found in the water column. If human pathogens are concentrated to an infective dose, and
if the shellfish are consumed raw or partially cooked, human disease can result. If toxigenic micro-algae
are present and producing toxin, human illness or death can occur, and cooking is not reliable as an
effective barrier against intoxication.

The goal of the NSSP is to control the safety of shellfish for human consumption by preventing harvest
from contaminated growing waters. In implementing this concept, the NSSP uses five classifications for
growing areas: approved, conditionally approved, restricted, conditionally restricted, and prohibited. The
placement of a growing area in any one classification is based upon the growing area's conformance with
the requirements established for that classification. Conformance with a classification's requirements is
established through the sanitary survey.

The positive relationship between sewage pollution of shellfish growing areas and disease has been
demonstrated many times (Rippey [a] and [b], 1994). Shellfish-borne infectious diseases are generally
transmitted through a fecal-oral route (i.e., the shellfish become contaminated by sewage and are eaten by
humans). The pathway can be quite circuitous. The cycle usually begins with fecal contamination of the
growing waters. Feces deposited on land surfaces can release pathogens into surface waters via storm
water runoff or collected wastes can be discharged directly into a waterway. The runoff or discharge may
go directly into the growing area or indirectly as is the case with wastes transported by freshwater streams
to estuarine or marine waters. Information concerning the relationship between sewage pollution of
bivalve shellfish growing areas and human disease is available in several good summaries (Hackney and
Potter 1994 [a] and [b]; Jaykus et al, 1994; Stelma and McCabe, 1990).

Epidemiological investigations of shellfish-caused disease outbreaks have found difficulty in establishing

a direct cause and effect between a numerical correlation and pollution source strength, bacteriological
quality of water, and the degree of hazard to health. Tidal fluctuations and pollution source variations
contribute to a high degree of variability in water quality. Investigations made from 1914 to 1925 by the
states and the Public Health Service, a period when disease outbreaks attributable to shellfish were more
prevalent, indicated that typhoid fever or other enteric diseases would not ordinarily be attributed to
shellfish harvested from water in which not more than 50 percent of the 1 cc (cubic centimeter) portions
of water examined were positive for the coliform group (an MPN of approximately 70 per 100 ml),

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provided the areas were not subject to direct contamination with small amounts of fresh sewage which
could not be detected by bacteriological examination.

Following the oyster-borne typhoid outbreaks during the winter of 1924-25 in the United States
(Lumsden, 1925), the National Shellfish Certification Program, now the National Shellfish Sanitation
Program (NSSP), was initiated by the states, the Public Health Service, and the shellfish industry (Frost,
1925). The 1925 criteria for safe growing areas were stated as: (1) the area is sufficiently removed from
major sources of pollution so that the shellfish would not be subjected to fecal contamination in quantities
which might be dangerous to the public health, (2) the area is free from pollution by even small quantities
of fresh sewage, and (3) bacteriological examination does not ordinarily show the presence of the coli-
aerogenes group of bacteria in 1 cc dilutions of the growing area water. The collective application of these
criteria was known as the sanitary survey, which was used to determine if an area was safe for shellfish
harvesting for human consumption. These criteria were adopted in the United States in 1925. Reliance on
these criteria and others to measure excess variability in water quality were combined together with
sanitary reconnaissance (shoreline survey), hydrographic and meteorological considerations, and patrol of
closed harvest areas has generally proven effective in preventing major outbreaks of disease transmitted
by the fecal-oral route. For a complete discussion of the history of the NSSP, see the historical overview
by David Clem (1994) and the NSSP Guidance Document, History of the Interstate Shellfish Sanitation
Program (ISSC/FDA, 2002).

The ability of shellfish to concentrate chemical pollutants from water and sediment can lead to
accumulation of these poisonous and deleterious substances to levels that constitute a public health hazard
(Kurland et al., 1960; Texas Dept. Of Health, 1977). These poisonous or deleterious substances may enter
shellfish growing areas through industrial or domestic waste discharges, seepage from waste disposal
sites, agricultural land, geochemical reactions, or naturally occurring toxigenic micro-algae (O'Connor
and Beliaeff, 1995; Liston, 1994). The degree to which these substances are concentrated depends upon
such variables as the species of shellfish, water temperature and salinity, the level of contaminants in the
waters, and the physiological conditions of the shellfish (Capuzzo, 1996; Roderick and Schneider, 1994;
Rosijadi, 1996). The potential public health hazard posed by these substances must also be considered in
assessing the safety of shellfish growing areas.

For a full discussion of the public health risk associated with micro-toxigenic algae, see the NSSP
Guidance Document, Guidelines for Developing a Marine Biotoxin Contingency Plan (ISSC/FDA, 2002).

Components of the Sanitary Survey

A review of epidemiological investigations of disease outbreaks attributable to the consumption of

bivalve shellfish reveals that three general situations occur in the contamination of growing areas placed
improperly in the approved classification. First, improperly conducted or outdated sanitary surveys or
misapplication of water quality data have unwittingly allowed harvesting from sewage contaminated
growing areas. Second, fresh fecal material present and not diluted, diffused, or not detected by ordinary
bacteriological sampling procedures caused shellstock contamination (Lumsden, 1925). Dr. Gurion
recognized the possibility of chance contamination as early as 1902 in his report on a typhoid outbreak:

"There is a zone of pollution established by the mere fact of the existence of a populated city upon the
banks of a stream or tidal estuary which makes the laying down of oysters and clams in these waters a
pernicious custom if persisted in, because it renders these articles of food dangerous at times, and always
suspicious (Gurion, 1917)."

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Third, shellfish illnesses have been traced back to areas where an intermittent pollution source
contaminated the shellfish. Some of these areas could have been placed in the conditionally approved
classification and managed to avoid harvest of polluted shellstock, provided the occurrences of the
sources of pollution could be predicted and the boundaries of their effects determined. For a full
discussion of the use of the conditional classifications, see the NSSP Guidance Document, Management
Plans for Growing Areas in the Conditional Classifications (ISSC/FDA, 2002).

The first critical control point in preventing food-borne illness from shellfish consumption is identifying
growing areas of acceptable sanitary quality. The completion of a sanitary survey is of paramount
importance in making the distinction between acceptable and unacceptable growing areas, and is the key
to accurate growing area classification as approved, conditionally approved, restricted, conditionally
restricted, or prohibited. Under the NSSP Model Ordinance, a sanitary survey is required for each
growing area prior to its approval by the state as a source of shellfish for human consumption or as a
source for shellfish to be used in a depuration or relay operation. A sanitary survey is an in-depth
evaluation of all environmental factors that have a bearing on the water quality in a shellfish growing
area. The environmental factors include both actual and potential pollution sources, whether natural or
man-made, and meteorological and hydrographic characteristics of the growing area. The principal
components of a sanitary survey are: (1) identification and evaluation of the pollution sources that may
affect the areas, (2) an evaluation of the meteorological factors, (3) an evaluation of hydrographic factors
that may affect distribution of pollutants throughout the area, and (4) an assessment of water quality. For
a complete discussion of the sanitary survey, see Sanitary Surveys of Growing Waters (Garreis, 1994).

(1) An evaluation of the pollution sources that may affect the growing areas. A pollution source survey
(also known as a shoreline survey) must be conducted of the growing area shoreline and watershed to
locate direct discharges (e.g., municipal and private sewage and industrial waste discharges, sewage
package treatment units, malfunctioning septic tanks and animal manure treatment lagoons) and non-point
sources of pollution (e.g., storm water runoff, and runoff from agricultural and wildlife areas). Municipal
and industrial wastewater treatment facilities should be evaluated in terms of actual loading versus design
capacity, type and concentration of pollutants discharged, effectiveness of their treatment processes and
pollution control devices. For additional information concerning sewage treatment plant discharges and
their control, see the NSSP Guidance Document,Management Plans for Growing Areas in the
Conditional Classifications (ISSC/FDA, 2002) and the U.S. Environmental Protection Agency documents
concerning increasing reliability of sewage treatment plants (USEPA [a] and [b], 1974).

The following survey procedures should be followed in the shoreline survey.

● Survey Assignment

Each shoreline survey area must be determined and assigned by the Authority. Each survey area must be
identified by a unique designation. All survey data must be identified by this unique designation that
allows for tracking of all forms used in the survey. All shoreline survey data must be documented and
filed promptly.

● Examination of Individual Properties for Pollution Sources

* The boundaries of the shoreline survey area must be determined by an in-field investigation of the area
topography and the proximity of individual properties to the growing area. Those properties with the
potential to impact growing water quality must be included within the boundaries of the shoreline survey
area. Once the boundaries of the shoreline survey area have been determined, all businesses and
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residences must be examined and all potential discharges of wastes (raw sewage, kitchen wastes, laundry
wastes, agricultural wastes, etc.) must be evaluated.

* The location of each property with a pollution source adversely impacting the growing area must be
provided.

* If the property has a pollution source adversely impacting a growing area, one of the two notations
listed below must be made concerning its impact on water quality.

a) Direct Impact: A pollution source having direct impact is defined as any waste discharge which has
immediate impact on the growing area. An attempt should be made to quantify the volume of the
discharge.

b) Indirect Impact: A pollution source having an indirect impact is defined as any waste discharge
which reaches the growing area in a roundabout way. An attempt should be made to quantify the
volume of the discharge.

* All sanitary, industrial, or agricultural pollution sources must be located on a map of the survey area.

* All animal farms must be evaluated. Evaluation must include the number and type of animals.

* All marinas must be evaluated in accordance with the requirements of the Model Ordinance.

* Notations must be made of any flocks of waterfowl and an estimation of their number given.
Populations of wild animals such as deer and muskrat should be noted and where possible an estimation
of their number given.

* Drainage ditches must be evaluated.

* Any other potential source of pollution, which in the surveyor's opinion might influence water quality,
must be noted.

* At the end of each shoreline survey, the surveyor must write a summation. The surveyor must also
provide a comprehensive map of the survey area identifying the location of each pollution source found.

The level of surveillance for poisonous and deleterious substances in a shellfish control program may
vary widely. The intensity of the surveillance is frequently driven by a history of marine biotoxin
contamination, sanitary survey findings, or findings from investigations by other state or federal agencies
or academia. Review of existing background data derived from national and international monitoring
programs can also be useful (O'Connor, 1996; Beliaeff et al, 1997). An assessment of possible sources in
the sanitary survey should enable shellfish control program managers to determine if a potential problem
exists and whether a need for further field study exists. Sampling for specific chemical contaminants in
shellfish is recommended only when the pollution source survey reveals a potential problem, or if there is
concern because of a lack of information.

When poisonous or deleterious substances are found in shellstock, the Authority must evaluate the levels
that may be present against known tolerance levels in human foods or other appropriate information, and
determine what action, if any, should be taken. Additional information concerning this topic can be found
in the NSSP Guidance Documents: FDA Action Levels, Tolerances and Other Values for Poisonous or
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Deleterious Substances in Seafood (ISSC/FDA, 2002); Shellstock Relay (ISSC/FDA, 2002); and
Guidance for Developing Marine Biotoxin Contingency Plans (ISSC/FDA, 2002). In the absence of
specific tolerance or action levels, decisions must be made on a case-by-case basis using the best
available knowledge.

(2) An evaluation of meteorological factors. Climate and weather can affect the distribution of pollutants
or can be the cause of pollutant delivery to a growing area. Prevailing winds can determine the
distribution of pollutants in a growing area. Rainfall patterns and intensity can affect water quality
through pollutant delivery in runoff or cause flooding which can affect the volume and duration of
pollutant delivery. An example of the effects of meteorology occurred in 1982. In the late fall, the arrival
of cold fronts caused strong winds, abnormally low tides and high rainfall which resulted in raw sewage
bypasses from overloaded sewage treatment plants. This combination of meteorological events resulted in
raw sewage reaching a growing area causing shellfish- borne illness in 471 persons (Casper, 1982).

(3) An evaluation of hydrographic factors that may affect distribution of pollutants throughout the area.
Examples of hydrographic factors are tidal amplitude and type, water circulation patterns, and the amount
of fresh water. These factors, along with water depths and stratification caused by density (salinity and
temperature) differences, and wastewater and other waste flow rates are used to determine dilution, and
time of transport. Tracer dye studies provide site-specific dilution, dispersion and time of travel
information, and can be used in calibration of site-specific hydrodynamic models.

(4) An assessment of water quality. In general, microbial reduction in seawater occurs by two different
processes - physical dilution by advection and diffusion, and a process of biological inactivation. Dilution
factors are physical and predictable with a direct relationship between pollution loads and dilution water
available. The inactivation process is more variable and appears to be associated with the following
factors: sunlight and solar radiation, absorption and sedimentation, temperature, predation, antibiosis,
action of inorganic salts, nutrient deficiencies, the action of heavy metals and other substances, and
effects of specific bacteriophage. Kator (1994) has provided a good summary of current knowledge
concerning inactivation of bacteriological and chemical indicators caused by the effects of environmental
factors.

Field and laboratory studies have demonstrated that enteric viruses can survive in marine water and
shellfish from a few days to several months (Jaykus, 1994). In general, viruses survive longer at lower
temperatures, at low salinity and when bound to sediments.

Evidence from many field studies indicates that a constant relationship does not exist between the
bacterial pathogen, viral pathogen or coliform group levels in shellstock and the presence of these
organisms in the overlying water column (Kator, 1994; Jaykus et al, 1994). Experience in the NSSP,
however, has shown that shellstock from waters meeting the water quality standards for the approved
classification are unlikely to be involved in shellfish-associated disease outbreaks attributed to fecal
contamination of the growing area. In part, this is because the coliform group (total coliform) water
quality standard of 70 MPN per 100 milliliters of growing water is equivalent to the fecal material
contributed from one person diluted in about 2.27 x 108 liters (8 million cubic feet) of water free from the
coliform group. Such a small amount of sewage reaching the growing area is likely to have been so
treated, diluted, or aged that it will be of negligible public health significance.

The NSSP in its Model Ordinance allows for the Authority to classify a growing area using either a total
coliform group or fecal coliform MPN standard as part if its sanitary survey. The two standards are
believed to afford the same level of public health protection (Hunt and Springer, 1974). The NSSP Model
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Ordinance further allows the application of either standard to different water bodies within the state. The
NSSP Model Ordinance also recognizes two distinct water quality monitoring strategies to collect the
total coliform group or fecal coliform monitoring data for application of the standards: Adverse pollution
conditions are to be established for initial classification, but if no point source pollution source impact is
found the systematic random sampling monitoring strategy can be used for monitoring. The Authority
may adopt the use of both the total coliform group and fecal coliform standards and both monitoring
strategies, if applicable, for each standard.

The difference between the adverse pollution condition monitoring strategy and the systematic random
sampling monitoring strategy is determined by 3 factors:

(1) The presence or absence of point source impact in the growing area;

(2) The timing of water sample collection; and

(3) The way in which the MPN data are calculated for comparison to the standard.

An adverse pollution condition (APC) is a state or situation, caused by meteorological, hydrological or

seasonal events or point source discharges, that has historically resulted in elevated total coliform group
or fecal coliform levels in a particular growing area. In using this monitoring strategy, sample collection
must be timed to be representative of the major pollution impacts, since shellfish respond rapidly to an
increase in the number of microorganisms in their surrounding waters. The APC monitoring strategy must
be used in initial growing area classification to assess the impact by sewage treatment facilities, combined
sewer overflows, or other point source discharges and to evaluate the impact of nonpoint pollution. The
results of bacteriological sampling must be correlated with sewage treatment plant operation and
evaluated in terms of treatment and nonpoint pollution contributions at the time of sampling. These
results, combined with considerations for malfunctions, overloads, poor operation, and nonpoint
triggering conditions are used in the initial classification.

The systematic random sampling monitoring strategy can be used in approved or restricted growing areas
except those that are affected by point source pollution. This strategy assumes that monitoring conducted
on a pre-established schedule at an adequate frequency will capture weather or rainfall conditions that
trigger nonpoint pollution contribution. For a full discussion of this strategy, see the NSSP Guidance
Document, Systematic Random Sampling Monitoring Strategy (ISSC/FDA, 2002).

Total coliform group or fecal coliform data collected under either the APC or the systematic random
sampling monitoring strategy are reported as a MPN i.e. a statistical estimate of the number of bacteria
per unit volume of water and is determined from the number of positive results in a series of fermentation
tubes used in a particular laboratory test. A complete discussion of the MPN test can be found in Standard
Methods for the Examination of Water and Wastewater (APHA, 1985). In the APC monitoring strategy,
the application of the two-part water quality standards for both total coliform group and fecal coliform
involves use of a median or geometric mean and a "percentage factor". The "percentage factor" corrects
for the inherent variation of the MPN analytical method when used with a normally distributed data set. In
the systematic random sampling strategy, the application of the two part water quality standards for both
the total coliform group and fecal coliform involves use of a median or geometric mean and an estimated
90th percentile as the statistic to measure the variance of the data set. The use of the strategy requires that
the times of samples be scheduled in advance, so monitoring runs are made with no consideration for
meteorological conditions. For a more in-depth explanation, see the NSSP Guidance Document,
Systematic Random Sampling Monitoring Strategy (ISSC/FDA, 2002).
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A written sanitary survey report is needed to integrate the data from the pollution source survey, the
hydrographic and meteorological investigations, and the water sampling into a comprehensive
information analysis. The purpose of this analysis is to determine the appropriate classification for the
growing area and the geographic boundaries of the classification. This report must include a compilation
of relevant data, a water sample data analysis using appropriate data sorting to determine adverse
pollution conditions and recognized statistical techniques, conclusions as to the appropriate growing area
classification, and recommendations for necessary follow-up actions. The report may also consider
relevant resource management, social, economic, or political factors that may influence the establishment
of the classification boundaries, and the time periods for the open and closed status when conditionally
approved and conditionally restricted classifications are proposed. Pollution conditions that cause closure,
and conditions and time periods for seasonal openings must be included in the management plan.

Keeping the sanitary survey current consists primarily of routinely evaluating major pollution sources,
collecting water quality data from sampling stations under the selected NSSP water quality monitoring
strategy, and analyzing the data to assure that the classification continues to represent current sanitary
conditions in the growing area. The sanitary survey must be repeated fully every 12 years. In the interim,
the sanitary quality of each growing area must be reviewed as often as is necessary to ensure that the
classification is appropriate. Certain sanitary survey components are required by the Model Ordinance to
be updated annually and triennially (every third year). The growing area must be subjected promptly to a
more intense and comprehensive sanitary survey reevaluation when monitoring or other information
reveals a substantial change in the sanitary conditions. A reevaluation report is required and must include
a determination as to whether a change in growing area classification is necessary.

The Authority is required to collect and maintain survey data and information for each growing area in a
centrally located file. Experience with the sanitary survey program for determining the appropriate
classification for each growing area indicates a tendency to omit or de-emphasize some components of
the sanitary survey unless a central state file of all sanitary survey reports, update information, and
reevaluation reports is maintained. This is particularly true when responsibility for shellfish sanitation is
divided between two or more state agencies. Maintenance of a central state file also simplifies the
appraisal of state programs by the FDA and prevents loss of useful historical data.

Minimum Requirements of the Sanitary Survey Report

The following outline contains the minimum requirements for the written growing area sanitary survey
report required in the NSSP Model Ordinance.
A. Executive Summary
B. Description of Growing Area
(1) Location map or chart showing growing area
(2) Description of area and its boundaries
(3) History of growing area classification
* Date of last sanitary survey
* Previous classification(s) map(s)
C. Pollution Source Survey
(1) Summary of Sources and Location
* Information gathered under the shoreline survey procedures outlined above.
* Map or chart showing the location of major sources of actual or potential pollution
in the survey area.
* Table of sources of pollution cross-referenced to the survey area map.
(2) Identification and evaluation of pollution sources
* Domestic wastes (discussion and maps)
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* Storm water
* Agricultural waste (farms, feedlots, & slaughterhouse operations)
* Wildlife areas
* Industrial wastes
D. Hydrographic and Meteorological Characteristics
(1) Tides (type and amplitude), and currents (velocity and direction)
(2) Rainfall
* Amount
* When (e.g. time of year)
* Frequency of significant rainfalls
* Winds (Seasonality and effects on pollution dispersion)
(3) River discharges (volume and seasonality)
(4) Discussion concerning effects of pollution distribution and hydrographic factors (dilution,
dispersion, and time of travel) on water quality throughout the growing area
* Salinity, depth, and stratification characteristics
* Computer model verification if used for classification.
E. Water Quality Studies
(1) Map of sampling stations
(2) Sampling plan and justification
* Adverse condition sampling
* Random sampling
(3) Sample Data Analysis and Presentation: Tables containing the basic NSSP statistics
(number of samples, median or geometric mean, and the respective variability factors)
* Station by station monitoring data array collected under the adverse condition or
systematic random sampling monitoring strategy
* Daily sampling results and number of samples collected for survey
* Overall compliance with NSSP criteria
* Sorting of data by environmental pollution condition
* Classification assigned to each station
F. Interpretation of Data in Determining Classification to Be Assigned to Growing Area: A
discussion of how actual or potential pollution sources, wind, tide, rainfall, etc. affect or may
affect water quality, that will address the following:
(1) Effects of meteorological and hydrographic conditions on bacterial loading
(2) Variability in the bacteriological data and causes
G. Conclusions
(1) Map or chart showing classification assigned to growing area(s) (closure lines, boundary
lines separating various classifications)
(2) Legal description of growing area boundaries
(3) Management plan for growing area if in the conditionally approved or conditionally
restricted classification
(4) Recommendations for sanitary survey improvement
* Changes in monitoring schedules, addition of sampling stations or station relocation,
etc.
* Comments

Growing Area Classifications

As a result of the information gathered during the sanitary survey, the Authority should be able to
distinguish those growing areas suitable for harvest of shellstock for direct human consumption, those
growing areas where the shellfish will require treatment to make them safe for human consumption, and
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those growing areas unsuitable to harvest for human consumption. The probable presence or absence of
pathogenic microorganisms, marine biotoxin or other poisonous or deleterious substances in growing area
waters is important to the Authority in deciding how the shellfish obtained from the growing area should
be used. The Authority's decision, based on the sanitary survey information, will place all actual and
potential growing areas in one of the five possible NSSP growing area classifications.

The five growing area classifications are approved, conditionally approved, restricted, conditionally
restricted and prohibited. Except for an emergency situation such as conditions following a hurricane
when a growing area in the approved classification may be placed temporarily in the closed status, a
growing area in the approved classification is always in the open status. The remaining four growing area
classifications all place some type of restriction on shellstock harvesting. For more information
concerning the enforcement of these restrictions, see the NSSP Guidance Document, Growing Area
Patrol and Enforcement of Growing Area Restrictions (ISSC/FDA, 2002).

Growing areas are placed in the approved classification when the sanitary survey information and marine
biotoxin surveillance data indicate that fecal material, pathogenic microorganisms, poisonous, or
deleterious substances are not present in the growing area in unacceptable concentrations. Shellstock
harvested from these growing areas may be sold directly to the public for consumption raw or cooked.

Use of the conditionally approved and conditionally restricted classifications by the Authority is optional.
The conditional classifications are designed to address growing areas that are subject to intermittent
microbiological pollution. These classifications offer the Authority an alternative to placing the area in
the restricted or prohibited classification year round when, during certain times of the year or under
certain conditions, the shellstock from the growing area may be safely harvested. The concept also applies
to situations where conditions are acceptable for harvest when wastewater treatment plant operation is
satisfactory, but not when a malfunction occurs. A management plan is required that describes the
controls to provide public health protection in the use of the conditional classifications. For a full
explanation of the conditional classifications and their use, see the NSSP Guidance Document,
Management Plans for Growing Areas in the Conditional Classifications (ISSC/FDA, 2002).

A growing area may be placed in the restricted classification instead of the prohibited classification when
the sanitary survey indicates a limited degree of pollution. This option may be used when the sanitary
survey for the growing area indicates that the levels of fecal material or poisonous or deleterious
substances in the growing area are such that additional treatment through depuration or relay can render
the shellstock safe for human consumption. A common situation in the use of the restricted classification
occurs when a growing area is affected by non-point source pollution from either urban or rural sources.
In this situation, the water quality fluctuates unpredictably or with sufficient frequency that the use of the
conditionally approved classification is precluded. The Authority should use the restricted classification
only when sufficient depuration or relay studies have been conducted to establish raw product quality
requirements at the harvest level; and when the Authority has sufficient administrative and technical
resources to properly administer this classification. These resources include monitoring of pollution
sources; providing coordination between state, local and industry officials; issuing special harvesting
permits; and supervising the harvesting and transport of shellstock to relay sites or depuration facilities.
For a complete discussion of the supervision requirements at the harvest level, see the NSSP Guidance
Document, Shellstock Relay (ISSC/FDA, 2002).

Use of the restricted classification requires the Authority to develop the controls necessary to assure that
the shellfish are relayed or depurated prior to consumption. Bacteriological water quality standards are
applied on a growing area specific basis. The criteria may vary according to the use to be made of the
shellstock and the effectiveness of the relay or depuration process used to cleanse the shellstock. Process
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effectiveness is determined through a study, which establishes the fecal coliform density in the shellstock
at the time of harvest, and the density that can be achieved at the completion of the process. Effectiveness
of the process is likely to vary between growing areas used for natural cleansing treatment in relay
operations and between depuration facilities used for controlled cleansing treatment. The species of
shellstock may also affect the effectiveness of the relay or depuration process. For a complete discussion
of relay, see the NSSP Guidance Document, Shellstock Relay (ISSC/FDA, 2002).

A growing area is placed in the prohibited classification when the sanitary survey or marine biotoxin
surveillance program indicates that fecal material, pathogenic microorganisms, poisonous or deleterious
substances, marine biotoxin, or radionuclides may reach the harvest area in excessive concentrations. The
NSSP Model Ordinance also requires that a growing area for which there is no sanitary survey be placed
in the prohibited classification as a precautionary measure. Taking shellstock from a prohibited area for
any human food purpose is not allowed.

Depletion of prohibited areas can be an effective deterrent to illegal harvesting as it provides a safeguard
against contaminated shellfish reaching the market and eliminates a temptation for harvesters. Depletion
may be more economical and effective than patrol of prohibited areas in protecting public health. In a
depletion operation, all market sized shellstock and as many of the smaller sized shellstock as can be
gathered by reasonable methods are removed from the growing area. To be effective, depletion operations
should be conducted at sufficient intervals to keep growing areas free of commercial quantities of market-
sized shellstock. When commercial harvesters conduct depletion operations, the Authority or the Patrol
Authority must provide effective supervision.

The NSSP Model Ordinance also requires that an area in the prohibited classification (closed safety zone)
must be established between any sewage treatment plants or other waste discharge of public health
significance and any growing area placed in the approved, conditionally approved, restricted, or
conditionally restricted classification. The size of the prohibited area should be based on the effectiveness
and level of sewage treatment; the location of the shellstock resource that would be affected; the
classification of adjacent waters, the total time it would take for the person responsible for the operation
of the sewage treatment facility to detect a failure and notify the Authority; the time it would take the
Authority to issue a notice to stop shellstock harvesting, and the degree of effluent dilution. Due
consideration should be given to the possibility that emergency actions might be necessary on holidays or
at night.

REFERENCES

1. American Public Health Association. 1985. Standard Methods for the Examination of Water and
Wastewater, 16th ed. 1985. American Public Health Association, American Water Works
Association, Water Pollution Control Federation, Washington D.C.
2. Beliaeff, B., T.P. O'Connor, D.K. Daskalakis, and P.J. Smith. 1997. U. S. Mussel Watch Data
from 1986 to 1994: Temporal trend detection at large spatial scales. Environ. Sci.
Tech. 31:1411-1415.
3. Capuzzo, J.M. 1996. The bioaccumulation and biological effects of lipophilic organic
contaminants, p.539-553. In V.S. Kennedy, R.I.E. Newell and A.F. Eble (eds.), The Eastern
Oyster, Crassostrea virginica. Maryland Sea Grant, University of Maryland System, College
Park, MD.
4. Casper, Victor L. 1982. Memorandum, Quarterly Report - Shellfish, October 1, 1982 Through
December 31, 1982; Oyster related gastroenteritis outbreaks. U.S. Food and Drug Administration,
Washington, D.C.

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5. Clem, David. 1994. Historical Overview, p.1-29. In C.R. Hackney and M.D. Pierson (eds.),
Environmental Indicators and Shellfish Safety. Chapman and Hall, New York, NY.
6. Frost, W.H. Chairman. 1925. Report of Committee on Sanitary Control of the Shellfish Industry
in the United States. Supplement No. 53. Public Health Reports. Nov. 6. pp 17.
7. Garreis, Mary Jo. 1994. Sanitary surveys of growing waters, p.289-330. In C.R. Hackney and
M.D. Pierson (eds.), Environmental Indicators and Shellfish Safety. Chapman and Hall, New
York, NY.
8. Gurion. 1917. Public Health Bulletin No. 86.
9. Hackney, C.R. and M.E. Potter (a). 1994. Animal-associated and terrestrial bacterial pathogens,
p.172-209. In C.R. Hackney and M.D. Pierson (eds.), Environmental Indicators and Shellfish
Safety. Chapman and Hall, New York, NY.
10. Hackney, C.R. and M.E. Potter (b). 1994. Human-Associated Bacterial Pathogens, p.172-209. In
C.R. Hackney and M.D. Pierson (eds.), Environmental Indicators and Shellfish Safety. Chapman
and Hall, New York, NY.
11. Hunt, D.A. and J. Springer. 1974. Preliminary report on a comparison of total coliform and fecal
coliform values in shellfish growing area waters and a proposal for a fecal coliform growing area
standard, p .97-104. In Wilt, D.S. (ed.), Proceedings 8th National Shellfish Sanitation Workshop.
U.S. Food and Drug Administration, Washington D.C.
12. Interstate Shellfish Sanitation Conference. 2002. FDA Action Levels, Tolerances and Other
Values for Poisonous or Deleterious Substances in Seafood. In ISSC (ed.), Interstate Shellfish
Sanitation Program Handbook. Interstate Shellfish Sanitation Conference, Columbia, SC.
13. Interstate Shellfish Sanitation Conference. 2002. Guidance for Developing Marine Biotoxin
Contingency Plans. In ISSC (ed.),NSSP Guide for the Control of Molluscan Shellfish. Interstate
Shellfish Sanitation Conference, Columbia, SC.
14. Interstate Shellfish Sanitation Conference. 2002. Growing Area Patrol and Enforcement of
Growing Area Restrictions. In ISSC (ed.),. Interstate Shellfish Sanitation Conference, Columbia,
SC.
15. Interstate Shellfish Sanitation Conference. 2002. History of the Interstate Shellfish Sanitation
Program. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish. Interstate Shellfish
Sanitation Conference, Columbia, SC.
16. Interstate Shellfish Sanitation Conference. 2002. Management Plans for Growing Areas in the
Conditional Classifications. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish.
Interstate Shellfish Sanitation Conference, Columbia, SC.
17. Interstate Shellfish Sanitation Conference. 2002. Shellstock Relay. In ISSC (ed.), NSSP Guide for
the Control of Molluscan Shellfish. Interstate Shellfish Sanitation Conference, Columbia, SC.
18. Interstate Shellfish Sanitation Conference. 2002. Systematic Random Sampling Monitoring
Strategy. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish. Interstate Shellfish
Sanitation Conference, Columbia, SC.
19. Jaykus, Lee-Ann, Mary T. Hemard and Mark D. Sobsey. 1994. Human Enteric Pathogenic
Viruses, p.289-330. In C.R. Hackney and M.D. Pierson (eds.), Environmental Indicators and
Shellfish Safety. Chapman and Hall, New York, NY.
20. Kator, Howard and Martha Rhodes. 1994. Microbial and Chemical Indicators, p.289-330. In C.R.
Hackney and M.D. Pierson (eds.), Environmental Indicators and Shellfish Safety. Chapman and
Hall, New York, NY.
21. Kennedy, V.S., R.I.E. Newell and A.F. Eble. 1996. The Eastern Oyster, Crassostrea virginica.
Maryland Sea Grant, University of Maryland System, College Park Maryland.
22. Kurland, L. et al. 1960. Minamata Disease - The Outbreak Of A Neurological Disorder In
Minamata, Japan, And Its Relationship To The Ingestion Of A Seafood Contaminated By
Mercuric Compounds. World Neurology 1:370-391.

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23. Liston, John. 1994. Association of Vibrionaceae, natural toxins, and parasites with fecal
indicators, p.215-216. In C.R. Hackney and M.D. Pierson (eds.), Environmental Indicators and
Shellfish Safety. Chapman and Hall, New York, NY.
24. Lumsden, L.L., et al. 1925. A typhoid fever epidemic caused by oyster-borne infection. Public
Health Reports, Supp. No. 50.
25. O'Connor, T. P. and B. Beliaeff. 1995. Recent Trends in Coastal Environmental Quality: Results
from the Mussel Watch Project. Department of Commerce, National Oceans and Atmospheric
Agency (NOAA), Silver Spring, MD. 40 p.
26. O'Connor, T. P. 1996. Trends in chemical concentrations in mussels and oysters
collected along the U. S. coast from 1986 to 1993. Mar. Environ. Res. 41:183-200.
27. Rippey, Scott (a). 1994. Infectious diseases associated with molluscan shellfish consumption.
Clinical Micro. Rev. 7: 419-425.
28. Rippey, Scott (b). 1994. Seafood Borne Disease Outbreaks. U.S. Food and Drug Administration,
Washington, D.C.
29. Roderick, G.E. and K.R. Schneider. 1994. Depuration and Relaying of Molluscan Shellfish,
p.331-363. In C.R. Hackney and M.D. Pierson (eds.), Environmental Indicators and Shellfish
Safety. Chapman and Hall, New York, NY.
30. Rosijadi, G. 1996. Environmental Factors: Response to metals, p.515-532. In V.S. Kennedy,
R.I.E. Newell and A.F. Eble (eds.), The Eastern Oyster, Crassostrea virginica. Maryland Sea
Grant, University of Maryland System, College Park, MD.
31. Texas Department of Health. 1977. Mercury Concentrations In Marine Organisms Of Lavaca
Bay. Texas Department of Health, Division of Shellfish Sanitation Control Report,
Austin, TX. 67 p.
32. Stelma, G.N. and L.J. McCabe. 1990. Non-point pollution from animal sources and shellfish
sanitation. J. of Food Protection. Vol. 55, No. 8, pp.649 -656.
33. U.S. Environmental Protection Agency. 1974. Design Criteria for Mechanical, Electric, and
Fluid System and Component Reliability. U.S. EPA, Washington, D.C. EPA 430/9-74-001.
34. U.S. Environmental Protection Agency. 1974. Protection of Shellfish Waters. Office of Water
Program Operations, U.S. EPA, Washington, D.C. EPA 430/9-74-010.

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.04 Action Levels, Tolerances and Guidance levels for Poisonous or Deleterious Substances in
Seafood

Because shellfish are filter feeders, they can readily accumulate substances from the water column. The
types of poisonous or deleterious substances that have been recovered from shellfish include heavy
metals, pesticides, petroleum products, polychlorinated biphenyls, and naturally occurring marine
biotoxins. The source of these contaminants may be industrial, agricultural, mining, spillage, sewage,
dredging operations, sludge dumps, and naturally occurring toxigenic marine organisms.

The FDA has established action levels, tolerances and guidance levels for poisonous or deleterious
substances to control the levels of contaminants in human food including seafood (FDA Federal Register,
1977; FDA, 1985). Action levels are established and revised according to criteria specified in the Code of
Federal Regulations (21 CFR 109 and 509), and are revoked when a regulation establishing a tolerance
for the same substance and use becomes effective. Action levels and tolerance represent limits at or above
which FDA will take legal action to remove adulterated products, including shellfish, from the market.
Action levels and tolerances, are established based on the unavoidability of the poisonous or deleterious
substance and do not represent permissible levels of contamination where it is avoidable. Guidance levels
are used to assess the public health impact of the specified contaminant.

Table 1 lists action levels, tolerances and guidance levels established by the FDA for poisonous or
deleterious substances in seafood including shellfish. Notices are published in the Federal Register as
new action levels are established or as existing action levels are revised or revoked. Should any of these
notices affect Table 1, FDA will issue an interpretation advising NSSP participants of this revision or
addition.

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TABLE 1
Action Levels, Tolerances and Guidance Levels for Poisonous or Deleterious Substances in Seafood
Class of Substance Substance Level Food Commoditya Reference
CPG sec
Aldrin/Dieldrinc 0.3 ppm All Fish
575.100b
CPG sec
Chlordane 0.3 ppm All Fish
Deleterious 575.100b
Substance CPG sec
0.3 ppm All Fish
575.100b
Chlordeconed
CPG sec
0.4 ppm Crabmeat
575.100b
CPG sec
DDT, DDE, TDEe 5.0 ppm All Fish
575.100b
40 CFR
2.0 ppm All Fish
180.226
Diquatg
40 CFR
20.0 ppm Shellfish
180.226
40 CFR
0.25 ppm Fin Fish
180.364
Glyphosateg
40 CFR
3.0 ppm Shellfish
180.364
40 CFR
Carbaryl 0.25 ppm Oysters
180.169
Endothall and its 40 CFR
0.1 ppm All Fish
Monomethyl ester 180.293
CPG sec
Methyl Mercury 1.0 ppm All Fish
540.600
Heptachlor / Heptachlor CPG sec
0.3 ppm All Fish
Epoxidef 575.100
CPG sec
Mirex 0.1 ppm All Fish
575.100
Polychlorinated Biphenyls
2.0 ppm All Fish 21 CFR 109.30
(PCBs)g
40 CFR
2,4-Dg 1.0 ppm All Fish
180.142
No 21 CFR
Chloramphenicol All Fish
Residue 530.41
No 21 CFR
Chemotherapeutics Clenbuterol All Fish
Residue 530.41
No 21 CFR
Diethylstilbestrol (DES) All Fish
Residue 530.41

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No 21 CFR
Demetridazole All Fish
Residue 530.41
Ipronidazole and other No 21 CFR
All Fish
nitroimidazoles Residue 530.41
Frazolidone and other No 21 CFR
All Fish
nitrofurans Residue 530.41
No 21 CFR
Fluoroquinilones All Fish
Residue 530.41
No 21 CFR
Glycopeptides All Fish
Residue 530.41

Paralytic Shellfish Poison CPG sec

80 μg/100g All Fish
(PSP) 540.250
Natural Neurotoxic Shellfish Poison Clams, mussels, Oysters, fresh
Toxins 20 MU NSSP MO
(NSP)e frozen or canned
All Fish (except in the viscera Compliance
Amnesic Shellfish Poison
20 ppm of Dungeness Program
(ASP)
crab where 30 ppm is permitted 7303.842

Note: the term "fish" refers to fresh or saltwater fin fish, crustaceans, other forms of aquatic animal life
other than birds or mammals and all mollusks as defined in 21 CFR 123.3(d).

Footnotes for Table 1

a) Unless otherwise specified, the action levels, tolerances and other values listed apply to both the
raw and processed food commodity. Procedures for sample collection and analyses are specified in
Sections 420 and 450 of the FDA Investigations Operation Manual; FDA Pesticide Analytical
Manual (PAM) Volume I or II; AOAC Official Methods of Analysis; APHA Recommended
Procedures for the Examination of Sea Water and Shellfish, Fourth Edition, 1970; or, peer
reviewed literature for domoic acid (ASP) methodologies.

b) References designated as CPG represent the FDA Compliance Policy Guides and all associated
numbers as they appear in appropriate sections of FDA's Compliance Policy Guides Manual.

c) The action level for aldrin and dieldrin are for residues of the pesticides individually or in
combination. However, in adding amounts of aldrin and dieldrin do not count aldrin or dieldrin found
at the level below 0.1 ppm for fish.

d) Previously listed as Kepone, the tradename for chlordecone.

e) The action level for DDT, TDE, and DDE are for residues of the pesticides individually or in
combination. However, in adding amounts of DDT, TDE, and DDE do not count any of the three
found below 0.2 ppm for fish.

f) The action level for heptachlor and heptachlor epoxide are for the pesticides individually or in
combination. However, do not count heptachlor or heptachlor epoxide found below 0.1 ppm.
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g) The levels published in 21 CFR and 40 CFR represent tolerances rather than guidance levels or
action levels.

REFERENCES

1. Food and Drug Administration. 1977. Poisonous Or Deleterious Substances In Food. Federal
Register. 42(190):52814-52819.
2. Food and Drug Administration. 1985. Action Levels For Poisonous Or Deleterious Substances In
Human Food And Animal Feed. U.S. Department of Health and Human Services, Public Health
Service, Washington, D.C. 13 pages.
3. Food and Drug Administration. 1993. Guidance Document for Arsenic in Shellfish. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-416),
200 C Street, SW, Washington, DC 20204. 44 pages.
4. Food and Drug Administration. 1993. Guidance Document for Cadmium in Shellfish. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-416),
200 C Street, SW, Washington, D.C. 20204. 44 pages.
5. Food and Drug Administration. 1993. Guidance Document for Chromium in Shellfish. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-416),
200 C Street, SW, Washington, D.C. 20204. 40 pages.
6. Food and Drug Administration. 1993. Guidance Document for Lead in Shellfish. U.S. Department
of Health and Human Services, Public Health Service, Office of Seafood (HFS-416), 200 C
Street, SW, Washington, D.C. 20204. 45 pages.
7. Food and Drug Administration. 1993. Guidance Document for Nickel in Shellfish. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-416),
200 C Street, SW, Washington, D.C. 20204. 39 pages.
8. Food and Drug Administration. 2001. Fish and Fisheries Products Hazards & Controls
Guidance, Third Edition. U.S. Department of Health and Human Services, Public Health Service,
Office of Seafood, 5100 Paint Branch Parkway, College Park, Maryland 20740-3835. 326 pages.

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.05 Management Plans for Growing Areas in the Conditional Classification

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

The goal of the NSSP is to control the safety of shellfish for human consumption by preventing its harvest
from contaminated growing areas. In implementing this goal, the NSSP uses five classifications for
growing areas: approved, conditionally approved, restricted, conditionally restricted, and prohibited. The
placement of a growing area in any one classification is based upon the growing area's conformance with
the requirements established for that classification. For a full explanation of this concept, see the public
health explanation in NSSP Guidance Document, Sanitary Survey and the Classification of Growing
Waters (ISSC/FDA, 2002).

The conditional classifications are designed to address growing areas that are subject to intermittent
microbiological pollution. These classifications offer the Authority an alternative to placing the area in
the restricted or prohibited classification year round when during certain times of the year or under certain
conditions, the shellstock from the growing area may be safely harvested. Public health protection from
unsafe shellfish in the use of the conditional classifications is afforded through the use of a management
plan. Using a thorough investigation conducted as part of the sanitary survey, the Authority determines
that the growing area will be in the open status of its conditional classification for a reasonable period of
time; that the factors which determine this period of time are known, predictable and are not so complex
that the factors cannot be reasonably managed; and that the bacteriological water quality can be correlated
with the factors affecting the distribution of pollutants in the growing area. The management plan for each
growing area placed in a conditional classification is based on the information gathered during the
investigation. The plan establishes a strict set of criteria, which must be met for the growing area to
remain in the open status. Failure to meet the criteria automatically places the growing area in the closed
status, with immediate notice to the public, the affected industry, and the plan's participants. Two of the
most important components of the management plan are the acceptance of and the agreement to the
conditions of the management plan by the one or more Authorities involved, other local, state and federal
agencies which may be involved, the affected shellfish industry, and the persons responsible for the
operation of any treatment plants or other discharges that may be involved; and the annual reevaluation of
the compliance with the plan to assure public health protection.

The criteria for the approved classification of the NSSP require that the growing area not be subject to
human or animal fecal matter at levels that present an actual or potential public health risk, and not be
contaminated with pathogenic organisms, poisonous or deleterious substances or marine biotoxin. From
the review of growing area classifications and sanitary surveys conducted by national and international
Authorities, it appears that a common misuse of the approved classification is the placement of a growing
area in the approved classification when the use of the conditionally approved classification would have
been more appropriate. Critical investigation usually reveals that the growing area is improperly classified

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because it is subject to intermittent pollution events, which is a contravention of the criteria for the
approved classification.

Intermittent pollution events have been identified as a significant cause of shellfish-borne infectious
disease outbreaks worldwide. As an example, in the fall of 1982, at least 471 persons developed
gastroenteritis after consumption of sewage contaminated oysters from a growing area that had been
placed in the approved classification (Casper, 1982). An investigation into the outbreak demonstrated that
the growing area could probably be safely open to harvesting in the summer when the prevailing winds
are southerly and tides are high. In the late fall, the arrival of cold fronts can cause high rainfall, strong
winds and abnormally low tides and raw sewage bypasses from overloaded sewage treatment plants.
Under these conditions, sewage reached the growing area causing the outbreak. As a result of the
investigation, the Authority learned that it should have placed the growing area in the conditionally
approved classification and developed a management plan to automatically close the area in the late fall
through spring when climatic conditions were likely to render the growing area unsafe. Under the
management plan, the area would be reopened to harvesting in the summer when favorable conditions
prevailed and would be intensively monitored to ensure that the summer conditions were met. In this
instance, application of the conditionally approved area concept probably could have prevented the
outbreak.

Use of the Conditional Classification

Use of the conditional classifications is a voluntary option for the Authority. There are two types of
conditional areas: conditionally approved and conditionally restricted. Any growing area in the
conditionally approved classification must meet the criteria for the approved classification when it is in
the open status of this classification. When the growing area is in the closed status of this classification, it
may be used for relaying or depuration if it meets the requirements for the restricted classification and if
this use is specified in its management plan, or it may be closed to any use. Any growing area in the
conditionally restricted classification must meet the criteria for the restricted classification when it is in
the open status of this classification and no harvesting is permitted when it is in its closed status.

Growing areas that are subject to intermittent microbiological pollution from predictable pollution events
may be placed in the conditionally approved or conditionally restricted classification under the NSSP.
Examples of predictable pollution events include the failure of wastewater treatment facilities to maintain
a performance standard needed to maintain an established effluent quality; changes in seasonal
populations affecting growing area water quality; and nonpoint source pollution events such as caused by
as certain rainfall intensities. Conditional classifications may also be used to manage growing areas
affected by toxigenic micro-algae that produce marine biotoxins.

An example of a common situation where use of the conditionally approved classification might be
appropriate is when water quality is dependent upon the operation and performance of a sewage treatment
plant. In this example, the growing area would meet the criteria for the approved classification when the
sewage treatment plant is performing satisfactorily. If there is some interruption in sewage treatment, the
likely result will be degradation of water quality in the growing area. This degradation would require the
establishment of a prohibited area large enough to dilute and assimilate the effluent discharged during the
interruption in treatment. If an interruption can be predicted and is at a manageable frequency
necessitating repeated closings (e.g. one or two times a year), the Authority may consider a conditionally
approved classification for a portion of the growing area classified as prohibited. Interruptions could
include a disinfection failure or certain climatic conditions which are known to affect the wastewater
treatment facility's performance). Although many Authorities are burdened by administrative procedures,
the use of a management plan for the conditional classification allows the Authority to act quickly to
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implement closures, and avoid unnecessary delays in returning the conditionally approved portion of the
growing area to the open status. The added administrative burden might be offset by the shellfish resource
gained by upgrading a prohibited portion of a growing area to the conditionally approved classification.

The concept of the conditionally approved classification is also applicable to other situations in which
there may be a rapid or seasonal change in water quality. Examples include:

* The water quality in a growing area adjacent to a resort community may vary according to seasons
of the year. During the summer months, when the community experiences a significant population
increase, water quality may be adversely affected. However, during the winter when there are few
people in the community, water quality might improve sufficiently to allow the growing area to be
placed in the open status. In some states, this is known as a seasonal closure.

* The water quality in a protected harbor in a sparsely settled area, which provides anchorage for a
fishing fleet several months a year, might vary. When the fishing fleet is in the harbor, the water
might be of poor sanitary quality. The area would be closed for shellstock harvesting when the fishing
fleet is using the harbor. During the remainder of the year, however, the quality of the harbor water
might meet the criteria for the approved classification and be opened to shellstock harvesting.

* The water quality in an area may fluctuate with the discharge of a major river, or rainfall in the area
may cause runoff of pollutants from adjacent land surfaces (non-point pollution) into the growing
area. During periods of low runoff or river discharge, the area might meet the criteria for the approved
classification.

The use of the conditional classification option offers the Authority the ability to increase the availability
of water for shellfishing that would otherwise be closed. The management plan dictates the circumstances
and procedures for immediate response to situations requiring closure. The administrative procedures
included in the management plan allows the Authority to reopen the area to harvesting as soon as the
pollution condition is over and the water quality and shellstock have returned to acceptable quality.

Suitability of the Conditional Classification

The first step is to determine, through a thorough investigation conducted as part of the sanitary survey, if
the growing area is suitable for conditional management by evaluating the potential sources of pollution
in terms of their effect on water quality. Information must be gathered to support the supposition that the
growing area will be in the open status of its conditional classification for a reasonable period of time;
that the pollution events which determine this period of time are known, predictable and are not so
complex that the factors of these events cannot be reasonably managed; and that the bacteriological water
quality can be correlated with the factors affecting the distribution of pollutants in the growing area. The
investigation may also consider relevant resource management, social, economic, or political factors that
may influence the open and closed periods, and the establishment of boundaries, for the conditional
classification of a growing area. The management plan for each growing area placed in a conditional
classification is based on the information gathered during the investigation. Some potential sources of
pollution which could be managed under a conditional classification management plan include: bypasses
and overflows within a sewage collection and treatment system, intermittent discharges from boats,
seasonally related pollution occurrences, animals, land runoff, and freshwater flows.

The second step in determining the suitability of conditional classifications is to determine whether the
Authority has sufficient resources available to survey, manage, monitor, control harvesting, close and
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reopen the area as required. Use of these classifications imposes additional manpower and resource
burdens on the Authority. For example sources of pollution must be routinely monitored; coordination
between state, local and industry officials must be timely; performance standards must be monitored; and
closures must be immediate and effective. Any Authority that has elected to use the conditionally
approved or conditionally restricted classifications has found the resource investment to be substantial
and this investment must be balanced against the benefit of the additional shellfish resource available.

The third step is to evaluate each source of pollution in terms of the pollution load and to determine if
performance standards can be formulated for each pollution source having a significant effect on the
sanitary quality of the growing area. The conditional classification management plan must establish a
strict set of criteria, which must be met for the growing area to remain in the open status. The following
are examples of different types of performance standards that could be used:

* Performance standards might stipulate the bacteriological quality of effluent from sewage treatment
plants. The microbiological quality can be monitored in terms of disinfection residual or dosage for
ultraviolet light disinfection. An example of a performance standard for an effluent discharge is: "The
median fecal coliform MPN, in any one month, shall not exceed 200 per 100 ml, based on not less
than 16 samples per month, and not more than 10 percent of the samples shall have an MPN in excess
of 1,000 per 100 ml. This fecal coliform limit shall be presumed to be met if the chlorine residual in
the effluent is at least 1.0 ppm and the chlorine residual in the effluent is continuously recorded on a
chart by chlorine residual analyzer or is measured hourly and recorded in the daily monitoring records
as required for the plant's NPDES permit."

* For disinfection by ultraviolet (UV) light, the disinfection is based on dosage. An example of a
performance standard is, "A minimum UV dose of 37 mW-Sec/cm2 is to be maintained. The
calculation of intensity of the UV light is to include factors for effluent quality, including turbidity,
suspended solids, and transmittance. The effluent factors contributing to the dose, including turbidity,
suspended solids, transmittance, and flow will be continuously measured and recorded. An alarm will
be activated if any of the factors are above design limits."

* Performance standards might be based upon the amount of vessel traffic in the area and the
concomitant amount of sewage that can be expected.

* Performance standards might be based upon the amount of rainfall in the immediate area. An
example is: "The growing area will be closed to harvesting for (number of days) when there has been
2 inches or more rainfall registered at a rain gauge at (specified location) within a 24-hour period."

* Performance standards might be based upon the height of a river stage. An example could be:
"When the river at (a specified area) reaches 3.66 meters (12 feet) or higher, the growing area will be
closed."

The design of a waste treatment plant and the plant effluent specifications are critical to the use of the
conditional classifications. Design criteria which may be useful in determining the quality of sewage
which can be discharged into an area without exceeding the desired water quality standards include:
population equivalent (fecal coliform) of sewage, predicted survival of fecal coliform in seawater,
effectiveness of disinfection and the amount of clean dilution water in an area.

The mechanical equipment at critical sewage treatment or plant components should be such that
interruptions will be minimized. Requirements, which might be imposed, depend upon the importance of
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the unit's relationship to maintenance of water quality in the growing area. Important design features,
which should be considered in the design of the sewage collection system, include:
* Exclusion of storm water runoff from sewer collection systems and use of devices such as flow
equalization tanks to control effects of storm water infiltration on treatment plant performance;
* Provision of stand by power at critical sewage pumping stations through the use of on-site
emergency generators, or other alternate power sources;
* Use of gauges, charts and other recording devices to monitor flows and performance standards; and
* Use of alarms, telemetering or other devices to report immediately failure of any critical
components at the wastewater treatment plant and in the collection system at sewage pumping
stations.

A detailed discussion of ways to increase the reliability of sewage treatment plants can be found in
Protection of Shellfish Waters (USEPA, 1974) and Design Criteria for Mechanical, Electric and Fluid
System Component Reliability (USEPA, 1974).

The fourth step is to determine the water quality, which will occur in the growing area when the
performance standards are not met, and what portion of the growing area will be affected. Once these
determinations are made, the Authority can select the appropriate management strategy for the portion of
the growing area that will be placed in the closed status when performance standards are not met, and can
select the boundaries for the closed status. The boundaries of that portion of the growing area to be placed
in the closed status would depend upon such items as the distance and travel time from the pollution
source to the area, the concentration of pollutants in the discharge during the breakdown condition,
amount of effluent and hydrographic factors including dilution available in the receiving water.

The use of the conditional classification where a sewage treatment plant is the pollution source being
managed requires a fifth step. An area in the prohibited classification (closed safety zone) must be
established between the sewage treatment plant and the growing area placed in the conditionally approved
or conditionally restricted classification. The size of the prohibited area should be based on the level of
sewage treatment; the total time it would take for the person responsible for the operation of the sewage
treatment facility to detect a failure and notify the Authority; and the time it would take the Authority to
issue a notice to stop shellstock harvesting. The size of the area in the prohibited classification should
allow for a effluent travel time through the prohibited area that is at least twice that required for the
notification process to become effective. Due consideration should be given to the possibility that
emergency actions might be necessary on holidays or at night. A minimum effluent dilution is to be
determined at the prohibited boundary and can be the controlling factor in situations where there is
efficient detection and notification of breakdowns.

The length of time that a growing area should be in the closed status of its conditional classification will
depend upon several factors. These factors include the degree of pollution in the growing area and
flushing capacity of the estuary, the species of shellfish, water temperature, shellstock activity and
cleansing rates, and presence of silt or other chemicals that might interfere with the physiological activity
of the shellstock. Additional information on the natural cleansing of shellstock is provided in the NSSP
Guidance Document, Shellstock Relay (ISSC/FDA, 2002).

Minimum Requirements for a Conditional Area Management Plan

The management plan for a growing area in the conditionally approved or conditionally restricted
classification must meet certain minimum requirements to ensure that the safety of the shellfish for

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human consumption is maintained. The use and success of the conditional classification depends upon a
thorough and accurate management plan. Therefore, it is important that all aspects of the management
plan be fully considered and implemented. The minimum requirements to be addressed are:

A. An understanding of and agreement to the conditions of the management plan by the one or more
Authorities involved, other local, state and federal agencies which may be involved, the affected
shellfish industry, and the persons responsible for the operation of any treatment plants or other
discharges that may be involved;
B. A written management plan for the growing area being placed in the conditional classification,
which includes a general description of the growing area with a map showing the area's
boundaries, and which addresses all items in C through H;.
C. A sanitary survey that shows the growing area will be in the open status of its conditional
classification for reasonable periods of time. The survey must provide a description of the factors
determining the growing area's suitability for being classified conditionally approved or
conditionally restricted, and the supporting information and data.
D. A description of the predictable pollution event or events that are being managed and the
performance standards established for each pollution source contributing to the pollution event
including:
(1) For a wastewater treatment facility, the performance standard should be based on:
* Peak effluent flow
* Bacteriological quality of the effluent
* Physical and chemical quality of the effluent
* Bypasses from the treatment plant or its collection system
* Design, construction, and maintenance to minimize mechanical failure or
overloading (i.e. The reliability of the treatment system and collection system
components)
* Provisions for verifying and monitoring efficiency of the wastewater treatment
plant and the feedback system for addressing inadequate treatment.
* Identification of conditions that lead to wastewater treatment plant failure and
closure of the conditionally approved area.
(2) For meteorological or hydrological events, the performance standard should be based on:
* Identification of the specific meteorological and/or hydrologic event that will cause
the growing area to be placed in the closed status;
* Discussion and data analyses concluding that effects on water quality from these
specific meteorological and/or hydrologic events are predictable, and that the data are
sufficient to establish meaningful performance standards or criteria for the
establishment and implementation of a management plan for the growing area placed
in the conditional classification; and
* The predicted number of times, based on historical findings, that the pollution event
will occur within one year.
(3) For seasonal events, such as marina operation, seasonal rainfall, and waterfowl migration,
the performance standard should be based on:
* Identification of the seasonal event that will cause the growing area to be placed in
the closed status, including its estimated duration; and
* Discussion and data concluding that the seasonal event is predictable, and that the
data are sufficient to establish meaningful performance standards or criteria for the
establishment and implementation of a management plan for a growing area placed in
the conditional classification;
E. A description of the plan for monitoring water quality including numbers and frequency;

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F. A description of how the closed status for the conditional classification will be implemented,
which must include:
(1) A clear statement that when the performance standards are not met, the growing area will
immediately be placed in the closed status;
(2) A requirement to notify the Authority or Authorities that the management plan
performance standards have not been met, including:
* The name of the agency or other party responsible for notifying the Authority;
* The anticipated response time between the performance standards not being met
and notification of the Authority; and
* The procedures for prompt notification including contingencies such as night,
weekend and absences of key personnel;
(3) A description of the implementation and enforcement, including:
* The response time between the notification to the Authority of the failure to meet
performance standards and activation of the legal closure of the growing area by the
Authority;
* The procedures and methods to be used to notify the shellfish industry; and
* The procedures and methods to be used to notify the patrol agency (enforcement
agency) including:
- The name of the responsible patrol agency;
- The anticipated response time between the Authority's legal closure of the
growing area and notification of closure to the patrol agency; and
- A description of the patrol agencies anticipated activities to enforce the
closed status.
G. A description of the criteria that must be met prior to reopening a growing area in the closed
status, including the need to determine that:
(1) The performance standards established in the management plan are again fully met;
(2) The flushing time for pollution dissipation is adequate;
(3) A time interval has elapsed which is sufficient to permit reduction of human pathogens as
measured by the coliform indicator group in the shellstock;
(4) Where necessary, the bacteriological quality of the water must be verified; and
(5) Shellstock feeding activity is sufficient to achieve reduction of pathogens to levels present
prior to the pollution event.
H. A commitment to a reevaluation of the management plan at least annually using, at a minimum,
the reevaluation requirements in the NSSP Model Ordinance.

References
1. Casper, Victor L. 1982. Memorandum, Quarterly Report - Shellfish, October 1, 1982 Through
December 31, 1982; Oyster Related Gastroenteritis Outbreaks. U.S. Food and Drug
Administration, Washington, D.C.
2. Interstate Shellfish Sanitation Conference. 2002. Sanitary Survey and the Classification of
Growing Waters. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish. Interstate
Shellfish Sanitation Conference, Columbia, SC.
3. Interstate Shellfish Sanitation Conference. 2002. Shellstock Relay. In ISSC (ed.), NSSP Guide for
the Control of Molluscan Shellfish. Interstate Shellfish Sanitation Conference, Columbia, SC.
4. U.S. Environmental Protection Agency. 1974. Design Criteria for Mechanical, Electric, and
Fluid System and Component Reliability. EPA 430/9-74-001.
5. U.S. Environmental Protection Agency. 1974. Protection of Shellfish Waters. Office of Water
Program Operations. EPA 430/9-74-010.

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.06 Shellstock Relay

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

Relaying is the practice of harvesting shellstock from polluted growing areas and placing them in
unpolluted bodies of water for a sufficient time for the shellstock to reduce contaminating
microorganisms and chemical contaminants to safe levels. When adequate controls are used during the
relay process, shellstock resources that would otherwise not be available for human consumption are
made safe through natural cleansing, and become accessible to the shellfish industry and the consumer.

Research has shown that shellstock has the ability to purge itself of certain microbial and chemical
contaminants when placed in clean saline water. The rate of purging depends on the specific
contaminants, species of shellstock, and several environmental factors. As early as 1911, public health
officials were investigating the use of natural cleansing through relaying to reduce pathogenic organism
levels in oysters (Clem, 1994).

Factors Affecting Natural Cleansing

Shellstock, which is heavily contaminated with microorganisms, may require additional time for natural
cleansing. (Metcalf and Stiles, 1968; Canzonier, 1971; Metcalfe, 1979) The length of time required for
the cleansing process is influenced by many factors including level of pollution in the shellstock when it
is removed from the polluted waters. Roderick and Schneider (1994) have prepared an excellent summary
of the current knowledge concerning depuration and relaying of shellstock. Their work identifies four
critical factors that affect the physiological activity, pumping rate and behavioral responses of shellstock:
water temperature, salinity, dissolved oxygen, and turbidity and suspended solids. Shumway (1996)
reports that temperature is the most important factor affecting the eastern oyster. Both temperature and
salinity have an important effect on eastern oyster pumping rates, which is important for natural
cleansing, with temperature being the most important parameter.

Investigations by marine biologists have confirmed that the physiological activities of shellstock are
reduced when the water temperature falls below a certain value. This finding is important because viruses,
other pathogens and chemical contaminants cannot be eliminated from shellstock if the shellstock is not
actively pumping water. Loosenoff (1958) showed that pumping rates in the eastern oyster rose steadily
as water temperature climbed from 8°C to 28°C. Pumping was reported as severely reduced or non-
existent below 2°C. Generally investigators agree that the pumping rates in the eastern oyster are reduced
at less than 10°C (50°F) (Shumay, 1996).

Cabelli (1971) reported that few coliform organisms were recovered from the northern quahog
(Mercenaria mercenaria) when the temperature was below 10 °C (50 °F), even though they were
collected from heavily polluted waters. Cabelli (1970) also reported the lower limit of the water

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temperature of the water acceptable for cleansing of soft clams is about 10 °C (50 °F). Burkhardt et al
(1992) found that hibernating shellfish become very active after the threshold temperature is reached, and
that bacterial and viral indicators accumulate and eliminate differently.

Jaykus et al (1994) have prepared a good summary of the current knowledge concerning the viruses
associated with shellstock and their elimination through relaying and depuration. In their discussion of the
relationship between viruses in shellstock and the coliform indicators used as bacteriological standards,
the investigators report "no meaningful relationships have been found between virus presence in clams
and oysters and a variety of bacteriological and physicochemical parameters for water and shellfish."

There is considerable information available, particularly for the eastern oyster (Crassostrea virginica),
concerning the bioaccumulation and elimination of metals and lipophilic organic contaminants from
shellstock (Roesijadi, 1996; Capuzzo, 1996). Pringle (1968) showed that different species of shellstock
accumulate varying levels of heavy metals depending upon the pollution level. The chemicals become
incorporated into the tissues of the various organs. The rate of release of metals depends on initial levels
and species of shellstock. Some metals in some species of shellstock took up to 84 days to deplete.
Morrison (1979) reported that the slower depletion of metals as compared to microbiological
contaminants indicates that the 14-day cleansing period traditionally used in relaying is not appropriate
for removal of metals and their isotopes.

Similarly, most chemicals are not significantly reduced by depuration. It has been found that in soft shell
clams, reduction of benzo-a-pyrene to its biological half-life (50% removal) took up to 11 days,
depending on temperature and initial level (Jackim, 1977). Removal of over 90% of the polynuclear
aromatic (PNA) hydrocarbons took more than over 5 ½ weeks in the same series of experiments. In
depuration studies of the pesticide kepone in oysters relayed from the James River to non-kepone
contaminated waters of the York and Rappahannock Rivers in Virginia, Bender (1977) found dramatic
effects of temperature on the depuration rates. In the summer, the biological half-life of kepone was about
one week, while during the winter about 40 days were required for residue levels to decline by the same
amount.

Use of containers to hold shellstock during the natural cleansing process may have some effect on rate of
contaminant elimination. Quayle (1976) demonstrated rapid purging rates of E. coli from Pacific oysters
held in wire mesh baskets. Within 48 hours, the level of bacteria in the oysters was the same as the level
in oysters harvested from local areas in the approved classification. Becker (1977) reported depth of
oysters in baskets was a critical factor. Full baskets did not show effective cleansing in 96 hours, while
single layers were effectively cleansed in 48-96 hours.

When use of containers is proposed to hold shellstock during the natural cleansing process, special studies
should be made to evaluate the design of the container, and its effect on the rate of natural cleansing. Such
studies should be conducted for each container relay operation, each harvesting area, and each relay site.

Relaying Operations

The NSSP recognizes two methods of handling the shellstock during the natural cleansing process: (1)
replanting the shellstock directly on the bottom in clean waters; and (2) placing the shellstock in
containers (container relaying) which are then floated, suspended from racks, or placed on the bottom in
clean waters.

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Shellstock may be harvested and transferred for natural biological cleansing from growing areas in the
restricted classification, in the closed status of the conditionally approved classification, or in the open
status of the conditionally restricted classification. All growing areas used for natural cleansing must be in
the approved classification or in the open status of the conditionally approved classification. For more
information concerning the classification of growing waters, see the NSSP Guidance Document: Sanitary
Survey and the Classification of Growing Waters (ISSC/FDA, 2002).

Prior to the initiation of the relaying operation, a decision is required as to whether the purpose of the
operation is natural shellstock cleansing to remove microbial or poisonous and deleterious substances or
both. Requirements, particularly the time allotted for natural cleansing, may differ depending on the type
of contaminant. If the intent of the relay operation is to reduce shellstock microbial contaminants, the
shellstock must not also be contaminated with poisonous or deleterious substances that would not be
effectively reduced to acceptable levels during the cleansing period. For more information concerning
acceptable levels of poisonous and deleterious substances in shellstock, see the NSSP Guidance
Document: FDA Action Levels, Tolerances and Other Values for Poisonous or Deleterious Substances in
Seafood (ISSC/FDA, 2002).

Licensing of each person who harvests shellstock is an important control measure to help protect against
contaminated shellstock reaching the consumer and to help maintain accurate source identity records.
This is particularly important when harvesters are transporting contaminated shellstock as part of a relay
operation. Special permits must be issued to licensed harvesters for taking shellstock from contaminated
growing areas and transporting them to other growing areas for the purpose of natural cleansing. The
permits must be good for no more than one year, must be issued only for a specific relay operation, and
must specify any limitations and conditions for harvesting.

The water quality in the harvest area to which the shellstock are relayed and the bacteriological and/or
chemical quality of the relayed lots of shellstock to be subjected to natural cleansing must be verified
throughout the relay process. In addition, the identity of the relayed shellstock should be maintained
throughout harvesting, transport, processing, packaging, and distribution in the event the shellfish needs
to be traced back to its source.

The generally accepted minimum time period for elimination of microbial contaminants from shellstock
is 14 days when environmental conditions are suitable for natural cleansing. Longer periods may be
required if environmental conditions are not optimum. Shorter time periods may be permitted at some
locations or during some periods of the year if there is an adequate study to support the reduced time
frame and there is intensive monitoring during the process. Container relaying is particularly amenable to
shorter time periods for microbial elimination.

The Authority or the shellfish industry may conduct relay operations. The relay operation must be
effectively supervised by the Authority to assure that all the shellstock are actually relayed to harvest
areas in the approved classification or in the open status of the conditionally approved classification and
sufficiently cleansed. Relay control procedures should preclude any opportunity for shellstock to be
inadvertently diverted to sale for human consumption before the natural cleansing process is completed.
Controls must be applied to all phases of the operation including initial harvesting, transportation,
replanting, the cleansing period, and final harvesting for marketing.

Control procedures must, at a minimum:

(1) Require that the source and species of shellstock being relayed be identified;
(2) Require information concerning:

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(a) The quality (bacteriological or chemical) of the water and the shellstock prior to harvest
for relay;
(b) The quality of the water and the shellstock indigenous to the area to be used for natural
cleansing; and
(c) The quality of the shellstock when the required period of natural cleansing has ended;
(3) Specify the time period of the year when relaying may be conducted;
(4) Use special markings to designate portions of harvest areas where relayed shellstock may be
placed for natural cleansing;
(5) Require special harvesting permits for relay operations;
(6) Specify the method of shellstock transportation to the site of natural cleansing, the shellstock
deposition method and the method by which different lots of shellstock will be separated during
cleansing;
(7) Specify the records to be maintained and filed with the Authority; and
(8) Meet the requirements of the NSSP Model Ordinance.

Control procedures may include monitoring environmental parameters, establishing interagency

agreements, imposing quarantine measures, increasing patrols, and developing unique control measures as
may be necessary.

A record of water temperature, salinity, and other critical variables must be maintained when it is known
that the limiting values of environmental factors may be approached and when minimum relay times are
being used.

When container relaying is used, a system of container identification is necessary to locate and avoid re-
harvesting of shellfish from containers that have not been left in place long enough for sufficient
cleansing.

References

1. Becker, Robert E. 1977. A basket relaying study off the coast of Alabama: Reduction of coliform
bacteria as a function of time and basket loading, p.174-181. In Wilt, D.S. (ed.), Proceedings 10th
National Shellfish Sanitation Workshop. U.S. Food and Drug Administration, Washington, D.C.
2. Bender, M.E., et al. 1977. Kepone residues in Chesapeake Bay biota, p. 66-71. In Wilt, D.S. (ed.),
Proceedings of the 10th National Shellfish Sanitation Workshop. U.S. Food and Drug
Administration, Washington, D.C.
3. Burkhardt, W., W.D. Watkins, and S.R. Rippey. 1992. Seasonal effects on accumulation of
microbial indicator organisms by Mercenaria mercenaria. Appl. Environ. Microbiol. 58:826-831.
4. Cabelli, V.J. and W.P. Heffernan. 1970. Elimination of bacteria by the soft shell clam, Mya
arenaria. J. Fish. Res. Bd. Canada. 27:1579-1587.
5. Cabelli, V.J. and W.P. Heffernan. 1971. Seasonal factors relevant to coliform levels in the
northern quahog. Proc. Nat. Shellfisheries Assn 61: 95-101.
6. Canzonier, W.J. 1971. Accumulation and elimination of coliphage S-13 by the hard clam,
Mercenaria mercenaria. Appl. Microbiol. 21:1024-1031.
7. J. [Link]. 1996. The bioaccumulation and biological effects of lipophilic organic
contaminants, p.539-553. In Kennedy, V.S., R.I.E. Newell, and A.F. Eble (eds.), The Eastern
Oyster, Crassostrea virginica. Maryland Sea Grant, University of Maryland System, College
Park, MD.
8. Clem, David. 1994. Historical Overview, p1-29. In Hackney, C.R. and M.D. Pierson (eds),
Environmental Indicators and Shellfish Safety. Chapman and Hall, New York, NY.

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9. Interstate Shellfish Sanitation Conference. 2002. FDA Action Levels, Tolerances and Other
Values for Poisonous or Deleterious Substances in Seafood. In ISSC (ed.), NSSP Guide for the
Control of Molluscan Shellfish. Interstate Shellfish Sanitation Conference, Columbia, SC.
10. Interstate Shellfish Sanitation Conference. 2002. Sanitary Surveys and the Classification of
Growing Waters. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish. Interstate
Shellfish Sanitation Conference, Columbia, SC.
11. Jackim, E. and L. Wilson. 1977. Benzo(a)pyrene accumulation and depuration in the softshell
clam (Mya arenaria), p.91-94. In Wilt, D.S. (ed.), Proceedings of the 10th National Shellfish
Sanitation Workshop. U.S. Food and Drug Administration, Washington, D.C.
12. Jaykus, L., M.T. Hemard and M.D. Sobsey. 1994. Human enteric pathogenic viruses, p.92-153.
In Hackney, C.R. and M.D. Pierson (eds), Environmental Indicators and Shellfish Safety.
Chapman and Hall, New York, NY.
13. Loosanoff, V.L. 1958. Some aspects of behavior of oysters at different temperatures. Biological
Bulletin 114:57-70.
14. Metcalf, T.G. and W.C. Stiles. 1968. Viral pollution of shellfish in estuary waters. J. San. Eng.
Div. Am. Soc. Civ. Eng. 94:595-608.
15. Metcalf, T.G., et al. 1979. Bioaccumulation and depuration of enteroviruses by the soft shelled
clam, Mya arenaria. Appl. and Envir. Microbiol. 38:275-282.
16. Morrison, G. [Memorandum to Regional Shellfish Specialist, Region I, Boston, FDA]. Subject:
Relaying Shellfish From Near A Nuclear Reactor - Connecticut, September 13, 1979. U.S. Food
and Drug Administration, Washington, D.C.
17. Pringle, B., et al. 1968. Trace metals accumulation by estuarine mollusks. J. San. Eng. Div., Am.
Soc. Civ. Eng. 94:455-475.
18. Quayle, D.B. and F.R. Bernard. 1976. Purification of basket held Pacific oysters in the natural
environment. Proc. Nat. Shellfisheries Assn. 66:69-75.
19. Roderick, G.E. and K.R. Schneider. 1994. Depuration and relaying of molluscan shellfish, p.331-
363. In Hackney, C.R. and M.D. Pierson (eds), Environmental Indicators and Shellfish Safety.
Chapman and Hall, New York, NY.
20. Rosijadi, G. 1996. Environmental factors: Response to metals, p.515-532. In Kennedy, V.S.,
R.I.E. Newell, and A.F. Eble (eds.), The Eastern Oyster, Crassostrea virginica. Maryland Sea
Grant, University of Maryland System, College Park, MD.
21. Shumway, S.S. 1996. Natural environmental factors, p.467-513. In Kennedy, V.S., R.I.E. Newell,
and A.F. Eble (eds.), The Eastern Oyster, Crassostrea virginica. Maryland Sea Grant, University
of Maryland System, College Park, MD.

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Chapter II. Growing Areas Page 1 of 7

.07 Systematic Random Sampling Monitoring Strategy

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to Interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

The first critical control point in preventing food-borne illness from shellfish consumption is identifying
shellfish growing areas of acceptable sanitary quality. The completion of a sanitary survey is of
paramount importance in making the distinction between acceptable and unacceptable growing areas, and
is the key to accurate growing area classification as approved, conditionally approved, restricted,
conditionally restricted, or prohibited. A sanitary survey is required under the National Shellfish
Sanitation Program's (NSSP) Model Ordinance for each growing area prior to its approval by the state as
a source of shellfish for human consumption or as a source for shellfish to be used in a depuration or relay
operation. The principal components of a sanitary survey are: (1) identification and evaluation of the
pollution sources that may affect the areas, (2) an evaluation of the meteorological factors, (3) an
evaluation of hydrographic factors that may affect distribution of pollutants throughout the area, and (4)
an assessment of water quality. For an in depth discussion of the sanitary survey, see the NSSP Guidance
Document, Sanitary Survey and the Classification of Growing Waters (ISSC/FDA, 2002).

The NSSP in its Model Ordinance allows the Authority to classify a growing area using either a total or
fecal coliform standard as part of its sanitary survey. The two standards are believed to afford the same
level of public health protection. The NSSP Model Ordinance also recognizes two distinct water quality
monitoring strategies to obtain total coliform or fecal coliform monitoring data: the adverse pollution
condition strategy to be used for initial classification and for monitoring; and, the systematic random
sampling strategy that can be used only for monitoring if no input from point source pollution is present.

Total coliform or fecal coliform monitoring data collected under either the adverse pollution condition or
the systematic random sampling strategy and the data collected for initial classification are reported as
MPN values. An MPN or most probable number is a statistically derived estimate of the number of
bacteria per unit volume of water sampled. The value of the MPN is determined from the combination of
positive and negative results obtained from a series of fermentation tubes used in a particular laboratory
test. A complete discussion of the MPN test can be found in Standard Methods for the Examination of
Water and Wastewater (APHA, 1985).

NSSP water quality standards for growing area classification have two components. The first component
establishes a median MPN value. The second component intended for use with data collected under
uniform conditions represents the variability inherent in the testing procedure and a small allowance for
some additional variability peculiar to the changing conditions in the water being sampled. The original
NSSP "variability factor" for the total coliform group, an MPN of 230 per 100 milliliters of sample was
developed to include 90% of the samples collected under uniform conditions in which the only sources of
variability operational are due to the test procedure and the allowance for some additional variability

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arising from changing conditions in the water being sampled. Therefore, if only these two sources of
variability are active in the sample data, then no more than 10% of the samples derived under these
conditions will exceed an MPN value of 230 per 100 milliliters of sample when the 5-tube, decimal
dilution MPN procedure is used. This is referred to in the NSSP as the 10% criteria where no more than
10% of the samples should exceed the variability factor established for the standard and the testing
procedure being used.

This same type of reasoning has been applied to both the total and fecal coliform groups and appropriate
10% criteria developed for the MPN test employed (330 and 140 MPN per 100 milliliters for the total
coliform group tested by the 3-tube, decimal dilution and the 12-tube, single dilution MPN procedures,
respectively, and 43, 49 and 28 MPN per 100 milliliters for the fecal coliform group tested by the 5 and 3
-tube, decimal dilution and 12-tube, single dilution MPN procedures, respectively. Because these
variability factors were derived for use with data sets collected under uniform conditions, they do not
address wide swings in water quality that result from changing environmental conditions driven by
random pollution events such as runoff carried pollutants following rainfall. Therefore, the 10% criteria is
not considered sufficient to protect public health when shellfish are taken from growing area waters
adversely affected by known meteorological or hydrological events, that occur intermittently, and are
shown to degrade water quality.

While many growing area waters may meet the NSSP median value and 10% criteria, some shellfish
growing area sampling stations still display a considerable level of variation in the MPN sample results.
Sampling data of this type may indicate that the shellfish growing areas are intermittently polluted during
adverse pollution conditions and pose a risk to the shellfish consuming public. The NSSP has never
intended to place a growing area that is polluted 10% of the time in the approved classification. The
dilemma facing the Authority, therefore, is how to distinguish between the inherent variation of the MPN
test and the variability resulting from intermittent environmental conditions that degrade water quality.
When environmental events (such as rainfall) produce unfavorable effects on water quality, the data may
contain data points that vary widely from the median value of the established classification. Such a data
set would probably contain upper outliers that represent periods when the shellfish may be exposed to
significantly greater quantities of pollution. In this situation, the determination of NSSP conformity to the
established classification standard for a set of growing water samples from a particular station may
become an arbitrary function of the mechanics of sampling (timing and/or frequency) rather than an
actual characteristic of the growing area. Use of a statistical method, the estimated ninetieth percentile,
will detect these random pollution events that may cause a data set to be skewed because of a few high
MPN values.

When shellfish water sampling data collected following intermittent pollution events are combined with
data collected under normal conditions, variability is increased. The estimated ninetieth percentile will
reflect this increased variability. Therefore, use of the estimated ninetieth percentile will protect against
the potential public health problems that may result when shellfish are consumed from growing waters
that are adversely affected by intermittent pollution events and improperly classified.

The method for calculating the ninetieth percentile for use in evaluating growing water bacteriological
data was suggested by the Georgia Department of Natural Resources, as an addendum to Interstate
Shellfish Sanitation Conference (ISSC) in issue 8109. The ISSC adopted the systematic random sampling
monitoring strategy and the method recommended for calculating the ninetieth percentile at its 1989 ISSC
Annual Meeting.

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Water Quality Assessment

In the adverse pollution condition monitoring strategy, the water quality standards for both total and fecal
coliforms use the 10% criteria, the variability portion of the standard to adjust for the inherent variability
of the MPN testing procedure in data with uniform bacterial densities. In the systematic random sampling
strategy, the application of the water quality standard employs the variability portion of the standard to
detect the impact of intermittent environmental events on water quality above and beyond those attributed
by the MPN testing procedure alone.

A field sampling and data analysis design that employs a systematic random sampling plan for routine
monitoring assumes that a statistically representative cross section of all meteorological, hydrographic, or
other pollution events will be included in the data set. Therefore, all shellfish growing area data collected
under the systematic random sampling plan are used to determine compliance with the appropriate total
coliform or fecal coliform water quality standard. This sample collection and data analysis design may be
applied only to growing areas that are affected by randomly occurring pollution events triggered by
rainfall and runoff and that meet the standard for the approved or restricted classification. This sampling
strategy may also be used to monitor growing areas where water quality is influenced by seasonal water
uses or where harvesting is controlled by seasonal resource management restrictions. In this situation,
monitoring must be done during the season when the growing waters are open. Systematic random
sampling is not intended to nor should it be applied to areas impacted by point source pollution.

The systematic random sampling monitoring strategy and data analysis design presumes that if
intermittent, unfavorable changes in water quality occur, they will be revealed in the bacteriological
sampling results. These unfavorable sampling results will contribute to the variability of the data set. Data
sets displaying high levels of variability will consequently exhibit an elevated estimated ninetieth
percentile. The Authority's option to use the systematic random sampling strategy is, therefore, contingent
upon acceptance of the estimated ninetieth percentile as the statistic used to measure the variability of the
data set. Also required is that timing of monitoring runs be preplanned far in advance so that effects of
random nonpoint pollution events will be captured if they occur. This statistic, along with the geometric
mean of the data set, can be used when evaluating each sampling station for compliance with the NSSP
water quality standards.

An example of an acceptable systematic sampling plan is one that documents a pre-established sampling
schedule in the growing area central file. Monthly or bimonthly sampling regimes are acceptable and the
schedule is maintained so there is no avoidance of unfavorable conditions. A reasonable attempt must be
made to collect samples on the pre-established days regardless of navigational conditions. Field sampling
crews, however, are not required to take unnecessary risks to sample on any particular day. The sampling
plan must address unsafe sample collection (boating) conditions by designating an alternate sampling day
or by allocating extra sampling days in the schedule that may be used when needed.

If the growing area is to be used year-round for harvesting, the random sampling plan should stipulate the
collection of samples throughout the year. If the growing area is intended to be approved for direct
harvest for only part of the year, the random sampling plan would need only to address that period when
the area is available for harvest. The only exception to this obligation in a random sampling regime is that
the Authority will require sampling during a particular tidal condition, if that condition unfavorably
impacts the water quality of the growing area.

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Estimating the Ninetieth Percentile

Use of the systematic random sampling strategy involves calculating the estimated ninetieth percentile of
the data. This statistic measures variability in the data and should not be exceeded by random pollution
events if the growing area is properly classified. When the Authority elects to employ the systematic
random sampling strategy, the following guideline must be used to calculate the estimated ninetieth
percentile.

The estimated ninetieth percentile must be obtained using the following equation:

Est. 90th percentile value = Antilog [(Slog)1.28A + xlog ]

Where

Slog = base 10 logarithmic standard deviation.

xlog = base 10 log mean

A
The value 1.28 is obtained from the standard normal distribution

Other:

* For the purpose of mathematical calculations, MPN values that signify the upper or lower range of
sensitivity for that test shall be increased or decreased one significant number. (MPN counts are reported
in the form of two significant numbers.) For example, an MPN value of 'less than 2' shall be decreased by
one to 1.9 to indicate the lower level of sensitivity of the five tube, decimal dilution MPN test. In a similar
manner, 2.9 shall be used to indicate the MPN value of 'less than 3' for the three tube, decimal dilution
MPN test. Therefore it would follow that a MPN value of 1700 shall be used to indicate the MPN value
'greater than 1600' for the five tube MPN test.

* Logarithms may be rounded to three decimal places.

* Antilogs of log MPN calculations may be rounded to the next lower integer (zero decimal places)
[example - antilog (0.556) = 3]

* The standard deviation of the log MPN data shall be calculated in the following manner:

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Application of the Guideline:

Example 1

(1) Convert MPN values to base 10 logarithms.

Obs MP Log10 Obs MPN Log10

1 2.9 0.462 16 3.6 0.556

2 2.9 0.462 17 3.6 0.556
3 2.9 0.462 18 3.6 0.556
4 2.9 0.462 19 9.1 0.959
5 2.9 0.462 20 9.1 0.959
6 2.9 0.462 21 9.1 0.959
7 2.9 0.462 22 9.1 0.959
8 2.9 0.462 23 9.1 0.959
9 3.6 0.556 24 9.1 0.959
10 3.6 0.556 25 23 1.362
11 3.6 0.556 26 23 1.362
12 3.6 0.556 27 23 1.362
13 3.6 0.556 28 43 1.633
14 3.6 0.556 29 43 1.633
15 3.6 0.556 30 460 2.663

(2) Calculate Geometric Mean and Standard Deviation.

Median - 3.6

Percentage greater than 43 - 3.3 %

Geometric Mean (Antilog xlog) - (Antilog 0.834) or 6

Log Standard Deviation (Slog) - 0.506

(3) Calculate Estimated 90th Percentile using above equation.

Est. 90th = Antilog [(Slog)1.28 + xlog ]

= Antilog [(0.506)1.28 + 0.834]

Est. 90th = Antilog [1.482] or 30

(4) Interpret.

The geometric mean of the data set is less than 14 and the estimated 90th percentile is less than 49 (three
tube, decimal dilution test). This station meets the NSSP fecal coliform water quality standard for the
approved classification.
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Example 2

(1) Convert MPN values to base 10 logarithms.

Obs MPN Log10 Obs MPN Log10

1 1.9 0.279 16 2.0 0.301

2 1.9 0.279 17 4.5 0.653
3 1.9 0.279 18 4.5 0.653
4 1.9 0.279 19 7.8 0.892
5 1.9 0.279 20 7.8 0.892
6 1.9 0.279 21 7.8 0.892
7 1.9 0.279 22 11 1.041
8 1.9 0.279 23 11 1.041
9 2.0 0.301 24 23 1.362
10 2.0 0.301 25 23 1.362
11 2.0 0.301 26 23 1.362
12 2.0 0.301 27 23 1.362
13 2.0 0.301 28 33 1.519
14 2.0 0.301 29 540 2.732
15 2.0 0.301 30 1700 3.230

(2) Calculate Geometric Mean and Standard Deviation.

Median - 2.0

Percentage greater than 43 - 6.6 %

Geometric Mean (Antilog xlog) - (Antilog 0.788) or 6

Log Standard Deviation (Slog) - 0.737

(3) Calculate Estimated 90th Percentile using above equation -

Est. 90th = Antilog [(Slog)1.28 + xlog]

= Antilog [(.737)1.28 + .788]

Est. 90th = Antilog [1.731] or 53

(4) Interpret.

While this station's geometric mean is less than 14, the standard deviation that resulted from the high
values in this data set, would lead one to conclude that water quality may have been adversely affected by
storm water runoff or another intermittent pollution event. The estimated 90th percentile was 53 (greater
than 43 - for the five tube, decimal dilution MPN test). Therefore this station would not meet the NSSP
fecal coliform water quality standard for the approved classification.
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References

1. U.S. Food and Drug Administration (FDA). 1965. National Shellfish Sanitation Program Manual
of Operations, Part I. FDA, Washington, D.C., p. 11, footnote 6.
2. Interstate Shellfish Sanitation Conference. 2002. Sanitary Survey and the Classification of
Growing Waters. In ISSC (ed.), NSSP Guide for the Control of Molluscan Shellfish. Interstate
Shellfish Sanitation Conference, Columbia, S.C.
3. American Public Health Association. 1985. Standard Methods for the Examination of Water and
Wastewater, 16th Ed. American Public Health Association, American Water Works Association,
Water Pollution Control Federation, Washington D.C.

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.08 Growing Area Patrol and Enforcement

NSSP guidance documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to Interstate commerce although many states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

The primary objective of the NSSP is to ensure that shellstock is only harvested from areas free of
excessive concentrations of pathogenic microorganisms and poisonous or deleterious substances. Under
the NSSP, growing areas, based on their public-health suitability for shellstock harvesting, are placed in
one of five shellstock harvesting classifications. Information obtained from sanitary surveys sets the basis
to determine the appropriate growing area classification. All classifications, except for the approved
classification, place some type of restriction on harvesting. For more information concerning growing
area classification, see the NSSP Guidance Document, Sanitary Survey and the Classification of Growing
Waters (ISSC/FDA, 2002).

If harvesters are not convinced of the need for the restrictions, shellstock may be harvested surreptitiously
from areas in the closed status or the in prohibited classification. Therefore, the patrol element of the
NSSP is vital to ensure compliance with the public-health safeguards resulting from the classification of
growing waters. The fact that the law prohibits the removal of shellstock from contaminated areas will
deter the majority of the population from attempting to harvest the shellstock.

Patrol Activity

Control procedures are necessary in a comprehensive shellfish sanitation program to assure that shellstock
are harvested only from growing areas in the approved classification or the open status of the
conditionally approved classification. Under special permits and close supervision of the Patrol Authority,
shellstock may also be harvested from growing areas in the restricted or conditionally restricted
classification for cleansing treatment through relay or depuration prior to sale to the consumer.

The Patrol Authority is responsible to provide sufficient personnel and equipment that will act as a
deterrent to illegal shellstock harvesting from growing areas in the closed status or in the prohibited
classification. In addition, the Patrol Authority must have sufficient legal authority to apprehend and to
effectively prosecute persons apprehended harvesting shellstock illegally. Penalties for such violations
must be sufficient to discourage illegal harvesting.

Specific patrol requirements applicable to technical and administrative situations vary from state to state.
Consequently, the NSSP requires each Patrol Authority to develop a patrol policy document and to keep it
current. This policy document must fully describe the Patrol Authority's organization and its activities to
deter illegal harvesting. In addition, it must include information concerning the Patrol Authority's legal
basis and the laws and regulations to be enforced, personnel, equipment, training in shellfish patrol

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techniques, patrol activities and record keeping. The NSSP requires the policy document to be updated
and reviewed annually.

The type of patrol needed for any particular situation cannot be specified and is determined by the nature
of areas to be patrolled, means of access, methods of harvesting, and species. Patrol equipment allows the
officers to apprehend persons illegally harvesting shellstock. Equipment that has proven effective for
apprehension of illegal harvesters includes: small, high-speed, readily transportable boats; automobiles;
aircraft; communications for coordinating patrol activities; radar surveillance systems; and night scopes.
Organization of the patrol activity must take into consideration the need for night, weekend, holiday, and
undercover patrols. Various patrol methods may be used depending on the nature of the area to be
patrolled and the type of industry.

Adequate delineation of growing areas in the closed status or prohibited classification is fundamental to
effective patrol enforcement. The type of growing area identification used will be determined by the
structure of the local shellfish industry and the legal requirements that permit successful prosecution in
each state or local jurisdiction. Posting a warning sign is one method of informing shellstock harvesters
that an area is off-limits to the taking of shellstock for public health reasons. Other identification methods
for off-limit growing areas include information access through toll free or other telephone systems, maps
issued at checkpoints or with harvesting licenses, direct mail, and news media. The Patrol Authority or
other appropriate Authority should seek the advice of the state's legal counsel to ensure that the marking
of growing areas in the closed status or prohibited classification and notifications to shellstock harvesters
are sufficient to provide for the successful prosecution of persons harvesting from these areas.

Application of legal penalties sufficient to defer the taking of shellstock from growing areas in the closed
status or the prohibited classification is a necessary component for effective enforcement in a shellfish
sanitation program. The adequacy of state or local laws as a basis for prosecution is important to this
activity. The Patrol Authority will be ineffective or compromised if state or local laws are written or
interpreted so that violators can not successfully be prosecuted and if penalties are so small that they are
economically unimportant. Periodic assessments, by the Patrol Authority or another appropriate
Authority, of the degree of success of court actions taken in response to illegal harvesting is necessary for
both the analysis of the effectiveness of the program. Prosecution will be difficult if the courts are not
fully aware of the public-health hazards associated with the crime. Written policies or guidelines that are
used to recommend penalties on specific cases to the courts must be developed by the Patrol Authority or
another appropriate Authority. Courts should be encouraged to apply effective penalties, and records
should be kept to determine the effectiveness of the penalty system.

Licensing shellstock harvesters is an important control measure to help protect against illegally harvested
shellstock. The appropriate Authority shall license each person who harvests shellstock. In the case of
leased land, either the lessee or the person who harvests from the lease must be licensed. The appropriate
Authority must maintain a record of all licenses granted. Special permits must be issued to licensed
harvesters for taking shellstock from contaminated growing areas for use in relay or depuration
operations.

Depletion of prohibited areas can be an effective deterrent to illegal harvesting, and may be more
economical and effective in protecting public health than patrol of prohibited areas. Complete removal of
shellstock from prohibited areas provides a safeguard against contaminated shellstock reaching the market
and eliminates a temptation for harvesters. In a depletion operation, all market sized shellstock and as
many of the smaller sized shellstock as can be gathered by reasonable methods are removed from the
growing area. To be effective, depletion operations should be conducted at sufficient intervals to keep

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growing areas free of commercial quantities of market-sized shellstock. When commercial harvesters
conduct depletion operations, the Authority or the Patrol Authority must provide effective supervision.

All relay operations must be under the effective supervision of the Patrol Authority or other appropriate
Authority. Supervision must ensure that shellstock harvested for relay cannot be illegally diverted to the
market and only shellstock that have completed the required period of treatment are marketed. The
supervising official must be authorized and equipped to enforce the relay operation procedures and to
supervise the harvest, transport, and re-deposition of the shellstock. The Patrol Authority must also
provide effective supervision of the relay area until completion of the relaying operation. For additional
information concerning relay operations, see the NSSP Guidance Document, Shellstock Relay
(ISSC/FDA, 2002).

All shellstock harvested for depuration must also be under the effective supervision of the Patrol
Authority or other appropriate Authority so that the shellstock cannot be illegally diverted to the market
before depuration. The supervising official must be authorized and equipped to enforce the depuration
operation procedures and to supervise the harvest and transport of shellstock to the depuration operation.
For a complete discussion of depuration, see the NSSP Model Ordinance Public Health Reasons and
Explanations Chapter XV Depuration (ISSC/FDA, 2002).

Recommendations for FDA Evaluation of State Program Patrol Element

The NSSP requires the FDA to evaluate the patrol of growing areas and its enforcement component on an
annual basis. Technical assistance may be provided to FDA by a representative of a patrol agency(ies)
through use of these procedures that have been agreed to by the FDA and the ISSC. Both FDA and the
ISSC have agreed that these procedures do not apply to special investigations by either party.

The following procedures should be used in conducting patrol evaluations:

A. The person in charge of the patrol agency must be advised of the intent to conduct patrol
evaluations, approximate patrol dates desired, recommended patrol areas or districts, and other
pertinent information.
B. If requested by the state shellfish patrol agency, FDA will meet with the person in charge or his
designee prior to participating in patrols to gain a better understanding of patrol program
activities.
C. Agency patrol documents and past FDA reports of areas to be evaluated should be reviewed.
D. The FDA Standardized Patrol Evaluation Format must be used in conducting patrol evaluations.
E. FDA evaluators must allow adequate time in the field with primary patrol officers to fully
evaluate an area.

Following individual patrol evaluations, the FDA evaluator must:

A. Prepare draft reports for the individual patrol areas evaluated and an overall draft patrol
evaluation report and promptly send them for review to the technical advisor who participated in
the evaluation.
B. Send copies of draft reports to the person in charge of the patrol agency for comment prior to
finalizing evaluation reports.
C. Meet with the person in charge of the Patrol Authority, if requested by the Patrol Authority to
further qualify the accuracy of the final report.

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When an FDA evaluator, in the field and unaccompanied by a patrol officer, observes an alleged
violation, the FDA evaluator must immediately report the alleged violation to the Patrol Authority.

FDA Standardized Patrol Evaluation

When an FDA evaluator conducts an evaluation of a patrol area, the following information must be
collected:
1. Background information such as:
* Patrol evaluation date and time
* Accompanying officer(s)
* Patrol area name and/or number
* Weather, tide, and other pertinent information
* Type of harvest (recreational or commercial)
2. Agency and patrol area organization including identification of:
* Laws, regulations and policies which apply to shellfish control activities
* Number and positions of personnel within the region and within the patrol area
* Supervision for that patrol area and region
3. Patrol area information including:
* An officer's or officers' knowledge of the area and experience within the agency and related
agencies
* Variations in patrol area coverage (days, nights, weekends, and holidays)
* Transplants, relay, or aquaculture operations in the patrol area (if appropriate)
* Coverage of adjacent areas, and back-up to primary officer(s) for this patrol area
* Equipment used for patrolling the area including the primary vehicle, boats and motors,
radios, visual assisting tools and other equipment.
4. Coverage of markets and retail stores as appropriate.
5. Other responsibilities of officer or officers while on patrol.
6. Records of enforcement activities for the area during the last year.
7. Problems unique to the patrol area.

To comply with Standardized Evaluation Criteria, the authority shall:

1. Have a patrol policy document CRITICAL item

2. Update patrol policy document every year. KEY item
3. Meet the NSSP patrol training requirements. KEY item
4. Patrol all areas that require patrol CRITICAL item
5. Meet NSSP requirements for frequency of patrol KEY item
6. Have formalized MOA with other agency per Chapter
KEY item
VIII@.01.B(5).
7. Have a risk management plan per Chapter
CRITICAL item
VIII@.01.B(3)(b)(c)(d).
8. Have a complete risk management plan per Chapter
Other item
VIII@.01.B(3)(b)(c)(d).

The authority shall ensure the following COMPLIANCE CRITERIA procedures are implemented when
an FDA evaluation identifies deficiencies with NSSO MO criteria.

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(a) During the closeout meeting for patrol evaluation, the Shellfish Specialists shall identify any
patrol deficiency to the state patrol agency;
(b) Within 15 days of the closeout meeting, the Shellfish Specialist should provide a written Program
Element Evaluation Report (PEER), including supporting documentation, to the State patrol agency;
(c) Within 30 days of receiving the PEER, the State patrol agency should provide a written response
that indicates:
The item(s) was corrected;
A correction plan has been developed with a completion date; or,
The reasons why the State disagrees with FDA's finding(s).
(d) Within 15 days of receipt FDA should review the State response, and respond to the State;
(e) Any CRITICAL item deficiency should be corrected within 30 days of acceptance by FDA of the
correction plan;
(f) Any KEY item deficiency should be corrected within one year of acceptance by FDA of the
correction plan.
(g) An OTHER item deficiency should be corrected within 60 days of acceptance by FDA of the
correction plan.

FDA shellfish specialists shall be responsible for monitoring the progress of state action plans.

References

1. Interstate Shellfish Sanitation Conference (ISSC). 2002. Sanitary Surveys and the Classification
of Growing Waters. In ISSC (ed), NSSP Guide for the Control of Molluscan Shellfish. Interstate
Shellfish Sanitation Conference, Columbia, S.C.
2. Interstate Shellfish Sanitation Conference (ISSC). 2002. Shellstock Relay. In ISSC (ed), NSSP
Guide for the Control of Molluscan Shellfish. Interstate Shellfish Sanitation Conference,
Columbia, S.C.

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Chapter II. Growing Areas Page 1 of 2

.09 Control of Shellfish Harvesting

Requirements for the Authority. Other portions of this section of the Guide have described the public
health reasons for limiting shellfish harvesting to areas free of contamination and shellfish toxins. For a
full discussion of control activities, see the NSSP guidance document, Growing Area Patrol and
Enforcement of Growing Area Restrictions (ISSC/FDA, 2001).

For the most part, control of illegal harvesting depends upon the patrol activities as described in this
chapter @.01.B. Adequate delineation of closed areas is fundamental to effective patrol. The type of area
identification will be determined by the structure of the local shellfish industry and the legal requirements
for each State to permit successful prosecution. Posting a warning sign is one method of informing
shellfish harvesters that an area is closed to the taking of shellfish for public health reasons.

Other methods for identification of closures include telephone, maps issued at checkpoints, or with
harvesting licenses, direct mail, and news media. It is recommended that the advice of the State's legal
counsel be obtained to insure that the marking of closed areas and notifications to shellfish harvesters are
such that persons harvesting from closed areas can be successfully prosecuted.

However, if local shellfish harvesters are not convinced of the need for restrictions, shellfish may be
harvested surreptitiously from closed areas. Thus, the patrol element of the NSSP is important to ensure
compliance with the public-health safeguards resulting from the sanitary survey. The fact that the law
prohibits the removal of shellfish from certain areas will deter the majority of the population from
attempting to harvest such shellfish, provided they are aware of the law and of the areas which are closed.

The type of patrol needed for any particular situation cannot be specified and is determined by the nature
of areas to be patrolled, means of access, methods of harvesting, and species. Patrol equipment should be
such that the officers can apprehend persons illegally harvesting shellfish in a closed area. Equipment that
has proven effective for apprehension of illegal harvesters includes: small, high-speed, readily
transportable boats capable of operating in open waters; automobiles; aircraft; communications for
coordinating patrol activities; radar surveillance systems; and night scopes.

Organization of the patrol activity must take into consideration the need for night, weekend, holiday,
undercover and surprise patrols. Various patrol methods may be used depending on the nature of the area
to be patrolled and the type of industry.

Complete removal of shellfish from polluted areas provides a safeguard against contaminated shellfish
reaching the market. In some cases, depletion may be the method selected to eliminate an irresistible
temptation for harvesters. Depletion may be more economical and effective than patrol of closed areas
and will serve to protect public health.

Educational programs should be developed for both industry and the public describing the public health
necessity for eliminating shellfish harvesting from closed areas. Programs developed specifically for
participation of key industry people may be especially helpful in eliciting cooperative efforts of the entire

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.09 Control of Shellfish Harvesting Page 2 of 2

industry. Such programs should focus on incentives to eliminate harvesting and marketing of shellfish
from closed areas.

The adequacy of state laws as a basis for prosecution is an important component of this activity. Shellfish
patrol will be ineffective and or compromised if State laws are so written or interpreted that violators can
not successfully be prosecuted and if penalties are so small that they are economically unimportant. It is
important that periodic assessments are made by the State control or patrol agency of the degree of
success of court actions taken in response to illegal harvesting. Information of this nature is necessary for
both the analysis of the effectiveness of the program and for education purposes. Prosecution will be
difficult where courts are not fully aware of the public-health hazards associated with the crime.

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Section IV. Guidance Documents

Chapter II. Growing Areas
.10 Approved NSSP Laboratory Tests Page 1 of 7

1. Type I and Type II Microbiological Methods

Application
Growing Area
Survey and Controlled Market
Classification Controlled Relaying Wet Storage Purification Shellfish
Sample Type UV Treated Untreated UV Treated Untreated
Method Seawater Seawater Shellfish Seawater Seawater Shellfish Seawater Seawater Shellfish In Shell Shucked

APHA Decimal
X X
Dilution1
Total
12 tube single
Coliform X X
dilution2,12
Other APHA3 X X
A-1M Decimal
X X
dilution MPN4
A-1M 12 tube single
X X
dilution MPN5,12
Fecal APHA Decimal
X X X X X X X
Coliform dilution MPN6
12 tube single dilution
X X X
MPN7,12
mTEC8 X X
ETCP 9
X
Standard Plate Count 10
X X
References:
1. Total Coliform Decimal Dilution MPN Methods (seawater)
American Public Health Association. 1970. Recommended Procedures for the Examination of Sea Water and Shellfish, 4th Edition, APHA, New York, N. Y.
[Decimal Dilution MPN test]

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2. Total Coliform Single Dilution MPN Method (seawater)

A. Redman, J. H. 1974. A simpler multiple fermentation tube test for monitoring the bacteriological quality of shellfish harvest waters; the examination
of twelve 1.0 ml sample portions, p.123-124. In Wilt, D. S. (ed.), Proceedings 8th National Shellfish Sanitation Workshop, U.S. Food and Drug
Administration, Washington, D.C. [12-tube, Single Dilution MPN test]
B. Springer, J. A. 1974. Statistical considerations in using the twelve-tube MPN test for routine monitoring of shellfish waters, p.125-126. In Wilt, D. S.
(ed.), Proceedings 8th National Shellfish Sanitation Workshop. U.S. Food and Drug Administration, Washington, D.C. [12-tube, Single Dilution MPN
test]
3. Total Coliform Other Multiple Tube Fermentation Methods
American Public Health Association, American Water Works Association, and Water Environmental Federation. 1992. Section 9221. Examination of a 100 ml
aliquot by the Multiple Tube Fermentation Method (MTF). Standards Methods for the Examination of Water and Wastewater, 18th Edition,
APHA/AWWA/WEF. Washington, D.C.
4. Fecal Coliform A-1M Decimal Dilution MPN Methods (seawater)
A-1M, 1990 AOAC International - Official Methods of Analysis, 15th Edition. Association of Official Analytical Chemists. Washington, D.C.
5. Fecal Coliform A-1 Single Dilution MPN Method (seawater)
U.S. Food and Drug Administration. 2001. (Revised 12-8-02). NSSP Interpretation 09-III-@.02-100, Options for use of the 12-tube, single dilution MPN test.
6. Fecal Coliform APHA Decimal Dilution MPN Methods (seawater and shellfish)
American Public Health Association. 1970. Recommended Procedures for the Examination of Sea Water and Shellfish, 4th Edition, APHA, New York, N.Y.
7. Fecal Coliform APHA Single Dilution Methods (seawater and shellfish)
A. U.S. Food and Drug Administration. 2001. (Revised 12-8-02). NSSP Interpretation 09-III-@.02-100, Options for use of the 12-tube, single dilution
MPN test (for seawater).
B. U.S. Food and Drug Administration. 2001. (Revised 12-8-02). NSSP Interpretation 09-XV-.03-100, Method for determining fecal coliform levels in
end product depurated shellfish (for controlled purification of shellfish).
8. Fecal Coliform Methods (mTEC)
Rippy, Scott, et. al, Enumeration of Fecal Coliforms and E. coli in marine and estuarine waters: an alternative to the APHA-MPN approach. Journal Water
Pollution Control Federation. August 1987, pg. 795-798.
9. Fecal Coliform Methods (ETCP)
Cabelli, V.J. and W.P. Heffernan. 1970. Accumulation of Escherichia coli by the northern quahog. Appl. Microbiol. 19:239-244. (ETCP for the controlled
purification of hard-and soft-shelled clams).
10. Standard Plate Count Method
American Public Health Association. 1970. Recommended Procedures for the Examination of Sea Water and Shellfish, 4th Edition, APHA, New York, N.Y.
Footnotes:
11
The use of A-1 Medium Minus Salicin is optional with the following condition. Any State that eliminates Salicin must show equivalency with a minimum of 30
samples seasonally (4 sets of 30 samples). The samples must generate results and the results must not be significantly different as shown by using a T test. The data
generated to support the elimination of Salicin must be submitted to FDA for review and concurrence prior to State action to eliminate the use of Salicin.
12
The 12-tube single dilution MPN is not acceptable for use in conjunction with the analysis of growing waters under Systematic Random Sampling. U.S. Food and
Drug Administration. 2003. NSSP Interpretation 09-IV-@.02-102.

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2. Type I and Type II Marine Biotoxin Methods

Application

Growing Area Survey

& Classification Controlled Relaying

Sample Type Shellfish Shellfish

Method

Paralytic Shellfish Poison (PSP)

APHA Mouse Bioassay1 X X

Neurotoxic Shellfish Poison (NSP)

APHA Mouse Bioassay1 X X

References:
1. Paralytic Shellfish Poison (PSP) and Neurotoxic Shellfish Poison (NSP) Methods
American Public Health Association. 1970. Recommended Procedures for the Examination of Sea Water and Shellfish, 4th Edition, APHA, New York,
N.Y.

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3. Type III and Type IV Microbiological Test Methods

Application

Growing Area Survey & Classification Controlled Relaying Wet Storage Controlled Purification

UV UV
Treated Treated
Sample Type Seawater Shellfish Seawater Shellfish Seawater Shellfish Seawater Shellfish Seawater

Method

mEndo-LES MF1 X

Other

MSC2 X

Footnotes:
1
American Public Health Association, American Water Works Association and Water Pollution Control Federation. 1989. Section 9222 B. Standard Fecal
Coliform Membrane Filter Procedure. 5d. Alternative single-step direct technique. Standard Methods for the Examination of Water and Wastewater, 17th
Edition, APHA/AWWA/WPCF. Washington DC. (Type III).
2
Modified Double Agar Overlay Method for Determining Male-specific Coliphage In Soft Shelled Clams and American Oysters. ISSC Summary of Actions
2009. Proposal 05-114, Page 50. (Type IV).

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4. Type III and Type IV Marine Biotoxin Test Methods

Application

Growing Area Survey & Classification Controlled Relaying

Sample Type Shellfish Shellfish

Method

Neurotoxic Shellfish Poison (NSP)

Paralytic Shellfish Poison (PSP)

JRT2 X X

PCOX3 X X

Diarrhetic Shellfish Poison (DSP)

Amnesic Shellfish Poison (ASP)

HPLC1 X X

Footnotes:
1
M.A. Quilliam, [Link] and W.R. Hardstaff. 1991. Rapid Extraction and Cleanup Procedure for the Determination of Domoic Acid in Tissue Samples. NRC
Institute for Marine Biosciences, Technical Report #64, National Research Council Canada #33001. This method may also be used direct without cleanup.
(Type III).
2
Jellett Rapid Test for PSP (Type III), Jellett Rapid Testing Ltd.
a. Method can be used to determine when to perform a mouse bioassay in a previously closed area.
b. A negative result can be substituted for a mouse bioassay to maintain an area in the open status.
c. A positive result shall be used for a precautionary closure.
d.
3
Rourke et al. 2008. Rapid Postcolumn Methodology for Determination of Paralytic Shellfish Toxins in Shellfish Tissue. Journal of AOAC International.
Vol.91, No 3: 589-597 (Type IV).

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5. Methods Approved For Vibrio Enumeration

Application
Method
PHP

Sample Type: Shucked In-Shell

Vibrio vulnificus (Vv)

EIA1 X X

MPN2 X X

SYBR Green 1 QPCR-MPN5 X X

Vibrio parahaemolyticus (Vp)

MPN3 X X

PCR4 X X

Footnotes:
1
EIA procedure of Tamplin, et al, as described in Chapter 9 of the FDA Bacteriological Analytical Manual, 7th Edition, 1992 (Type III).
2
MPN method in Chapter 9 of the FDA Bacteriological Analytical Manual, 7th Edition, May 2004 revision, followed by confirmation using biochemical
analyses or by the DNA -alkaline phosphatase labeled gene probe (vvhA) (Type III).
3
MPN format with confirmation by biochemical analysis, gene probe methodology as listed in Chapter 9 of the FDA Bacteriological Analytical Manual, 7th
Edition, May 2004 revision, or a method that a State can demonstrate is equivalent (Type III).
4
PCR methods as they are listed in Chapter 9 of the FDA Bacteriological Analytical Manual, 7th Edition, May 2004 revision, or a method that a State can
demonstrate is equivalent (Type III).
5
Vibrio vulnificus, ISSC Summery of Actions 2009. Proposal 09-113, Page 123 (Type IV).
6
For additional information - ISSC Constitution, Bylaws & Procedures (Updated March 1, 2011) - Procedure XVI, Page 30.

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6. Other
Application

Controlled Purification

Sample Type Seawater

Method

Nephelometer1 Turbidity X

Footnotes:
1
Nephelometer [seawater]
American Public Health Association. 1970. Recommended Procedures for the Examination of Sea Water and Shellfish, 4th Edition, APHA, New York, N. Y.

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Section IV. Guidance Documents

Chapter II. Growing Areas Page 1 of 34

.11 Evaluation of Laboratories By State Shellfish Laboratory Evaluation Officers Including

Laboratory Evaluation Checklists

NSSP Guidance Documents provide the public health principles supporting major components of the
NSSP and its Model Ordinance, and summaries of the requirements for that component. NSSP Model
Ordinance requirements apply only to interstate commerce although most states apply the requirements
intrastate. For the most up to date and detailed listing of requirements, the reader should consult the most
recent edition of the Model Ordinance.

Laboratory results from the bacteriological and marine toxin testing of shellfish growing waters and meats
are widely used in the National Shellfish Sanitation Program (NSSP) to aid in determining the safety of
shellfish for human consumption. Experience with the bacteriological and marine biotoxin analyses of
shellfish and shellfish waters have indicated that minor differences in laboratory procedures or techniques
might cause wide variations in the results. Improper handling of the sample may also cause variations in
results during collection or transportation to the laboratory. To ensure uniformity nationwide in the
application of standards for shellfish and shellfish growing waters, a laboratory quality assurance program
is necessary to substantiate the validity of analytical results. A laboratory quality assurance program is the
systematic application of the practices essential to remove or minimize errors that may occur in any
laboratory operation caused by personnel, apparatus, equipment, media, reagents, sampling procedures,
and analytical methodology (APHA, 1985). Integral to laboratory quality assurance is a strong program
for the external assessment or evaluation of laboratory performance.

Requirements for evaluating laboratories that analyze samples under the NSSP have increased
significantly since the 1970's. The number of laboratories participating in the shellfish program has also
increased. Several states now have multiple laboratories that provide these analyses. Some states have
officially designated city, county or private laboratories to conduct analyses supporting their shellfish
sanitation programs. Some states are also authorizing the use of private laboratories to monitor depuration
operations. More states are maintaining a marine biotoxin analytical capability in their laboratories; and
more foreign laboratories are involved in the NSSP. Historically, FDA has evaluated all these
laboratories. Reduction in FDA staffing has made it difficult to evaluate the many state, county,
municipal, and foreign shellfish laboratories operating in support of the NSSP. If states with multiple
laboratory support would exercise their option to accept responsibility for evaluating their laboratories by
employing a State Shellfish Laboratory Evaluation Officer (State Shellfish LEO), FDA would be able to
better meet its NSSP responsibilities.

Selection of State Shellfish LEOs should be based on the following criteria:

(1) The individual must be administratively attached to a State central shellfish sanitation laboratory
that has been found by the FDA to be in full conformance with NSSP requirements. To avoid the
appearance of impropriety and maintain objectivity in the evaluation process, individuals certified as
State Shellfish LEOs will not be allowed to evaluate their own laboratories. FDA will maintain the
responsibility for evaluating these laboratories.

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(2) The individual must be an experienced analyst and should have laboratory supervision experience.
To maintain the integrity of the evaluation process, this individual should not, however, have overall
supervisory responsibility for the laboratory or laboratories to be evaluated If deemed necessary by an
FDA Laboratory Evaluation Officer, the individual must conduct several laboratory evaluations
jointly with the FDA Laboratory Evaluation Officer.

(3) During the joint on-site laboratory evaluations with an FDA Laboratory Evaluation Officer, the
individual must demonstrate competence in evaluating the laboratory's capability to support the
NSSP. The evaluation will be performed and documented using the most current version of the
applicable FDA Shellfish Laboratory Evaluation Checklist.

(4) The individual must submit a written narrative report of the joint on-site evaluation to the FDA
co-evaluator for review and comment. The report should consist of the completed FDA Shellfish
Laboratory Evaluation Checklist and a narrative discussion that accurately and concisely describes
the overall operation of the laboratory. All nonconformities noted should be described in this
evaluation write-up; and, where relevant an explanation provided relating the potential impact of the
deficiency on the analytical results. Recommendations for corrective action or, if applicable,
suggestions to enhance laboratory operations must also be included in this write-up.

The FDA will issue a letter certifying each individual who successfully completes the certification
process and will clear the evaluation report(s) for distribution to the laboratories evaluated with copies to
the appropriate Shellfish Specialist. Certification is normally effective for a period of three (3) years.
Once certified, the individual is then expected to assume the following responsibilities:

* Conduct on-site laboratory evaluations at least every three (3) years. However, more frequent
evaluations are strongly encouraged and may be required with marginally performing laboratories, or
when major changes in workloads or priorities have occurred or when there has been a substantial
turnover of personnel, or, at the specific request of State Shellfish Control Authorities;

* Provide appropriate post-evaluation follow-up for each laboratory evaluated;

* Prepare timely narrative evaluation reports for all laboratories evaluated incorporating the
requirements specified in 4 above;

* Distribute completed evaluation reports to the appropriate FDA Laboratory Evaluation Officer and
Regional Shellfish Specialist;

* Inform the appropriate FDA Laboratory Evaluation Officer when a laboratory has been found to be
nonconforming;

* Develop/coordinate/implement/conduct yearly proficiency testing for all laboratories in the state

supporting the NSSP; and,

* Prepare at least annually (in December) a summary list of qualified analysts for each laboratory
supporting the NSSP in the state and transmit it to the appropriate FDA Laboratory Evaluation
Officer.
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Recertification of State Shellfish LEOs will normally occur triennially and will be based on satisfactorily
meeting the following criteria:

(1) The individual must continue to be administratively attached to a central state shellfish laboratory
which is in full conformance with NSSP requirements;

(2) The individual is not the supervisor of any of the laboratories to be evaluated;

(3) The individual must demonstrate continued competence in evaluating the capability of
laboratories to support the NSSP. If considered necessary, the individual will be required to perform
one to several joint evaluations with the FDA Laboratory Evaluation Officer;

(4) The individual must submit a written narrative report of the joint evaluation(s) to the FDA co-
evaluator for review and comment. The report should consist of the completed FDA Shellfish
Laboratory Evaluation Checklist and the narrative portion should be prepared as described above;

(5) The individual must have all state laboratory evaluations, split-sample (proficiency) test
examinations, and reports current;

(6) The individual should receive training, as necessary, in laboratory evaluations and analytical
procedures to remain proficient.

State Shellfish LEOs who successfully complete this process will be issued a letter of recertification by
FDA and be cleared to distribute the evaluation reports to the laboratories evaluated with a copy to the
appropriate Regional Shellfish Specialist. Normally recertification is effective for a period of three (3)
years. Individuals who fail to meet the requirements for recertification will lose their certification until it
is demonstrated that all requirements including adequate training are met.

References

American Public Health Association. 1985. Standard Methods for the Examination of Water and
Wastewater. 16th Ed. American Public Health Association, American Water Works Association, Water
Pollution Control Federation. Washington, D.C.

Food and Drug Administration. 1994. Standard Procedures for State Shellfish Laboratory Evaluation
Officers. U.S. Food and Drug Administration, Center for Food Safety and Applied Nutrition, Office of
Field Programs, Division of Cooperative Programs, Shellfish Safety Branch, Washington, D.C.

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Officers Including Laboratory Evaluation Checklists Page 4 of 34

Laboratory Evaluation Checklist - Microbiology

PUBLIC HEALTH SERVICE

U.S. FOOD AND DRUG ADMINISTRATION

SHELLFISH PROGRAM IMPLEMENTATION BRANCH
SHELLFISH SAFETY TEAM
5100 PAINT BRANCH PARKWAY
COLLEGE PARK, MD 20740-3835
TEL. 301-436-2151/2147 FAX 301-436-2672
SHELLFISH LABORATORY EVALUATION CHECKLIST
LABORATORY:
ADDRESS:
TELEPHONE: FAX: EMAIL:
DATE OF EVALUATION: DATE OF REPORT: LAST EVALUATION:
LABORATORY REPRESENTED BY: TITLE:

SHELLFISH SPECIALIST:
LABORATORY EVALUATION OFFICER:
REGION:
OTHER OFFICIALS PRESENT: TITLE:

Items which do not conform are noted by:

C- Critical K - Key O - Other NA- Not Applicable Conformity is noted by a "√"

Check the applicable analytical methods:

Multiple Tube Fermentation Technique for Seawater (APHA)[PART II]
Multiple Tube Fermentation Technique for Seawater using MA-1 [PART II]
Membrane Filtration Technique for Seawater using mTEC [PART II]
Multiple Tube Fermentation Technique for Shellfish Meats (APHA)[PART III]
Standard Plate Count for Shellfish Meats [Part III]
Elevated Temperature Coliform Plate Method for Shellfish Meats [PART III ]
Male Specific Coliphage for Soft-shelled Clams and American Oysters

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PART 1 - QUALITY ASSURANCE

CODE REF. ITEM
K 8, 11 Quality Assurance (QA) Plan
1. Written Plan (Check those items which apply.)
a. Organization of the laboratory
b. Staff training requirements
c. Standard operating procedures
d. Internal quality control measures for equipment, calibration, maintenance, repair and
for performance checks.
e. Laboratory safety.
f. Internal performance assessment.
g. External performance assessment.
C State’s Human 2. In state laboratories, the supervisor meets the state educational and experience
Resources requirements for managing a public health laboratory
Department
K State’s Human 3. In state laboratories, the analyst(s) meets the state educational and experience
Resources requirements for processing samples in a public health laboratory.
Department
C USDA 4. In private laboratories, the supervisor must have at least a bachelor's degree in
Microbiology microbiology, biology, or equivalent discipline with at least two years of laboratory
& EELAP experience.
K USDA 5. In private laboratories, the analyst(s) must have at least a high school diploma and
Microbiology shall have at least three months of experience in laboratory sciences.
& EELAP
C 8 6. QA Plan Implemented.
K 11 7. Participates in a proficiency testing program annually.
Specify Program(s)________________________
CODE REF. Work Area
O 8,11 1. Adequate for workload and storage.
K 11 2. Clean, well lighted.
K 11 3. Adequate temperature control.
O 11 4. All work surfaces are nonporous, easily cleaned and disinfected.
K 11 5. Microbiological quality and density of air is < 15 colonies/plate in a 15 minute
exposure determined monthly and results recorded.
O 11 6. Pipette aid used, mouth pipetting not permitted.
CODE REF. Equipment
O 9 1. To determine the pH of prepared media, the pH meter has a standard accuracy of 0.1
units.
O 14 2. pH electrodes, consisting of pH half cell and reference half cell or equivalent
combination electrode (free from Ag/AgCl or contains an ion exchange barrier
preventing passage of Ag ions into the medium which may effect the accuracy of the pH
reading).
K 11 3. The effect of temperature on the pH is compensated for by an ATC probe or by
manual adjustment.
K 8 4. pH meter is calibrated daily or with each use and records are maintained.
K 11 5. A minimum of two standard buffer solutions is used to calibrate the pH meter. The
first must be near the electrode isopotential point (pH 7). The second near the expected
sample pH (i.e. pH 4 or pH 10). (Standard buffer solutions are used once daily and
discarded.
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O 8,15 6. Electrode effectiveness is determined daily or with each use.

Method of determination_____________________________________.
K 9 7. Balance provides a sensitivity of at least 0.1 g at a load of 150 g.
K 11,13 8. Balance checked monthly using NIST Class S or ASTM Class 1 or 2 weights or
equivalent and records are maintained.
K 11 9. Refrigerator temperature(s) monitored at least once daily and recorded.
K 1 10. Refrigerator temperature maintained at 0° to 4° C.
C 9 11. The temperature of the incubator is maintained at 35 ± 0.5° C.
C 11 12. Thermometers used in the air incubator(s) are graduated at no greater than 0.5° C
increments.
K 9 13 Working thermometer located on top and bottom shelves of use in the air
incubator(s).
C 11 14. Temperature of the waterbath is maintained at 44.5 ± 0.2° C under any loading
capacity.
C 9 15. The thermometers used in the waterbath are graduated in 0.1° C increments.
O 13 16. The waterbath has adequate capacity for workload.
K 9 17. The level of water in the waterbath covers the level of liquid in the incubating
tubes.
K 8, 11 18. Air incubator/waterbath temperatures are taken twice daily and recorded.
K 13 19. Working thermometers are tagged with identification, date of calibration,
calibrated temperature and correction factor.
K 4 20. All working thermometers are appropriately immersed.
K 11 21. A standards thermometer has been calibrated by NIST or one of equivalent
accuracy at the points 0°, 35° and 44.5° C (45.5° C for ETCP). Calibration records
maintained.
K 9 22. Standards thermometer is checked annually for accuracy by ice point
determination. Results recorded and maintained.

Date of most recent determination________________________________.

K 13 23. Incubator and waterbath working thermometers are checked annually against the
standards thermometer at the temperatures at which they are used. Records maintained.
CODE REF. Labware and Glassware Washing
O 9 1. Utensils and containers are clean borosilicate glass, stainless steel or other
noncorroding materials
K 9 2. Culture tubes are of a suitable size to accommodate the volume for nutritive
ingredients and samples
K 9 3. Sample containers are made of glass or some other inert material (i.e.
polypropylene).
O 9 4. Dilution bottles and tubes are made of borosilicate glass or plastic and closed with
rubber stoppers, caps or screw caps with nontoxic liners.
K 9 5. Graduations are indelibly marked on dilution bottles and tubes or an acceptable
alternative method is used to ensure appropriate volumes.
K 9 6. Pipettes used to inoculate the sample deliver accurate aliquots, have unbroken tips
and are appropriately graduated. Pipettes larger than 10 ml are not used to deliver 1ml;
nor, are pipits larger than 1ml used to deliver 0.1ml.
K 9 7. Reusable sample containers are capable of being properly washed and sterilized.
K 9 8. In washing reusable pipits, a succession of at least three fresh water rinses plus a
final rinse of distilled/deionized water is used to thoroughly rinse off all the detergent.
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C 9 9. In washing reusable sample containers, glassware and plasticware, the effectiveness

of the rinsing procedure is established annually and when detergent (brand or lot) is
changed by the Inhibitory Residue Test as described in the current edition of Standard
Methods for the Examination of Water and Wastewater. Records are kept.

Date of most recent testing________________________________

Average difference between Groups A and B_________________

Average difference between Groups B and D__________________

Detergent Brand____________________Lot #________________

K 11 10. Once during each day of washing several pieces of glassware (pipettes, sample
bottles, etc.) from one batch are tested for residual acid or alkali w/aqueous 0.04%
bromthymol blue. Records are maintained.

CODE REF. Sterilization and Decontamination

O 9 1. Autoclave(s) are of sufficient size to accommodate the workload.
O 8 2. Routine autoclave maintenance performed (e.g. pressure relief valves, exhaust trap,
chamber drain) and records maintained.
O 8 3. Autoclave(s) and/or steam generators serviced annually or as needed by qualified
technician and records maintained.
C 11 4. Autoclave(s) provides a sterilizing temperature of 121° C (tolerance 121 ± 2° C) as
determined weekly using a calibrated working maximum registering thermometer or
equivalent (thermocouples, platinum resistance thermometers).
K 11 5. An autoclave standards thermometer has been calibrated by the National Institute of
Standards and Technology (NIST) or its equivalent at 121° C.
K 16 6. The autoclave standards thermometer is checked every five years for accuracy at
either 121° C or at the steam point.

Date of most recent determination___________________________

K 1 7. Working autoclave thermometers are checked against the autoclave standards
thermometer at 121° C yearly.

Date of last check ______________ Method _____________________

K 11 8. Spore suspensions are used monthly to evaluate the effectiveness of the autoclave
sterilization process. Results recorded.
O 11 9. Heat sensitive tape is used with each autoclave batch.
K 11, 13 10. Autoclave sterilization records including length of sterilization, total heat exposure
time and chamber temperature are maintained.

Type of record: Autoclave log, computer printout or chart recorder tracings (circle
appropriate type or types)
K 11 11. For dry heat sterilized material, the hot-air sterilizing oven provides heating and
sterilizing temperature in the range of 160° to 180° C.
K 9 12. A thermometer capable of determining temperatures accurately in the range of 160
to 180°C is used to monitor the operation of the hot-air sterilizing oven when in use.
K 13 13. Records of temperatures and exposure times are maintained for the operation of
the hot-air sterilizing oven during use.
K 11 14. Spore strips are used quarterly to evaluate the effectiveness of the sterilization
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process in the hot-air oven. Records are maintained.

K 11 15. Reusable sample containers are sterilized for 60 minutes at 170° C in a hot-air
oven or autoclaved for 15 minutes at 121° C.
O 1 16. The sterility of reusable/disposable sample containers is determined for each
batch/lot.
K 9 17. Reusable pipettes are stored and sterilized in aluminum or stainless steel canisters
or equivalent alternative.
K 9 18. Reusable pipettes (in canisters) are sterilized in a hot-air oven at 170° C for 2
hours.
O 2 19. The sterility of reusable/disposable pipettes is determined with each batch/lot.
Results are recorded and maintained.
K 18 20. Hardwood applicators transfer sticks are properly sterilized.
O 13 21. Spent broth cultures and agar plates are decontaminated by autoclaving for at least
30 minutes before conventional disposal.
CODE REF. Media Preparation
K 3, 5 1. Media is commercially dehydrated except in the case of medium A-1 which is
prepared from the individual components and modified MacConkey agar which may be
prepared from its components.
O 11 2. Dehydrated media and media components properly stored in cool, clean, dry place.
O 11 3. Dehydrated media are labeled with date of receipt and date opened.
C 12 4. Caked or expired media are discarded.
C 11 5. Make-up water is distilled or deionized (circle one) and exceeds 0.5 megohm
resistance or is less than 2µ Siemens/cm conductivity at 25° C to be tested and recorded
monthly for resistance or conductivity (circle the appropriate).
C 11 6. Make-up water is analyzed for residual chlorine monthly and is at a non-detectable
level (≤ 0.1 ppm). Records are maintained.

Specify method of determination_______________________________.

K 11 7. Make-up water is free from trace (<0.05mg/L) dissolved metals, specifically Cd, Cr,
Cu, Ni, Pb, and Zn as determined annually with total heavy metal content < or equal to
1.0mg/L and records are maintained.
K 11 8. Make-up water contains <1000 CFU/ml as determined monthly using the
heterotrophic plate count method and records are maintained.
K 11 9. Media are sterilized according to the manufacturer's instructions.
K 9 10. Volume and concentration of media in the tube are suitable for the amount of
sample inoculated.
C 11 11. Total time of exposure of sugar broths to autoclave temperatures does not exceed
45 minutes.
C 1 12. Media sterility and positive and negative controls are run with each lot of
commercially prepared media or are run with each batch of media prepared from its
components as a check of media productivity. Results recorded and records maintained.
O 9 13. Sterile phosphate buffered dilution water is used as the sample diluent.
K 11 14. pH is determined after sterilization to ensure that it is consistent with
manufacturer's requirements and records are maintained.

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CODE REF. Storage of Prepared Culture Media

O 9 1. Prepared culture media are stored in a cool, clean, dry space where excessive evaporation and
the danger of contamination are minimized.
K 5,11 2. Brilliant green bile 2% broth and A-1 media are stored in the dark.
K 13 3. Stored media are labeled with expiration date or sterilization date.
O 9 4. Storage of prepared culture media at room temperature does not exceed 7 days.
O 2 5. Storage under refrigeration of prepared media with loose fitting closures shall not exceed 1
month.
O 11 6. Storage under refrigeration of prepared media with screw-cap closures does not exceed 3
months.
K 17 7. All prepared media stored under refrigeration are held at room temperature overnight prior to
use. Culture tubes containing any type of precipitate or Durham tubes containing air bubbles are
discarded.
PART II - SEAWATER SAMPLES
CODE REF. ITEM
Collection and Transportation of Samples
C 11 1. Containers are of suitable size to contain at least 100 ml and to allow headspace for shaking.
Seawater samples are collected in clean, sterile, water tight, properly labeled sample containers.
K 1 2. Sample identified with collectors name, harvest area, time and date of collection.
C 9 3. After collection, seawater samples shall be kept at a temperature between 0 and 10° C until
examined.
K 1 4. A temperature blank is used to determine the temperature of samples upon receipt at the
laboratory. Results are recorded and maintained.
C 9 5. Examination of the sample is initiated as soon as possible after collection. However, seawater
samples are not tested if they are held beyond 30 hours of refrigeration.
CODE REF. Bacteriological Examination of Seawater by the APHA MPN
C 9 1. Lactose broth or lauryl tryptose broth is used as the presumptive medium. (circle appropriate
one)
C 9 2. Sample and dilutions of sample are mixed vigorously (25 times in a 12" arc in 7 seconds)
before inoculation.
C 9 3. In a multiple dilution series not less than 3 tubes per dilution are used (5 tubes are
recommended).
C 6 4. In a single dilution series not less than 12 tubes are used (for depuration at least 5 tubes are
used).
K 6 5. In a single dilution series, the volumes examined are adequate to meet the needs of routine
monitoring.

Sample volume inoculated ______________________

Range of MPN________________________________

Strength of media used_________________________

K 9 6. Inoculated media are placed in an air incubator at 35 ± 0.5° C for up to 48 ± 3 hours.
K 2 7. Positive and negative control cultures accompany samples throughout the procedure. Records
are maintained.

Positive Control _________________ Negative Control _________________

K 9 8. Inoculated media are read after 24 ± 2 hours and 48 ± 3 hours of incubation and transferred at
both intervals if positive for gas.

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CODE REF. Confirmed Test for Seawater by APHA MPN

C 9 1. Brilliant green bile 2% broth (BGB) is used as the confirmatory medium for total coliforms.
C 9 2. EC medium is used as the confirmatory medium for fecal coliforms.
K 9, 11 3. Transfers made to BGB/EC by either sterile loop or sterile hardwood applicator stick from
positive presumptives incubated for 24 and 48 hours (Circle the method of transfer).
K 2 4. When the inoculation of both EC and BGB broths is performed using the same loop or
transfer stick, the order of inoculation is EC first, followed by BGB.
C 9 5. BGB tubes are incubated at 35 ± 0.5° C.
K 9 6. BGB tubes are read after 48 ± 3 hours of incubation.
C 9 7. EC tubes are incubated in a circulating waterbath at 44.5 ± 0.2° C for 24 ± 2 hours.
C 9 8. The presence of any amount of gas or effervescence in the culture tube constitutes a positive
test.
CODE REF. Computation of Results
K 9 1. Results of multiple dilution tests are read from tables in Recommended Procedures, 4th
Edition.
K 7 2. Results from single dilution series are calculated from Hoskins' equation or interpolated from
Figure 1 Public Health Report 1621 entitled "Most Probable Numbers for Evaluation of Coli
aerogenes Tests by Fermentation Tube Method".
K 7, 9 3. Results are reported as MPN/100 ml of sample.
CODE REF. Bacteriological Examination of Seawater by the MA-1 Method
C 5 1. Medium A-1 sterilized for 10 minutes at 121° C.
C 9 2. Sample and dilutions of sample are mixed vigorously (25 times in a 12" arc in 7 seconds)
before inoculation.
C 9 3. In a multiple dilution series not less than 3 tubes per dilution are used (5 tubes are
recommended)
C 6 4. In a single dilution series at least 12 tubes are used.
K 6 5. In a single dilution series, the volumes examined are adequate to meet the needs of routine
monitoring.

Sample volume inoculated ______________________

Range of MPN ________________________________

Strength of media used _________________________

K 2 6. Positive and negative control cultures accompany samples throughout the procedure. Records
are maintained.

Positive Control _________________ Negative Control _________________

C 2,5 7. Inoculated media are placed in an air incubator at 35 ± 0.5° C for 3 ± 0.5 hours of
resuscitation.
C 5 8. After 3 ± 0.5 hours resuscitation at 35° C, inoculated media are incubated at 44.5 ± 0.2° C in
a circulating waterbath for the remainder of the 24 ± 2 hours.
C 5 9. The presence of any amount of gas or effervescence in the culture tube constitutes a positive
test.

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Computation of Results
CODE REF.
K 9 1. Results of multiple dilution tests are read from tables in Recommended Procedures, 4th
Edition.
K 7 2. Results from single dilution series are calculated from Hoskins' equation or interpolated from
Figure 1 Public Health Report 1621 entitled "Most Probable Numbers for Evaluation of Coli
aerogenes Tests by Fermentation Tube Method".
K 7, 9 3. Results are reported as MPN/100 ml of sample.
Bacteriological Examination of Seawater by Membrane Filtration using mTEC Agar
CODE REF.
Equipment
C 23, 24 1. When used for elevated temperature incubation, the temperature of the hot air incubator is
maintained at 44.5±0.5° C under any loading capacity.
C 23 2. When using a waterbath for elevated temperature incubation, the level of the water
completely covers the plates.
C 23 3. Pre-sterilized plastic or sterile glass culture plates that are clear, flat bottomed, free of bubbles
and scratches are used.
K 11 4. Colonies are counted with the aid of magnification.
C 11, 23 5. Membrane filters are made from cellulose ester material, white, grid marked, 47 mm in
diameter with a pore size of 0.45 µm and certified by the manufacturer for fecal coliform
analyses.
O 2 6. Lot number, date of receipt and if provided the expiration date of the membrane filters are
recorded.
K 2, 11 7. New lots of membrane filters are checked by comparing recovery of fecal coliform
organisms against membrane filters from previously acceptable lots.
C 2 8. The sterility of each lot or autoclave batch of membrane filters are checked before use.
K 2 9. Membrane filters which are beyond their expiration date are not used.
O 11 10. Forceps tips are clean.
O 11 11. Forceps tips are smooth without pitting or corrugations to damage the filters being
manipulated.
K 11 12. Forceps are dipped in alcohol and flame sterilized between sample filters.
K 11 13. If indelible graduation marks are used on clear glass or plastic funnels to measure sample
volumes, their accuracy is checked with a Class A graduated cylinder before use and periodically
rechecked. Funnels having a tolerance greater than 2.5% are not used. Checks are recorded and
records maintained
K 11 14. Membrane filtration units are made of stainless steel, glass or autoclavable plastic free of
scratches, corrosion and leaks.
C 11 15. Membrane filter assemblies are autoclave sterilized for 15 minutes at 121°C prior to the start
of a filtration series.
O 11, 16. A UV sterilization unit is used to disinfect filter assemblies between sample and filtration
23, 26 runs.
K 11 17. If used, the effectiveness of the UV sterilization unit is determined by biological testing
monthly. Results are recorded and records maintained.
CODE REF. Media Preparation and Storage
K 11 1. Phosphate buffered saline is used as the sample diluent.
C 11 2. Phosphate buffered saline is properly sterilized.
K 23 3. A sufficient amount of medium (4-5 ml) is used in each plate.
O 11 4. Refrigerated prepared plates are stored for no more than 2 weeks in sealed plastic bags or
containers to minimize evaporation.

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CODE REF. Sample Analyses

C 24 1. mTEC agar is used.
C 23 2. The sample is mixed vigorously (25 times in a 12” arc in 7 seconds) before filtration.
C 23 3. The membrane is placed grid side up within the sterile filter apparatus.
C 23, 25 4. Sample volumes tested are consistent with the sampling regime employed (i.e. half log or
other appropriate dilutions are used with systematic random sampling).
C 23 5. Sample volumes are filtered under vacuum
K 26 6. The pressure of the vacuum pump does not exceed 15 psi..
C 23, 26 7. The sides of the filter funnel are rinsed at least twice with 20-30 ml of sterile phosphate
buffered saline after sample filtration.
C 23 8. The membrane filter is removed from the filtering apparatus with sterile forceps and rolled
onto mTEC agar so that no bubbles form between the filter and the agar.
C 11 9. Blanks are run at the beginning of filtration, after every 10th aliquot and at the end of the
filtration run to check the sterility of the testing system (phosphate buffered saline, filter funnel,
forceps, membrane filter, media and culture plate).
K 2, 11 10. Positive and negative control cultures treated like samples accompany test samples
throughout the procedure.

Positive control _________________________

Negative control _________________________
Results are recorded and records maintained.
C 11, 11. Inoculated plates are placed inverted either directly in an air incubator or in a watertight,
23, 24 tightly sealed container at 35 + 0.5°C for 2 hours of resuscitation prior to waterbath incubation or
in Ethyfoam for incubation in air at 44.5 +0.5°C.
C 11, 12. After 2 hours of resuscitation at 35°C watertight sealed containers are transferred to a
23, 24 circulating waterbath at 44.5 + 0.2°C, submerged completely and incubated for 22-24 hours.
Individual plates are transferred inverted to a watertight container, tightly sealed and submerged
completely in a circulating waterbath at 44.5 + 0.2°C for 22-24 hours of incubation.
CODE REF. Computation of Results
C 23 1. All yellow, yellow-green or yellow-brown colonies are counted.
C 23 2. Only plates having 80 or fewer colonies are counted. If it is necessary to use plates having
more than 80 colonies, counts are given as >80 x 100/the volume filtered.
K 23, 11 3. The number of fecal coliforms is calculated by the following equation:

Number of fecal coliforms per 100 ml = [number of colonies counted/volume of sample filtered
in ml] x 100.
K 23, 11 4. Results are reported as CFU/100 ml of sample.
PART III - SHELLFISH SAMPLES
CODE REF. ITEM
Collection and Transportation of Samples
C 9 1. A representative sample of shellstock is collected.
K 9 2. Shellstock is collected in clean, waterproof, puncture resistant containers.
K 9 3. Shellstock labeled with collector's name, type of shellstock, the source, the harvest area,
time, date and place (if market sample) of collection.
C 9 4. Shellstock samples are maintained in dry storage between 0 and 10° C until examined.
C 1 5. Examination of the sample is initiated as soon as possible after collection. However, shellfish
samples are not examined if the time interval between collection and examination exceeds 24
hours.

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CODE REF Preparation of Shellstock for Examination

K 2,11 1. Shucking knives, scrub brushes and blender jars are (autoclave) sterilized for 15 minutes
prior to use.
O 2 2. Blades of shucking knives are not corroded.
O 9 3. Prior to scrubbing and rinsing debris off shellstock, the hands of the analyst are thoroughly
washed with soap and water.
O 2 4. The faucet used to provide the potable water for rinsing the shellstock does not contain an
aerator.
K 9 5. Shellstock are scrubbed with a stiff, sterile brush and rinsed under water of drinking water
quality.
O 9 6. Shellstock are allowed to drain in a clean container or on clean towels prior to opening.
K 9 7. Prior to opening, the hands (or gloved hands) of the analyst are thoroughly washed with soap
and water and rinsed in 70% alcohol.
K 9 8. Shellstock are not shucked directly through the hinge.
C 9 9. Contents of shellstock (liquor and meat) are shucked into a sterile, tared blender jar or other
sterile container.
K 9 10. At least 200 grams of shellfish meat is used for analysis.
K 2, 19 11. The sample is weighed to the nearest 0.1 gram and an equal amount by weight of (tempered
for ETCP) diluent is added.
O 9 12. Sterile phosphate buffered dilution water is used as the sample diluent.
K 3 13. Sterile phosphate buffered saline is used as a sample diluent for the ETCP procedure.
C 9 14. Samples are blended at high speed for 60 to 120 seconds.
K 9 15. For other shellstock, APHA Recommended Procedures are followed for the examination of
freshly shucked and frozen shellfish meats.

CODE REF. MPN Analysis for Fecal Coliform Organisms, Presumptive Test, APHA
C 9 1. Appropriate strength lactose or lauryl tryptose broth is used as presumptive media in the
analysis. (circle appropriate choice)
K 9 2. Immediately (within 2 minutes) after blending, the ground sample is diluted and inoculated
into tubes of presumptive media.
C 9 3. No fewer than 5 tubes per dilution are used in a multiple dilution MPN series.
C 9 4. Allowing for the initial 1:1 dilution of the sample, appropriate portions are inoculated (i.e., 2
ml of original 1:1 dilution for the 1 g portion) and diluted for subsequent inoculation (i.e., 22 ml
of l:1 diluted sample to 88 ml of diluent or the equivalent for 0.1 g portion.
K 6 5. In a single dilution series, the volumes examined are adequate to meet the needs of routine
monitoring.

Sample volume inoculated ______________________

Range of MPN________________________________
Strength of media used_________________________
C 2 6. Positive and negative control cultures accompany samples throughout the procedure. Records
are maintained. Positive Control _________________ Negative Control _________________
K 9 7. Inoculated media are incubated at 35 ± 0.5° C.
K 10 8. Presumptive tubes are read at 24 ± 2 hours of incubation and transferred if positive.

CODE REF. Confirmed Test for Fecal Coliforms - APHA

C 9 1. EC medium is used as the confirmatory medium.
K 9, 11 2. Transfers are made to EC medium by either sterile loop or hardwood sterile applicator sticks
from positive presumptives incubated for 24 hours (circle the method of transfer).
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C 9 3. EC tubes are incubated in a circulating waterbath at 44.5 ± 0.2° C for 24 ± 2 hours.

K 9 4. EC tubes are read for gas production after 24 ± 2 hours of incubation.
C 9 5. The presence of any amount of gas or effervescence in the Durham tube constitutes a positive
test.
CODE REF. Computation of Results for MPN Analyses
K 9 1. Results of multiple dilution tests are read from tables in Recommended Procedures, 4th
Edition and multiplied by the appropriate dilution factor.
K 7 2. Results from single dilution series are calculated from Hoskins' equation or interpolated from
Figure 1 Public Health Report 1621 entitled "Most Probable Numbers for Evaluation of Coli
aerogenes Tests by Fermentation Tube Method".
K 9 3. Results are reported as MPN/100 grams of sample.
CODE REF. Standard Plate Count Method
O 20 1. A standard plate count analysis is performed in conjunction with the analysis for fecal
coliform organisms.
K 9 2. In the standard plant count procedure at least four plates, duplicates of two dilutions are used
to provide 30 to 300 colonies per plate.
K 2 3. Fifteen to 20 ml of tempered sterile plate count agar is used.
K 9 4. Agar tempering bath maintains the agar at 44 to 46° C.
O 9 5. Temperature control of the plate count agar is used in the tempering bath.
K 9 6. Not more than 1 ml nor less than 0.1 ml of sample or sample dilution is plated.
C 9 7. Samples or sample dilutions to be plated are mixed vigorously (25 times in a 12" arc in 7
seconds) before plating.
K 11 8. Control plates are used to check the sterility of the air, agar and the diluent.
K 9,21 9. Solidified plates are incubated at 35 ± 0.5°C for 48 ± 3 hours inverted and stacked no more
than four high.
K 9 10. Quebec Colony Counter or its equivalent is used to provide the necessary magnification and
visibility for counting plates.
K 1 11. A hand tally or its equivalent is used for accuracy in counting.
CODE REF. Computation of Results
K 9 1 Colony counts determined in accordance with Part III, A, Sections 4.31 through 4.33
Recommended Procedures, 4th Edition.
O 19 2 Colony counts reported as APC/g of sample.
CODE REF. Bacteriological Examination of Shellfish Using the ETCP
K 9 1. Sample homogenate is cultured within 2 minutes of blending.
K 3 2. Double strength Modified MacConkey Agar is used.
C 3 3. Hydrated double strength Modified MacConkey Agar is heated to boiling, removed from the
heat, and boiled again. This agar is never autoclaved.
K 2, 3 4. Twice boiled, double strength Modified MacConkey Agar and sterile phosphate buffered
saline are maintained in a tempering bath at 45 to 50° C until used. Prepared Modified
MacConkey Agar is used on the day it is made.
C 2, 3 5. The equivalent of 6 grams of the homogenate is placed into a sterile container and the
contents brought up to 60 ml with tempered, sterile phosphate buffered saline.
K 3 6. Sixty (60) ml of tempered, twice boiled double strength Modified MacConkey Agar is
added.
K 2, 3, 7. The container is gently swirled or rotated to mix the contents, which are then, distributed
22 uniformly over 6 to 8 petri plates.
C 1 8. Media and diluent sterility are determined with each use. Results are recorded and records
maintained.

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C 1 9. To determine media productivity, positive and negative control cultures are pour plated in an
appropriate concentration to accompany samples throughout the procedure.

Positive control_______________ Negative control _______________

C 3, 13 10. Plates are incubated inverted within 3 hours of plating in air at 45.5 ± 0.5° C for 18 to 30
hours. Plates are stacked not more than four high.
C 3 11. Incubator temperature is maintained at 45.5 ± 0.5° C.
CODE REF. Expression of Results
K 11 1. Quebec Colony counter or its equivalent is used to provide the necessary magnification and
visibility.
O 1 2. A hand tally or its equivalent is used to aid in counting.
C 3, 6 3. All brick red colonies greater than 0.5mm in diameter are totaled over all the plates and
multiplied by a factor of 16.7 to report results as CFU/100 grams of sample.
CODE REF. Bacteriological Examination of Soft-shelled Clams and American Oysters for Male Specific
Coliphage (MSC)
Equipment and Supplies
K 30 1. Sample containers used for the shucked sample are sterile, made of glass or some other
inert material (i.e. polypropylene) and hold 100 – 125 ml.
C 27, 2. The refrigerated centrifuge used must have the capacity to accommodate the amount of
28 shellfish sample required for the procedure, perform at 9000 x g and maintain a temperature of
4°C.
C 27, 3. The tempering bath(s) must be able to maintain the temperature within 2°C of the set
28 temperature.
K 9 4. The level of water in the tempering bath covers the level of liquid and agar in the container
or culture tubes.
C 27, 5. Sterile 0.22 µm pore size syringe filters and pre-sterilized plastic or sterile glass syringes
28 are used to sterilize the antibiotic solutions.
K 1 6. The sterility of each lot of pre-sterilized syringes and syringe filters is determined.
K 1 7. The sterility of each batch of reusable glass syringes is determined.
C 27, 8. The balance used provides a sensitivity of at least 10 mg.
28
C 27, 9. The temperature of the incubator used is maintained between 35 – 37°C.
28
C 28 10. Sterile disposable 50 ml centrifuge tubes are used and their sterility is determined
with each lot.
Media Preparation
K 28 1. Media preparation and sterilization is according to thevalidated method.
K 27, 2. Bottom agar, double strength soft agar and growth broth are prepared from their individual
28 components.
K 27, 3. Soft agar is prepared double strength in volumes of 2.5 ml.
28
C 27, 4. The streptomycin and ampicillin solutions are added to tempered bottom agar.
28
O 27, 5. Storage of the bottom agar under refrigeration does not exceed 1 month.
28
K 27, 6. Unsterilized soft agar is stored at -20°C for up to 3 months.
28
K 27, 7. The soft agar is removed from the freezer and sterilized for 15 minutes at 121°C before
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28 use.
K 27, 8. Storage of growth broth in the refrigerator in loosely capped tubes/bottles does not exceed
28 1 month and in screw capped tubes/bottles does not exceed 3 months.
K 27, 9. Bottom agar plates are allowed to reach room temperature before use.
28
PREPARATION OF THE SOFT-SHELLED CLAMS AND AMERICAN OYSTERS FOR
ANALYSIS
K 2, 11 1. Shucking knives, scrub brushes and blender jars areautoclave sterilized for 15 minutes
prior to use.
O 2 2. The blades of the shucking knives used are not corroded.
O 9 3. The hands of the analyst are thoroughly washed with soap and water prior to scrubbing and
rinsing of debris off the shellfish.
O 2 4. The faucet used to provide the potable water for rinsing the shellfish does not contain an
aerator.
K 9 5. The shellfish are scrubbed with a stiff, sterile brush and rinsed under water of drinking
water quality.
O 9 6. The shellfish are allowed to drain in a clean container or on clean towels unlayered prior to
shucking.
K 9 7. Prior to shucking, the hands (or gloved hands) of the analyst are thoroughly washed with
soap and water and rinsed with 70% alcohol.
K 9 8. The shellfish are not directly shucked through the hinge.
C 9 9. The contents of the shellfish (liquor and meat) are shucked into a sterile, tared
blender jar or other sterile container.
K 9 10. At least 12 shellfish are used for the analysis.
C 2, 19 11. The sample is weighed to the nearest 0.1 gram.
CODE REF SAMPLE ANALYSIS
C 28 1. [Link] Famp ATCC 700891 is the bacterial host strain used in this procedure.
K 27, 2. Host cell growth broth is tempered at 35 –37°C and vortexed (or shaken) to aerate prior to
28 inoculation with host cells.
K 27, 3. Several host cell colonies are transferred to a tube of tempered, aerated growth broth and
28 incubated at 35 – 37°C to provide host cells in log phase growth for sample analysis.
C 27, 4. Inoculated growth broth is incubated at 35 – 37°C for 4 to 6 hours to provide a host
28 cell culture in log phase growth.
C 27, 5. After inoculation, the host cell growth broth culture is not shaken.
28
C 28 6. A 2:1 mixture of growth broth to shellfish tissue is used for eluting the MSC.
C 28 7. The elution mixture is prepared w/v by weighing the sample and adding two equal
portions of growth broth by volume to the shellfish tissue.
C 28 8. The elution mixture is homogenized at high speed for 180 seconds.
C 28 9. Immediately after blending, 33 grams of the homogenized elution mixture are
weighed into centrifuge tubes.
C 28 10. The homogenized elution mixture is centrifuged for 15 minutes at 9000 x g at 4°C.
C 27, 11. The supernatant is pipetted off, weighed and the weight recorded.
28
C 27, 12. The supernatant is allowed to warm to room temperature about 20 to 30 minutes.
28
K 27, 13. The autoclaved soft agar is tempered and held at 50 – 52°C throughout the period of
28 sample analysis.
K 27, 14. Two hundred microliters (0.2 ml) of log phase host strain E coli is added to the

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28 tempering soft agar

immediately prior to adding the sample supernatant.
K 27, 15. The sample supernatant is shaken or vortexed before being added to the tempering soft
28 agar.
C 27, 16. 2.5 ml of sample supernatant is added to each tube of tempering soft agar.
28
C 27, 17. The soft agar/sample supernatant/host cell mixture is gently rolled between the
28 palms of the hands to mix.
C 27, 18. The soft agar/sample supernatant/host cell mixture is overlaid onto bottom agar
28 plates and swirled gently to distribute the mixture evenly over the plate.
C 28 19. 10 plates are used, 2.5 ml per plate for a total of 25 ml of supernatant analyzed per
sample.
K 27, 20. Negative and positive control plates are prepared and accompany each set of samples
28 analyzed.
K 27, 21. Growth broth is used as the negative control
28 or blank.
K 27, 22. Type strain MS2 (ATCC 15597) male specific bacteriophage is used as the positive
28 control.
K 23. A negative control plate is plated at the beginning and end of each set of samples
analyzed.
K 27, 24. The positive control is plated after all the samples are analyzed and immediately prior to
28 the final negative control.
C 27, 25. All plates are incubated at 35 – 37°C for 16 to 20 hours.
28
COMPUTATION OF RESULTS
C 27 1. Circular zones of clearing or plaques of any diameter in the lawn of host bacteria are
counted.
C 28 2. The working range of the method is 1 to 100 PFU per plate. When there are no
plaques on all ten plates, the count is <6 PFU/100 gm for soft- shelled clams and <7 PFU/
100 gm for American oysters. If the density exceeds 100 PFU per plate on all plates, the
count is given as > 10,000 PFU/100 gm.
K 28 3. The formula used for determining the density of MSC in PFU/100 gm is: (0.364)(N)(Ws),
where N = total number of plaques counted on all 10 plates and Ws = weight of the supernatant
used.
O 9 4. The MSC count is rounded off conventionally to give a whole number.

REFERENCES

1. American Public Health Association 1984. Compendium of Methods for the Microbiological
Examination of Foods, 2nd Edition. APHA, Washington, D.C.
2. Good Laboratory Practice.
3. "Interim Guides for the Depuration of the Northern Quahog, Mercenaria mercenaria." 1968.
Northeast Marine Health Sciences Laboratory, North Kingstown, RI.
4. U.S. Department of Commerce. 1976. NBS Monograph 150. U.S. Department of Commerce,
Washington, D.C.
5. Association of Official Analytical Chemists (AOAC). 2000. Official Methods of Analyses of the
Association of Official Analytical Chemists. 17th Edition, Chapter 17.305, page 22. AOAC,
Arlington, VA.
6. Wilt, D.S. (ed.). 1974. Proceedings of the 8th National Shellfish Sanitation Workshop. U.S. Food
and Drug Administration, Washington, D.C.
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7. U.S. Public Health Service (PHS). 1947. Public Health Report, Reprint #1621. PHS, Washington,
D.C.
8. Association of Official Analytical Chemists (AOAC). 1991. Quality Assurance Principles for
Analytical Laboratories. AOAC, Arlington, VA.
9. American Public Health Association (APHA). 1970. Recommended Procedures for the
Examination of Sea Water and Shellfish, 4th Edition. APHA, Washington, D.C.
10. Interstate Shellfish Sanitation Conference (ISSC). 1986. Shellfish Sanitation Interpretation #SS-
39. ISSC, Columbia, S.C.
11. American Public Health Association (APHA). 1992. Standard Methods for the Examination of
Water and Wastewater,18th Edition. APHA/AWWA/WEF, Washington, D.C.
12. Title 21, Code of Federal Regulations, Part 58, Good Laboratory Practice for Nonclinical
Laboratory Study. U.S. Government Printing, Washington, D.C.
13. American Public Health Association (APHA). 1992. Standard Methods for the Examination of
Dairy Products, 16th Edition. APHA, Washington, D.C.
14. Fisher, J. 1985. Measurement of pH. American Laboratory 16:54-60.
15. Consult pH electrode product literature.
16. Association of Official Analytical Chemists (AOAC). 1999. AOAC Methods Validation and
Technical Programs - Criteria for Laboratories Performing Food Testing. AOAC, Arlington,
VA.
17. U.S. Environmental Protection Agency (EPA). 1975. Handbook for Evaluating Water
Bacteriological Laboratories. EPA-670/9-75-006. U.S. EPA, Cincinnati, OH
18. Adams, W.N. 1974. NETSU. Personal communication to Dr. Wallace Andrews, FDA.
19. U.S. Food and Drug Administration (FDA).[Link] Analytical Manual. U.S. FDA,
8th Edition, AOAC, Arlington,VA.
20. U.S. Food and Drug Administration (FDA) and Interstate Shellfish Sanitation Conference (ISSC).
1997. NSSP Guide to the Control of Molluscan Shellfish. FDA/ISSC, Washington, D.C. and
Columbia, S.C.
21. U.S. Environmental Protection Agency. 1978. Microbiological Methods for Monitoring the
Environment, Water and Wastes. EPA/600/8/78/017. EPA, Washington, D.C.
22. Furfari, Santo. March 21, 1972. Personal Communication to Dan Hunt, FDA.
23. United States Environmental Protection Agency, Improved Enumeration Methods for the
Recreational Water Quality Indicators: Enterococci and Escherichia coli. EPA/821/R-97-004,
EPA, Washington, DC
24. Rippey, Scott, R, Adams, Willard, N, and Watkins, William, D. Enumeration of fecal coliforms
and E. coli in marine and estuarine waters: an alternative to the APHA-MPN approach, Journal
WPCF, 59, 8 (1987).
25. FDA Manual of Interpretations, National Shellfish Sanitation Program Guide for the Control of
Molluscan Shellfish, 2003 Revision, Interpretation Number 03-IV-@.02-102.
26. Membrane filtration: A Users Guide and Reference Manual, Thomas D. Brock, Science Tech
Inc., Madison, WI, 1983.
27. Proceedings of the Male-specific Bacteriophage (MSC) Workshop, Gloucester, MA, March 9-12,
2004.
28. MSC Method and SLV write-up, Spinney Creek Shellfish, Inc., September, 2009.

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SHELLFISH LABORATORY EVALUATION CHECKLIST

SUMMARY OF NONCONFORMITIES
Page Item Observation Documentation Required

LABORATORY STATUS
LABORATORY DATE
LABORATORY REPRESENTATIVE:
MICROBIOLOGICAL COMPONENT: (Part I-III)
A. Results

Total # of Critical (C) Nonconformities in Parts ____________________

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I-III ____________________

Total # of Key (K) Nonconformities in Parts I-III ____________________

Total # of Critical, Key and Other (O)

Nonconformities in Parts I-III

B. Criteria for Determining Laboratory Status of the Microbiological Component:

1. Does Not Conform Status: The Microbiological component of this laboratory is not in conformity
with NSSP requirements if:

a. The total # of Critical nonconformities is > 4 or

b. The total # of Key nonconformities is > 13 or

c. The total # of Critical, Key and Other is > 18

2. Provisionally Conforms Status: The microbiological component of this

laboratory is determined to be provisionally conforming to NSSP requirements if

the number of critical nonconformities is > 1 but < 3

C. Laboratory Status (circle appropriate)

Does Not Conform Provisionally Conforms Conforms

Acknowledgment by Laboratory Director/Supervisor:

All corrective Action will be implemented and verifying substantiating documentation received by the
Laboratory Evaluation Officer on or before ____________________

Laboratory Signature:_________________________ Date:___________________

LEO Signature:______________________________ Date:___________________

NSSP Form LAB-100 Microbiology Rev. 2005-08-19

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Laboratory Evaluation Checklist - PSP

PUBLIC HEALTH SERVICE

U.S. FOOD AND DRUG ADMINISTRATION
SHELLFISH PROGRAM IMPLEMENTATION BRANCH
SHELLFISH SAFETY TEAM
5100 PAINT BRANCH PARKWAY
COLLEGE PARK, MD 20740-3835
TEL. 301-436-2151/2147 FAX 301-436-2672
SHELLFISH LABORATORY EVALUATION CHECKLIST
LABORATORY:
ADDRESS:
TELEPHONE: FAX: EMAIL:
DATE OF EVALUATION: DATE OF REPORT: LAST EVALUATION:

LABORATORY REPRESENTED BY: TITLE:

LABORATORY EVALUATION OFFICER: SHELLFISH SPECIALIST:

REGION:
OTHER OFFICIALS PRESENT: TITLE:

Items which do not conform are noted by:

C- Critical K - Key O - Other NA - Not Applicable Conformity is noted by a "√"

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PART I - QUALITY ASSURANCE

Code Item Description
Quality Assurance (QA) Plan
K 1. Written Plan adequately covers all the following: (check √ those that apply)

1. a. Organization of the laboratory.

2. b. Staff training requirements.
3. c. Standard operating procedures.
4. d. Internal quality control measures for equipment, calibration, maintenance, repair and
performance.
5. e. Laboratory safety.
6. f. Quality assessment.
7. g. Proper animal care.

C 2. QA plan implemented.
1.2 Work Area
O 1. Adequate for workload and storage.
O 2. Clean and well lighted.
O 3. Adequate temperature control.
O 4. All work surfaces are nonporous and easily cleaned.
C 5. A separate, quiet area with adequate temperature control for mice acclimation and
injection is maintained.
1.3 Laboratory Equipment
O 1. The pH meter has a standard accuracy of 0.1 unit.
K 2. pH paper in the appropriate range (i.e. 1-4) is used with minimum accuracy of 0.5 pH units.
K 3. pH electrodes consist of pH half cell and reference half cell or equivalent combination
electrode (free from Ag/AgCl or contains an ion exchange barrier to prevent passage of Ag ions
into the medium that may result in inaccurate pH readings).
K 4. pH meter is calibrated daily or with each use. Records maintained.
K 5. Effect of temperature has been compensated for by an ATC probe or by manual adjustment.
K 6. A minimum of two standard buffer solutions (2 & 7) is used to calibrate the pH meter.
Standard buffer solutions are used once and discarded.
K 7. Electrode efficiency is determined daily or with each use following either slope or millivolt
procedure.
K 8. The balance provides a sensitivity of at least 0.1g at a load of 150 grams.
K 9. The balance calibration is checked monthly using NIST Class S or ASTM Class 1or 2 weights
or equivalent. Records maintained.
K 10. Refrigerator temperature is maintained between 0 and 4˚C.
O 11. Refrigerator temperature is monitored at least once daily. Record maintained.
K 12. Freezer temperature is maintained at -20°C or below.
O 13. Freezer temperature is monitored at least once daily. Record maintained.
O 14. All glassware is clean.
O 15. Once during each day of washing, several pieces of glassware from each batch washed are
tested for residual detergent with aqueous 0.04% bromthymol blue solution. Records are
maintained.

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1.4 Reagent and Reference Solution Preparation and Storage

C 1. Opened PSP reference stand solution (100 µg/ml) is not stored.
K 2. PSP working standard solution (1 µg/ml) and all dilutions are prepared with dilute HCl, pH 3
water, using 'Class A' volumetric glassware (flasks and pipettes) or prepared gravimetrically.
K 3. Refrigerated storage of PSP working standard solution (1µg/ml) does not exceed 6 months and is
checked gravimetrically for evaporation loss.
K 4. PSP working dilutions are discarded after use.
K 5. Make up water is distilled or deionized (circle one) and exceeds 0.5 megohm resistance or is less
than 2 µ Siemens/cm conductivity at 25°C to be tested and recorded monthly for resistance or
conductivity (circle the appropriate).
O 6. Make up water is analyzed for residual chlorine monthly and is at a nondetectable level (≤ 0.1
ppm). Records maintained.
K 7. Make up water is free from trace (< 0.5 mg/l) dissolved metals specifically Cd, Cr, Cu, Ni, Pb,
and Zn as determined annually with total heavy metal content ≤1.0 mg/l. Records maintained.
O 8. Makeup water contains < 1000 CFU/ml as determined monthly using the heterotrophic plate
count method. Records maintained
1.5 Collection and Transportation of Samples
O 1. Shellstock are collected in clean, waterproof, puncture resistant containers.
K 2. Samples are appropriately labeled with the collector's name, harvest area and time and date of
collection.
K 3. Immediately after collection, shellstock samples are placed in dry storage for transport (e.g.
cooler) which is maintained between 0 and 10°C. Upon receipt at the lab, samples are placed under
refrigeration.
K 4. The time from collection to completion of the bioassay should not exceed 24 hours.
However, if there are significant transportation delays, then shellstock samples are processed
immediately as follows (circle the appropriate choice):

a. Washed, shucked, drained, frozen until extracted;

b. Washed, shucked, drained, homogenized and frozen;

c. Washed, shucked, drained, extracted, the supernatant decanted and refrigerated (best choice); or

d. The laboratory has an appropriate contingency plan in place to handle samples which can't be
analyzed within 24 hours due to transportation issues.
K 5. Frozen shucked product or homogenates are allowed to thaw completely and all liquid is included
as part of the sample before being processed further.
PART II - EXAMINATION OF SHELLFISH FOR PSP TOXIN
2.1 Preparation of Sample
C 1. At least 12 animals are used per sample or the laboratory has an appropriate contingency
plan for dealing with non-typical species of shellfish.
O 2. The outside of the shell is thoroughly cleaned with fresh water.
O 3. Shellstock are opened by cutting adductor muscles.
O 4. The inside of the shell is rinsed with fresh water to remove sand or other foreign material.
O 5. Shellfish meats are removed from the shell by separating adductor muscles and tissue connecting
at the hinge.
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K 6. Damage to the body of the mollusk is minimized in the process of opening.

O 7. Shucked shellfish are drained on a #10 mesh sieve (or equivalent) without layering for 5 minutes.
K 8. Pieces of shell and drainage are discarded.
C 9. Drained meats or thawed homogenates are blended at high speed until homogenous (60 -
120 seconds).
2.2 Extraction
K 1. 100 grams of homogenized sample is weighed into a beaker.
K 2. An equal amount of 0.1 N/0.18 N HCl is added to the homogenate and thoroughly mixed (circle
the appropriate normality).
C 3. pH is checked and, if necessary adjusted to between pH 2.0 and 4.0.
C 4. Adjustment of pH is made by the dropwise addition of either the acid (5 N HCl) or base
(0.1N NaOH) while constantly stirring the mixture.
C 5. The homogenate/acid mixture is promptly brought to a boil, 100 ± 1°C, then gently boiled
for 5 minutes.
O 6. The homogenate/acid mixture is boiled under adequate ventilation (i.e. fume hood).
O 7. The extract is cooled to room temperature.
C 8. The pH of the extract is determined and adjusted, if necessary to between pH 2 and 4,
preferably to pH 3 with the stirred dropwise addition of 5 N HCl to lower the pH or 0.1N
NaOH to raise the pH.
K 9. The extract volume (or mass) is adjusted to 200 mls (or grams) with dilute HCl, pH 3 water.
K 10. The extract is returned to the beaker, stirred to homogeneity and allowed to settle to remove
particulates; or, if necessary, an aliquot of the stirred supernatant is centrifuged at 3,000 RPM for 5
minutes before injection.
K 11. If mice cannot be injected immediately then the supernatant should be removed from the
centrifuge tubes and refrigerated for up to 24 hours.
K 12. Refrigerated extracts are allowed to reach ambient temperature before being bioassayed.
2.3 Bioassay
O 1. A 26-gauge hypodermic needle is used for injection.
K 2. Healthy mice in the weight range of 17 -23 grams (19 - 21 grams preferable) from a stock colony
are used for routine assays. Mice are not reused for bioassay.

Stock strain used _______________ Source of mice_______________

C 3. Mice are allowed to acclimate for at least 24 hours prior to injection. In some cases up to 48
hours may be required.
C 4. A conversion factor (CF) has been determined as ___________. Month and year when
current CF determined___________________.
C 5. CF value is checked weekly if assays are done on several days during the week, or, once
each day that assays are performed if they are performed less than once per week.

Date of most recent CF check ______________

CF verified/CF not verified (Circle appropriate choice)

C 6. If the CF is not verified, 5 additional mice are injected with the dilution used in the CF
check to complete a group of 10 mice. Ten additional mice are also injected with this dilution
to produce a second group of 10 mice. The CF is calculated for each group of 10 mice and
averaged to give the CF to be used in sample toxicity calculations for the day's or week's work
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only. All subsequent work must make use of the original laboratory CF value unless this value
continues to fail to be verified by routine CF checks.
C 7. If the CF fails to be verified, the cause is investigated and the situation corrected. If the
cause cannot be determined with reasonable certainty and fails > 3 times per year, the
bioassay is restandardized.
O 8. Mice are weighed to the nearest 0.5 gram.
C 9. Mice are injected intrapertioneally with 1 ml of the acid extract.
K 10. For the CF check, at least 5 mice are used.
C 11. At least 3 mice are used per sample in routine assays.
C 12. Elapsed time is accurately determined and recorded.
K 13. If death occurs, the time of death to the nearest second is noted by the last gasping breath.
C 14. If median death time( 2 out of 3 mice injected die) is < 5 minutes, a dilution is made with
dilute HCl, pH 3 water, to obtain a median death time in the range of 5 to 7 minutes.
2.4 Calculation of Toxicity
C 1. The death time of each mouse is converted to mouse units (MU) using Sommer's Table
(Table 6 Recommended Procedures, 4th edition). The death time of mice surviving beyond 60
minutes is considered to be < 0.875 MU.
K 2. A weight correction in MU is made for each mouse injected using Table 7 in Recommended
Procedures, 4th edition.
C 3. The death time of each mouse in MU is multiplied by a weight correction in MU to give the
corrected mouse unit (CMU) for each mouse.
C 4. The median value of the array of corrected mouse units (CMU) is determined to give the
median corrected mouse unit (MCMU).
C 5. The concentration of toxin is determined by the formula, MCMU x CF X Dilution Factor X
200.
C 6. Any value greater than 80µg/l00 grams of meat is actionable.

REFERENCES

1. Adams, W.N. and S.A. Furfari. 1984. Evaluation of laboratory performance of the AOAC method
for PSP toxin in shellfish. J. Assoc. Off. Anal. Chem. Vol 67, 6:1147-1148.
2. American Public Health Association. 1970. Recommended Procedures for the Examination of
Sea Water and Shellfish, 4th Edition. APHA, Washington, D.C.
3. American Public Health Association. 1992. Standard Method for the Examination of Dairy
Products, 16th Edition. APHA, Washington, D.C.
4. Association of Official Analytical Chemists International. 1990. Methods of Analysis, 15th
Edition. AOAC, Arlington, VA.
5. APHA/WEF/AWWA. 1992. Standard Methods for the Examination of Water and Wastewater,
18th Edition. APHA, Washington, D.C.
6. Title 21, Code of Federal Regulations, Part 58, Good Laboratory Practice for Nonclinical
Laboratory Study. U.S. Government Printing, Washington, D.C.
7. National Research Council. 1996. Guide for the Care and Use of Laboratory Animals. National
Academy Press, Washington, D.C.
8. Personal communication with USFDA Washington Seafood Laboratory Branch, Office of
Seafood, CFSAN, 1998-1999.

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LABORATORY: DATE OF EVALUATION:

SHELLFISH LABORATORY EVALUATION CHECKLIST

SUMMARY OF NONCONFORMITIES
Page Item Observation Documentation Required

LABORATORY STATUS

LABORATORY DATE

LABORATORY REPRESENTATIVE:

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PARALYTIC SHELLFISH POISON COMPONENT: PARTS I and II

A. Results

Total # of Critical (C) Nonconformities ____________________

Total # of Key (K) Nonconformities ____________________

Total # of Critical, Key and Other (O) nonconformities ____________________

B. Criteria for Determining Laboratory Status of the PSP Component

1. Does Not Conform Status The PSP component of this laboratory is not in conformity with NSSP
requirements if:

A. The total # of Critical nonconformities is > 3 or

B. The total # of Key nonconformities is > 6 or

C. The total # of Critical, Key and Other is > 10

2. Provisionally Conforms Status: The PSP component of this laboratory is determined to be

provisionally conforming to NSSP requirements if the number of critical nonconformities is > 1 but < 3

C. Laboratory Status (circle appropriate)

Does Not Conform - Provisionally Conforms - Conforms

Acknowledgment by Laboratory Director/Supervisor:

All corrective Action will be implemented and verifying substantiating documentation received by the
Laboratory Evaluation Officer on or before ____________________

Laboratory Signature:_________________________ Date:___________________

LEO Signature:______________________________ Date:___________________

NSSP Form Lab-100 Rev. 2005-08-19

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Laboratory Evaluation Checklist - Analysis for NSP (Mouse Bioassay)

PUBLIC HEALTH SERVICE

U.S. FOOD AND DRUG ADMINISTRATION

SHELLFISH PROGRAM IMPLEMENTATION BRANCH
SHELLFISH SAFETY TEAM
5100 PAINT BRANCH PARKWAY
COLLEGE PARK, MD 20740-3835
TEL. 301-436-2151/2147 FAX 301-436-2672
SHELLFISH LABORATORY EVALUATION CHECKLIST
LABORATORY:
ADDRESS:
TELEPHONE: FAX: EMAIL:
DATE OF EVALUATION:
DATE OF REPORT: LAST EVALUATION:
LABORATORY REPRESENTED BY: TITLE:

LABORATORY EVALUATION OFFICER: SHELLFISH SPECIALIST:

& REGION:
OTHER OFFICIALS PRESENT: TITLE:

Items which do not conform are noted by:

C- Critical K - Key O - Other NA- Not Applicable Conformity is noted by a "√"

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Weighted
Item Description
Code
Quality Assurance (QA) Plan
1. Written Plan adequately covers the following (check those that apply):
1. a. Organization of the laboratory.
2. b. Staff training requirements.
3. c. Standard operating procedures.
4. d. Internal quality control measures for equipment, calibration,
C
maintenance, repair and performance.
5. e. Laboratory safety.
6. f. Internal performance assessment.
7. g. External performance assessment.

C 2. QA Plan is implemented
Work Area
O 1. Adequate for workload and storage.
O 2. Clean and well lighted.
O 3. All work surfaces are nonporous and easily cleaned.
4. A separate, quiet area with adequate temperature control is maintained for acclimation
C
and injection of mice.
Laboratory Equipment
1. The differing sensitivities in weight measurements required by various steps in the
extraction procedure as well as the bioassay are met by the balances being used.
1. a. To determine sample weight, a sensitivity of at least 0.1 g at load of 100
g is required.
K 2. b. To determine the weight of the lipid extract and its subsequent volume
adjustment, a sensitivity of at least 10 mg at loads of 1 and 10 g is required.
3. c. To determine the weight of the mice used in the bioassay, a sensitivity
of 0.1 g at a load of 20 g is required.

2. The calibrations of the balances are checked monthly using NIST Class S or ASTM
O
Class 1 or 2 weights or equivalent. Records are maintained.
K 3. The temperature maintained by the refrigerator is between 0 and 5°C.
4. Refrigerator temperature is monitored at least once daily. Temperatures are recorded
O
and records are maintained.
Reagents
K 1. Concentrated (12N) HCl is used to acidify the homogenate.
O 2. Reagent grade NaCl is used in the extraction procedure.
3. Diethyl ether purified for lipid extraction is used for extracting lipids from the shellfish
C
homogenates.
4. Cottonseed oil (0.917 g/ml) or a solvent with a similar density (0.915 to 0.927 g/ml) is
used as the toxin delivery system. Name of the solvent if substituted for cottonseed oil.
C ________________

Specify density _____________

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Collection and Transportation of Samples

O 1. Shellstock are collected in clean, waterproof, puncture resistant containers.
2. Samples are appropriately labeled with the collector's name, the harvest area and the time and date
K
of collection.
3. Immediately after collection, shellstock samples are placed in dry storage between 0 and 10°C
K
until analyzed.
4. Shellstock samples are analyzed within 24 hours of collection or refrigerated unshucked until
K
analyzed.
K 5. Refrigerated storage of shellstock does not exceed 48 hours.
K 6. If shellstock is refrigerated, only live animals are used in the analysis.
7. If shellfish are shucked in a location other than the laboratory, they must be prepared according to
K
steps 1-9 in "Preparation of Sample" section below.
Preparation of Sample
C 1. At least 12 animals are used per sample.
O 2. The outside of the shell is thoroughly cleaned with fresh water.
K 3. Shellstock are opened by cutting the adductor muscles.
C 4. Shell liquor is discarded.
O 5. The inside of the shells is rinsed with fresh water to remove sand or other foreign material.
6. Shellfish meats are removed from the shell by separating the adductor muscles and tissue
K
connecting at the hinge.
K 7. Damage to the body of the mollusk is minimized in the process of opening.
K 8. 100 - 150 grams of meat are collected or all the available sample if there is less than 100 grams.
O 9. Shucked shellfish are drained on a #10 mesh sieve or equivalent without layering for 5 minutes.
K 10. Pieces of shell and drainings are discarded.
C 11. Drained meats are blended at high speed until homogenous (60-120 seconds).
C 12. Shellfish homogenates are digested within 2 hours of blending.
Digestion of Sample
1. All glassware used is clean and properly washed with a succession of at least three fresh water
K
rinses, and a final distilled/deionized rinse to remove residual detergent.
2. 100 grams (or entire sample amount if less than 100 grams is available) of homogenized sample is
K
weighted into a beaker.
3. 1 ml of concentrated HCl and 5 g NaCl is added to the 100 gram homogenate and thoroughly
C mixed. (For samples <100 g, add reagents to obtain final concentrations of 0.12N HCl and 5%
NaCl.)
4. The homogenate is brought to a boil and once 100 ± 1°C (sea level) is reached, gently boil for 5
C
minutes.
5. The beaker is covered with a watch glass or equivalent during boiling to prevent excessive
O
evaporation.
O 6. The homogenate is boiled under adequate ventilation (fume hood).
7. The boiled, acidified homogenate is cooled to room temperature or below in a refrigerator or in an
O
ice bath.
Extraction
1. All steps in the extraction procedure which involve any manipulation of diethyl ether are carried
C
out under adequate ventilation.
C 2. 100 ml of diethyl ether is added to the cooled, acidified homogenate in a stoppered centrifuge
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tube and shaken vigorously for 5 minutes.

3. Centrifuge tubes are vented frequently while being shaken and before being centrifuged to avoid
O
accidents.
C 4. The content of the centrifuge tubes are centrifuged at 2000 rpm for 10 to 15 minutes.
C 5. The clear upper ether phase is transferred to a large separatory funnel.
6. The contents of the centrifuge tube are extracted three additional times for a total of four times,
C each time with 100 ml of diethyl ether. The upper phases are combined together in the separatory
funnel (as in step 5).
7. The ether extract is transferred to a large, clean, dry pre-weighed beaker (discard any emulsion or
C
tissue that may have settled in the funnel.)
C 8. Ether is evaporated to dryness.
C 9. The final lipid residue is weighted and the weight is recorded.
Bioassay
1. The volume of the lipid residue is adjusted by weight to 10 ml (9.17 g) per 100 g shellfish
extracted using cottonseed oil. If a solvent with a density similar to cottonseed oil is used, the
C
volume is adjusted to a weight 10 times the density of the solvent. Specify the weight to which the
volume is adjusted to __________.
K 2. A 25 gauge hypodermic needle is used for injection.
3. Healthy male mice in the weight range of 17 to 23 grams from a stock colony are used for routine
C
assays. Stock strain used __________. Source of the mice _______
4. Mice are allowed to acclimate for at least 24 hours prior to injection. In some cases up to 48 hours
C
may be required. Typical length of the period of acclimation is _____________.
O 5. Mice are weighed to the nearest 0.1 gram.
C 6. The extract is completely mixed before it is injected.
C 7. Mice are injected intraperitoneally with 1 ml of the lipid extract.
8. A total of 5 mice are injected with undiluted or diluted extract as appropriate per sample in
routine assays.

a. The extract is not diluted when all test/assay mice survive beyond 110 minutes of injection.
C b. The extract is diluted when 2 of 2 test mice or 3 of 5 assay mice survive for fewer than 110
minutes after injection
c. When dilution is required, only dilutions which produce mean/median death times within
110 to 360 minutes of injection are used in the analysis.

C 9. The time of completed injection is recorded.

C 10. Mice are continuously observed for at least 6 hours (360 minutes).
11. If death occurs within the period of continuous observation, the time of death to the nearest
C
minute is noted by the last gasping breath.
12. If mice survive the test, the time of death is recorded as ">" the period of continuous
K
observation.
Calculation of Toxicity
1. The death time of each mouse is converted to mouse units (MU) using Table 8 in Recommended
C
Procedures, 4th Edition.
2. Table 8 is interpolated for death times between 110 and 360 minutes that are not listed in the
O
Table.
K 3. A weight correction in MU is made for each mouse injected using Table 8 in Recommended
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Procedures, 4th Edition.

O 4. Table 8 is interpolated to accommodate weights which are not listed.
5. The death time for each mouse in MU is multiplied by a weight correction in MU to give the
C
corrected mouse unit (CMU) for each mouse.
6. The mean corrected mouse unit of the array of corrected mouse units (CMU) is used when all the
C
mice injected with diluted or undiluted extract die during the period of continuous observation.
7. The median corrected mouse unit of the array of corrected mouse units (CMU) is used when at
C
least one mouse either survives the test or dies.
8. The concentration of toxin is determined by the formula: Mean or median CMU x Dilution Factor
C
x 10.
9. When the time of death is known for certain for all mice injected, toxicity is determinate and the
C
toxin concentration is reported as the number of mouse units per 100 grams of sample.

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LABORATORY: DATE OF EVALUATION:

SHELLFISH LABORATORY EVALUATION CHECKLIST

SUMMARY OF NONCONFORMITIES
Page Item Observation Documentation Required

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LABORATORY STATUS
LABORATORY DATE
LABORATORY REPRESENTATIVE:
NEUROTOXIC SHELLFISH POISON COMPONENT:
A. Results

Total # of Critical (C) Nonconformities ____________________

Total # of Key (K) Nonconformities ____________________

Total # of Critical, Key and Other (O) nonconformities ____________________

B. Criteria for Determining Laboratory Status of the NSP Component

1. Does Not Conform Status The NSP component of this laboratory is not in conformity with NSSP
requirements if:

A. The total # of Critical nonconformities is ≥ 3 or

B. The total # of Key nonconformities is ≥ 6 or

C. The total # of Critical, Key and Other is ≥ 10

2. Provisionally Conforms Status: The NSP component of this laboratory is determined to be provisionally
conforming to NSSP requirements if the number of critical nonconformities is ≥ 1 but < 3
C. Laboratory Status (circle appropriate)

Does Not Conform Provisionally Conforms Conforms

Acknowledgment by Laboratory Director/Supervisor:

All corrective Action will be implemented and verifying substantiating documentation received by the
Laboratory Evaluation Officer on or before ____________________

Laboratory Signature:_________________________ Date:___________________

LEO Signature:______________________________ Date:___________________

NSSP Form Lab -100 Analysis for NSP (Mouse Bioassay) 2005-08-19

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Section IV. Guidance Documents

Chapter II. Growing Areas
.12 Bacteriological Examination of Shellfish Shipments Page 1 of 2

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Description: Flow chart showing the decision making process following bacteriological examination of
shellstock and shucked shellfish shipments.

If the Authority determines there are unsatisfactory shipping conditions that are prima facie conditions for
rejection, the fate of product is adjudicated and the State Shellfish Control Authority (SSCA) at the point
of origin is notified.

If the Authority determines that unsatisfactory shipping conditions exist other than those for prima facie
rejection, the Authority shall hold the shipment and analyze five random samples for fecal coliform and
standard plate count.

If the sample results are satisfactory, no action is indicated.

For fecal coliform, sample results are unsatisfactory when any one sample exceeds an MPN of 330 fecal
coliforms or when two or more out of five exceed an MPN of 230 but are less than or equal to an MPN of
330 fecal coliforms. If the samples are determined unsatisfactory for fecal coliform then they shall be
analyzed for E. coli. For E. coli., sample results are unsatisfactory when any one sample exceeds an MPN
of 330 or when two or more out of five exceed an MPN of 230 but are less than or equal to an MPN of
330. If the sample is unsatisfactory for E. coli. the shipment shall be rejected. If the E. coli results are
satisfactory, the shipment is considered conditional and may be shipped. In such cases the Authority
should consider reclassification of the area as restricted, conditionally restricted, or prohibited, based on a
risk assessment or the significance of the organism, action level or level of concern and criteria
exceedance.

For standard plate count, sample results are unsatisfactory when any one sample exceeds 1,500,000/g or
when two or more out of five exceed 500,000/g but are less than or equal to 1,500,000/g. Shipments
having unsatisfactory plate counts shall be considered conditional and may be shipped. In such cases the
Authority should consider reclassification of the area as restricted, conditionally restricted, or prohibited,
based on a risk assessment or significance of the organism, action level or level of concern and criteria
exceedance.

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.13 Protocol for Reviewing Classification of Areas Implicated

by Pathogens in Shellfish Meat Samples

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.13 Protocol for Reviewing Classification of Areas Implicated
by Pathogens in Shellfish Meat Samples Page 2 of 4

PROTOCOL FOR REVIEWING CLASSIFICATION OF AREAS IMPLICATED BY

PATHOGENS IN SHELLFISH MEAT SAMPLES

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by Pathogens in Shellfish Meat Samples Page 3 of 4

Footnotes
1
FDA has established action levels or levels of concern for certain microbial pathogens in molluscan
shellfish. The Agency will consider enforcement action against the shipment of molluscan shellfish if the
following levels of pathogens are detected:

• Salmonella - positive for the presence of the organism;

• Enterotoxigenic Escherichia coli (ETEC) - 1,000 per gram, heat-labile toxin (LT) or heat-stable
enterotoxin (ST) positive (may be determined by MPN method);
• Vibrio cholerae - presence of toxin-producing 01 or non-01 organisms;
• Vibrio parahaemolyticus - levels equal to or greater than a MPN count of 10,000 per gram and
Kanagawa positive or negative; and
• Staphylococcus aureus - positive for staphylococcal enterotoxin or when the viable MPN count
is 10,000 per gram.
2
Other pathogens under review include: Listeria monocytogenes, non-toxin producing non-01 Vibrio
cholerae, and Vibrio vulnificus. In the absence of an established action level or level of concern for these
pathogens, enforcement action is considered on a case-by-case basis taking into account all the factors
associated with the specific situation.

Description: Two flow charts showing the process for reviewing the classification of growing areas
implicated by pathogens in shellfish meat samples.

The first flow chart describes the procedure to follow when positive human pathogens are isolated from
shellfish meat samples and there have been associated illnesses. The second chart describes the process
when positive human pathogens are isolated from shellfish meat samples from a growing area in the
absence of illness.

Upon determination by the State Shellfish Control Authority (SSCA) of positive human pathogen
isolation in meat samples from a growing area with associated illnesses, the SSCA shall review the
following minimum factors: (1) Traceability of product, (2) Sanitary survey/classification of the growing
area, and (3) Patrol and enforcement. If a problem is found in one of these three factors, the SSCA shall
take action as indicated in Model Ordinance Chapter II.

Concurrent with review of the three factors described above the SSCA shall evaluate distribution and
handling of the shellfish. This may include additional sampling and performance of a time/temperature
audit of the product.

If a distribution, handling, sanitary survey, classification of the growing area, patrol or enforcement
problem is found, but positive sample results continue to occur, the SSCA shall take action as indicated in
Model Ordinance Chapter II.

If no distribution, handling, sanitary survey, classification or the growing area, patrol or enforcement
problem is found, but positive sample results continue to occur, the SSCA shall take action as indicated in
Model Ordinance Chapter II.

The second flow chart describes the procedure to follow when positive human pathogens are isolated
from shellfish meat samples in the absence of illness.
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If there is an established action level or level of concern for the pathogen detected and that level is
exceeded then the area shall be closed1. In such cases the SSCA and Food and Drug Administration
(FDA) will develop an agreed upon sampling plan with criteria for opening the area that is closed. If the
reopening criteria are not exceeded, the area can be reopened. If the reopening criteria are exceeded, the
area shall remain closed and be considered for reclassification as restricted, conditionally restricted, or
prohibited, based on a risk assessment or the significance of the organism, action level or level of concern
and criteria exceedance.

If the established action level or level of concern is not exceeded, then the area can remain open.

If there is not an established action level or level of concern for the pathogen detected, the state
epidemiologist shall conduct a risk assessment2. If the risk is determined acceptable, the area can remain
open. If the risk is determined unacceptable, the area shall be closed and considered for reclassification as
restricted, conditionally restricted, or prohibited, based on a risk assessment or the significance of the
organism, action level or level of concern and criteria exceedance.

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.14 Calculating the 90th Percentile for End-Product Depurated Shellfish

Process verification in depuration is performed continuously to ensure that the microbial contaminant
load is being effectively reduced. Two indices of performance, the geometric mean and the 90th percentile
have been developed to describe the effectiveness of the depuration process. Critical limits for these
parameters have been established empirically by shellfish species. For soft clams (Mya arenaria), a
geometric mean of 50 and a 90th percentile of 130 have been set. For hard clams, oysters, manilla clams
and mussels, a geometric mean of 20 and a 90th percentile of 70 have been adopted.

Geometric means and 90th percentiles are determined daily or as end-product results become available
from the analysis of the most recent ten (10) consecutive harvest lots per species, per restricted harvest
area used. If the critical limits for either the geometric mean and/or the 90th percentile are exceeded, the
process is considered to be unverified; and, additional sampling requirements must be instituted to ensure
effective process control.

End-product depurated shellfish samples are analyzed using two different methods of recovery, a pour
plate procedure and a single dilution MPN test. Calculation of the 90th percentile for these samples is
complicated by the fact that fecal coliforms recovered by the MPN and ETCP methods follow different
statistical distributions. To accommodate these differences and maintain a high likelihood for detecting an
unacceptable amount of process variability without having to change or alter the formula used requires
the use of nonparametric or "distribution free statistics." Using "distribution free statistics," the 90th
percentile for end-product depurated shellfish samples is calculated by arraying the fecal coliform count
data in ascending order and applying the formula (n + 1)P/100.

As an example of the use of this formula, the Model Ordinance requires that the 90th percentile of the
fecal coliform analytical data be calculated from the most recent ten (10) consecutive harvest lots for each
shellfish species depurated from each restricted harvest area. Fecal coliform count data, whether from the
ETCP or MPN procedure for these ten (10) lots must be arrayed from the smallest to the largest value
using the arithmetic (not logarithmically transformed) count data. Applying the formula, n would equal 10
for the ten (10) most recent consecutive harvest lots required by the Model Ordinance. P, the percentile of
interest would be 90. Multiplying the formula out gives the position of the 90th percentile in the arrayed
data. Performing these calculations, 10 + 1 = 11, 11 x 90 = 990/100 = 9.9. Thus, the 90th percentile for
end-product depurated shellfish data is the value of the 9.9th sample in the ten (10) sample array.

Using the ten (10) samples as required by the Model Ordinance, the 90th percentile for end-product
depurated shellfish samples would always be the value of the 9.9th sample in the ascending array of the
arithmetic count data. To calculate this value from the arrayed data, interpolation between samples 9 and
10 is necessary. This is best illustrated using several samples.

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Example 1

For soft clams, the ten (10) most recent consecutive harvest lots from a particular restricted harvest
area produced the following end-product fecal coliform count data which has been arrayed in
ascending order for ease in calculation.

Sample # FC Count (MPN/100 grams)

1 8.9 (<9.0)
2 9.0
3 9.0
4 9.0
5 9.0
6 18
7 18
8 18
9 29
10 248

a. By convention and for the purpose of these calculations, fecal coliform counts that signify the
upper or lower limit of sensitivity of the test (MPN or ETCP) shall be increased or decreased by one
significant figure. For example <9.0 becomes 8.9, <17 becomes 16 and >248 becomes 250. Individual
plates which are too numerous to count (TNTC) are considered to have >100 colonies per plate. A
sample containing "TNTC" plates is collectively rendered as having a count of 10,000.

b. The 90th percentile for a ten (10) sample array is the 9.9th sample in the array. The value for the
9.9th sample in the array is interpolated by subtracting the value for sample #9 from the value for
sample #10 in the array. This value is subsequently multiplied by 0.9 and then added to the value of
sample #9 to give the value for the 9.9th sample in the array or the 90th percentile.

c. In this example, sample #9 which is 29 is subtracted from sample #10 which is 248 to give 219.
219 is subsequently multiplied by 0.9 to give 197.1. 197.1 is then added to the value of sample #9,
which is 29 to give 226.1. Rounding this off to 226, the value of the 90th percentile becomes 226.

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Example 2

Soft clams from another restricted harvest area produced the following end-product depurated fecal
coliform counts which have been arrayed in ascending order for ease in calculation.

Sample # FC Count (MPN/100 grams)

1 16 (<17)
2 16 (<17)
3 16 (<17)
4 17
5 17
6 33
7 50
8 50
9 67
10 84

In this example as above, the 90th percentile equals the value of the 9.9th sample in this ten (10) sample
array. The value for the 9.9th sample in the array is interpolated by subtracting the value of sample # 9
which is 67 from the value of sample #10 which is 84 to give 17. 17 is then multiplied by 0.9 to give 15.3
which is added to the value of sample #9 which is 67 to give 82.3. Rounding this value off to 82, the
value for the 90th percentile becomes 82.

Example 3

In this case, oysters from a restricted harvest area produced the following end-product depurated fecal
coliform counts which have been arrayed in ascending order for ease in calculation.

Sample # FC Count (MPN/100 grams)

1 8.9 (<9.0)
2 8.9 (<9.0)
3 8.9 (<9.0)
4 8.9 (<9.0)
5 9.0
6 9.0
7 9.0
8 18
9 88
10 88

In this example as in the other two, the 90th percentile equals the value of the 9.9th sample in the ten (10)
sample array. Unlike the other two examples, however, the values for samples # 9 and #10 are identical
making interpolation unnecessary in finding the value for the 9.9th sample in this array. This value is by
convention identical to the value for samples #9 and #10. In this case, the value is 88.
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Conditional Protocol

In examples 1 and 3 above, the values of the 90th percentiles calculated exceeded the critical limits set for
the individual shellfish species depurated. Such high levels of variability when detected in the
performance of the depuration process subsequently trigger the conditional protocol. Implementation of
the conditional protocol requires the institution of a number of additional control measures designed to
ensure adequate depuration. One such control measure involves the analysis of at least one (1) zero hour
shellfish sample from each harvest lot. Like end-product depurated shellfish samples, the Elevated
Temperature Coliform Plate Method may also be used for these analyses. However, the 12-tube, single
dilution MPN test must not be used because of its limited effective count range (from 9 to 248). Instead,
the 5-tube, 3-decimal dilution MPN test must be used to accommodate the expanded range in fecal
coliform counts which may be encountered.

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.15 Decision Tree - Shellfish from Non-MOU Countries

Description: Flow chart showing the steps that a state inspector should follow when he or she encounters
shellfish from a non-MOU country.

If the product is labeled cooked and determined to be cooked, the product should be released.

If the product is labeled cooked, but is determined to be uncooked, FDA will take action with assistance
from the State Shellfish Control Authority. Communication shall be maintained between agencies as to
the progress and outcome of actions.

If the product is not labeled, it is assumed to be raw and shall be treated as if it is from an unapproved
source. FDA will take action with assistance from the State Shellfish Control Authority (SSCA).
Communication shall be maintained between FDA and the SSCA regarding the progress and outcome of
actions.

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Chapter III. Harvesting, Handling, Processing, and Distribution

.01 Shellfish Industry Equipment Construction Guide Page 1 of 33

Introduction

Since 1925 the Public Health Service, the States and the shellfish industry have cooperated in a program
designed to maintain a high level of sanitation in the growing, harvesting, and processing of oysters,
clams and mussels to be marketed as a fresh or frozen product. The basic sanitary standards used in this
program are fully described in PHS Publication No. 33, Manual of Recommended Practice for Sanitary
Control of the Shellfish Industry, Parts I and II. General construction standards for equipment used by the
shellfish industry are an integral part of these basic standards.

The need for more specific construction guides for equipment used by the shellfish industry was reviewed
at the 1958 Shellfish Sanitation Workshop1 and the Public Health Service (PHS) was requested to initiate
development of such guides. As result of this request, the PHS developed drafts of equipment
construction guides. Agencies and organizations which received these initial drafts and thus contributed to
the development of the completed construction guides included: Oyster Institute of North America,
Bureau of Commercial Fisheries, Food and Drug Administration, Canadian Department of National
Health and Welfare, and two equipment manufacturing companies. The completed construction guides
were reviewed and adopted by the 1961 National Shellfish Sanitation Workshop. Subsequently, the 1993
annual meeting of the Interstate Shellfish Sanitation Conference asked FDA to review and update the
definitions to be consistent with other documents such as Model Code, Pasteurized Milk Ordinance,
National Sanitation Foundation, and Code of Federal Regulations. FDA agreed to provide an update to
the committee.

It is the purpose of this guide to describe construction and fabrication procedures which will ensure that
blower tanks, skimmers, returnable shipping containers, shellfish shucking buckets and pans and will
meet the equipment construction standard of the Cooperative program and the functional needs of the
industry. However, the development of new methods of equipment construction or fabrication with
acceptable materials, construction and fabrication is also encouraged. Therefore, shellfish equipment
specifications developed which differ in design, material, fabrication, or otherwise do not conform with
the following standards, but which in the fabricator's opinion are equivalent to or better may be submitted
for consideration.

Scope

This guide covers the sanitary construction aspects of (1) shellfish blower tanks, including the sanitary
piping for air, water, and drain lines; (2) the stand-supported skimmer, including the supporting stand; (3)
returnable shipping containers; (4) shellfish shucking buckets; (5) shellfish shucking pans; (6) tables; (7)
conveyors; (8) mechanical shucking devices.

This guideline will aid FDA, state regulatory officials and other interested individuals in making
evaluations of the materials, construction and fabrication of equipment used to collect, convey, store,
transport, process and package molluscan shellfish products.

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This guideline will also provide manufacturers with knowledge of what documentation reviewers might
expect them to provide in order to verify the acceptability of materials, construction and fabrication.

Definitions

1. Air break - A piping arrangement in which a drain from a fixture, appliance, or device discharge
indirectly into another fixture, receptacle, or interceptor at a point below the flood level rim.
2. Air Gap - The unobstructed vertical distance (twice the diameter of largest inlet pipe) through the
free atmosphere between the water inlet supplying a tank, plumbing fixture or other device and
the effective overflow level of the receptacle.
3. Air Under Pressure - The pressure of which has been increased by mechanical means to exceed
atmospheric pressure, and which is used for agitation of shucked shellfish.
4. Alternate Materials - Is whenever specific materials are mentioned, it is understood that the use
of materials proven to be equally satisfactory from the standpoint of sanitation and protection of
food is acceptable.
5. Blower - A tank-like device for immersion washing of shucked shellfish. Air may be introduced
at the bottom of the tank to produce agitation.
6. Coatings - The results of a process where a different material is deposited to create a new surface.
There is appreciable build-up of new material, typically more than 1µm.
7. Corrosion Resistant Materials - Those materials that maintain their original surface
characteristics under normal exposure to the foods being contacted, normal use of cleaning
compounds and bactericidal, and other conditions of use.
8. Cleaned-in-place - Refers specifically to the cleaning and sanitizing of food processing
equipment and piping in its assembled condition by recirculation of the necessary rinse, detergent
and sanitizing solutions under appropriate conditions of time, temperature, detergency and
physical action.
9. Dead End - Area or space wherein a product, ingredient, cleaning, or sanitizing agent, or other
extraneous matter may be trapped, retained or not completely displaced during operational or
cleaning procedures.
10. Drain gate and chute - The opening located either in the blower or skimmer through which the
washed shellfish are eliminated.
11. Drain valve - The valve through which the wash water is released to the floor or waste line.
12. Easily Cleanable - A surface which is readily accessible and is made of such materials, has a
finish and is so fabricated that residue may be effectively removed by normal cleaning methods.
13. Equipment - Blower, skimmer, tables, shucking benches, can seamer, sinks, refrigerators, and
similar items other than utensils, used in the operation of a shellfish processing facility.
14. Filter Media - Filters for the air intake of a blower shall consist of fiberglass with down stream
backing dense enough to prevent fiberglass break off from passing through, cotton flannel, wool
flannel, non-woven fabric or other suitable materials which under conditions of use, are non-toxic
and nonshedding and which do not release toxic volatile or other contaminants to the air, or
volatile which may impart any flavor or odor to the product.
15. Flood Level Rim - The edge of the receptacle from which water overflows.
16. Food contact surface - Surface of equipment or a utensil which food normally comes into
contact; or a surface of equipment or a utensil from which food or liquid may drain, drips, or
splash into a food; or onto a surface normally in contact with food. Food contact surfaces include,
but are not limited to, equipment and utensils such as; shucking knives and handles, shucking
hammers and handles, shucking blocks, ice scoops and shovels, ice bins, skimmer
17. Metals - Metals which are nontoxic, nonabsorbent and corrosion resistant under conditions of
intended use.
18. Nonfood Contact Surfaces - All exposed surfaces other than food or splash contact surfaces.
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19. Nontoxic Materials - Materials which are free of substances which may render shellfish injurious
to health or which may adversely affect the flavor, odor, composition or bacteriological quality of
the product and which meet the requirements of the Federal Food Drug and Cosmetic Act as
amended.
20. Plastic - A material that contains as an essential ingredient an organic substance of high
molecular weight, is solid in its finished state, and at some stage in its manufacture or in its
processing into finished articles, can be shaped by flow.
21. Rim - An unobstructed open edge of a fixture.
22. Readily accessible - Exposed or capable of being exposed for cleaning and inspection without the
use of tools.
23. Readily Demountable or Removable - Capable of being taken away from a unit with the bare
hands or the use of simple tools such as screwdriver, pliers or an open end wrench.
24. Returnable Shipping Container - Multiple use container for holding or shipping of shucked
shellfish.
25. Safe Materials - Articles manufactured from or composed of materials that may not reasonably be
expected to result, directly or indirectly, in their becoming a component or otherwise affecting the
characteristics of any food.
26. Sealed - Free of cracks or other openings that permit the entry or passage of moisture.
27. Molluscan Shellfish - All edible species of oysters, clams, mussels and whole scallops or roe-on
scallops (scallops are excluded when the final product is the shucked adductor muscle only).
Shellfish products which may contain any material other than the meats and /or shell liquor of
oysters, clams, mussels or scallops will be regarded as a "processed food" and will not be
included in the Cooperative Program.
28. Shellfish Shucking Bucket - Containers for temporarily holding shucked shellfish during the
shucking process.
29. Shellfish Shucking Pan - Containers for temporarily holding shucked shellfish during the
shucking process.
30. Shucked Shellfish - Shellfish, or parts thereof, which have been removed from their shells.
31. Single Service Articles - Any metal or plastic containers, lids and closures, wrapping materials
such as burlap or hessian bags and similar materials intended for one-time use, one person use
and then discarded.
32. Skimmers - A perforated tray in which shucked shellfish are sprayed washed and/or drained.
33. Skimmers Paddle - The utensils used as the gate on the skimmer exit chute and/or one used to
scrape the product through the exit chute.
34. Smooth - A surface free of pits and inclusions having a clean ability or better than the following:
(a) food contact a No. 4 (150 grit) or better finish as obtained with silicon carbide, properly
applied on stainless steel surface;
(b) Non-food contact surfaces free of visible scale.
35. Splash Contact Surfaces - Any surfaces other than food contact surfaces which are subject to
routine splash (wet or dry), spillage and contamination during normal use.
36. Toxic - Having an adverse physiological effect on man.
37. Utensils - Any implement used in the preparation, transportation, and storage of molluscan
bivalves such as shucking knives, skimmer paddles, strainers, shucking buckets, shucking pans,
etc.
38. Weld - Permanent seams or joints. When welded seams are used, the weld area and the deposited
material shall be as corrosion-resistant as the parent material.

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Materials

I. Metals

A. Stainless Steel

Stainless steel is a family of iron based alloys that must contain at least 10.5% Chromium
(Cr). The presence of chromium creates an invisible surface film that resists oxidation
and makes the material "passive" or corrosion resistant (i.e. "stainless"). This family can
be simply and logically grouped into five (5) branches. Each of these branches has
specific properties and a basic grade or "type." In addition, further alloy modifications
can be made to "tailor" the chemical composition to meet the needs of different corrosion
conditions, temperature ranges, strength requirements, or to improve welding, machine,
work hardening and form.

Stainless is designated by three different systems: Metallurgical structure - Austenitic;

Grade - 304 (most used see photos 1 and 2 for Polish No. 3 and No 4) and Unified
Numbering System UNS.

Stainless steel product contact surfaces of the American Iron and Steel Institute (AISI)
303, 304, 316 Series3 or corresponding Alloy Cast Institute (ACI) types.4 Cast grades of
stainless steel corresponding to types 303, 304, and 316 are designated CF-16F, CF-8,
and CF-8M, respectively. The chemical compositions of these cast grades are covered by
ASTM specifications A351/A351M, A743/A743M and A744/A744M.5 Metal which
under conditions of intended use is at least as corrosion resistant as stainless steel of the
foregoing types, and is nontoxic and nonabsorbent, can also be used, except that:
Equipment may also be made of stainless steel of the AISI 400 Series that is made as
corrosion resistant as AISI 300 Series by surface treatment or coating(s) or made of
nontoxic, nonabsorbent metal that is as corrosion resistant, under the conditions of
intended use, as stainless steel of the AISI 300 Series.

B. Optional Metal Alloys

Metal alloy of the following types may be used but only in applications requiring
disassembly and manual cleaning. (See Table 1; values are in percentages). Equipment
made of optional metal alloy may have product contact surfaces modified by surface
treating or coating.

Photo 1 – Stainless Steel Type304, No.3

Polish satisfactory for many industrial and commercial products requiring a good
polished surface. Typical applications include vent hoods.

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Photo 2 - Stainless Steel Type 304, No.4

Polish is exceptionally uniform normally used without further finishing. This is the
established standard for dairy and food processing equipment because it is easy to keep
clean and sanitary.

C. Electroless Nickel Alloy Coating

An electroless nickel alloy coating having the following composition is acceptable:
• Nickel — 90% minimum
• Phosphorous — 6% minimum and 10% maximum as supersaturated solution of
nickel phosphide in nickel
• Trace amounts of carbon, oxygen, hydrogen and nitrogen
• No other elements

Equipment to be manually or mechanically cleaned may be covered by an engineering

coating of electroless nickel alloy conforming to the applicable provisions of military
specification MIL-C-26074 E, as amended. 6

Equipment may also be made of other nontoxic structurally suitable metal(s) that have
their product contact surfaces modified by surface coating(s).

D. Solder
Solder, when used, should be silver bearing solder and should be corrosion resistant, free
of cadmium, lead and antimony, nonabsorbent, and should not impart any toxic substance
to the product when exposed to the conditions encountered in the environment of
intended use and in cleaning and bactericidal treatment (or sterilization).

Table 1 -- Optional Metal Alloys

UNS UNS UNS UNS UNS
UNS UNS UNS
NO8367 S21800 S17400 S15500 R20500
N26055 N26455 R50400
ASTM ASTM UNS ASTM ASTM UNS ASTM
ASTM ASTM ASTM
A743 A743 S20161 A747 A747 S32900 A560
A494 A494 B67
Grade Grade Grade Grade Grade
Grade Grade Grade
CN- CF-10 CB7Cu- CB7Cu- 50Cr-
CY5SnBiM CW-2M C-2
3MN SMnN 1 2 50Ni
C 0.03 0.1 0.015 0.05 0.02 0.07 0.07 0.2 0.1 0.1
7.00 - 4.00 -
Mn 2.00 1.5 1.00 0.70 0.70 1.00 0.30
9.00 6.00
3.50 - 3.00 -
Si 1.00 0.5 0.80 1.00 1.00 0.75 1.00
4.50 4.00
P 0.040 0.040 0.040 0.03 0.03 0.035 0.035 0.040 0.02

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S 0.010 0.030 0.040 0.03 0.03 0.03 0.03 0.030 0.02

20.0- 16.00 - 15.0 - 15.0 - 5.50- 14.0- 23.0- 48.0 -
Cr 11.0 - 14.0
22.0 18.00 18.0 17.5 17.7 15.5 28.0 52.0
23.5- 8.00- 4.00- 3.60- 4.50- 2.5-
Ni Balance Balance Balance
25.5 9.00 6.00 4.60 5.50 5.0
15.0- 1.0-
Mo 6.0-7.0 2.0-3.5
17.5 2.0
0.15- 0.15-
Cb
0.35 0.35
2.5- 2.5-
Cu 0.75
3.2 3.2
0.18- 0.08- 0.08-
N 0.05 0.05 0.30
0.26 0.18 0.020
Fe Balance Balance Balance 2.00 2.00 Balance Balance Balance 1.00 0.30
3.0-
Sn
5.0
3.0-
Bi
5.0
W 1.0
Tl 0.50 Balance
Al 0.25
H=0.015
Other N=0.03
O=0.25

NOTE: Metal alloys or metals other than the above may be as corrosion resistant as 300
Series Stainless steel. This may be shown when metal alloys or metals are tested in
accordance with ASTM G31 Laboratory Immersion Corrosion Testing of Metals and
have a corrosion rate of less than 20 mil per year. The test parameters such as the type of
chemical(s), their concentration(s) and temperature(s) should be representative of
cleaning and sanitizing conditions used in dairy equipment. Alloys containing lead,
leachable copper or other toxic metals should not be used.

E. Aluminum
Aluminum is satisfactory for certain dry products applications. Aluminum may be used
for liquid or high moisture content product contact surfaces only when a specific
functional requirement exists and the parts are not subjected to strong caustic cleaning
solutions or to the corrosive action of dissimilar metals.

The aluminum type chosen for the application shall be demonstrated to be appropriate
and acceptable for the intended use. (Provisions have been made in existing 3-A (dry
product) Standards for Aluminum Association designations 5052, 6061, 6063, A-360, A-
380, A-319, A-315G, and C-413, Danish Standards DS#3002 and #4261, and ASTM
standards B179, and S12c for certain specified uses.)

F. Nonmetals
Non-metallic materials may be used for food contact and non-food contact equipment and
service items. When utilized these materials shall be in compliance with appropriate
sections of the 21 Code of Federal Regulations, Parts 170-199 (21 CFR 170-199).
These materials shall be relatively inert, resistant to scratching, scoring, and distortion by
the temperature, chemicals, and methods to which they are normally subjected in
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operation, or by cleaning and bactericidal treatment. They shall be non-toxic, fat resistant,
relatively non-absorbent, relatively insoluble and shall not release component chemicals
or impart a flavor to the product.
(1) Rubber and rubber-like materials may be used where functionally appropriate.
Rubber and rubber-like materials when used for the above specified
application(s) should conform with the applicable provisions of the "3-A Sanitary
Standards for Multiple-Use Rubber and Rubber-Like Materials Used as Product
Contact Surfaces in Dairy Equipment", Number 18- (or equivalent).
(2) Plastic materials may be used where functionally appropriate.
Plastic materials when used for the above specified application(s) should
conform with the applicable provisions of the "3-A Sanitary Standards for
Multiple-Use Plastic Materials Used as Product Contact Surfaces for Dairy
Equipment," number 20 - (or equivalent).
When used in sight and/or light openings and as direct reading gauge tubes,
plastic should be of a clear, heat resistance type.
(3) Durability of rubber and plastic Rubber and rubber-like materials and plastic
materials having product contact surfaces should be of such composition as to
retain their surface and conformational characteristics when exposed to the
conditions encountered in the environment of intended use and in cleaning and
bactericidal treatment (or sterilization).
(4) Bonded RubberThe final bond and residual adhesive, if used, on bonded rubber
and rubber-like materials and bonded plastic materials should be nontoxic7.

G. Materials for Non-product Contact Surfaces

Materials for non-product contact surfaces should be of corrosion-resistant material or
material that is rendered corrosion resistant. If coated, the coating used should adhere. All
non-product contact surfaces should be relatively nonabsorbent, durable, and cleanable.
Parts removable for cleaning having both product contact and non-product contact
surfaces should not be painted.

II. Fabrication

A. Surface Texture
All product contact surfaces should have a finish at least as smooth as No. 4 ground
finish on stainless steel sheets and be free of imperfections such as pits, folds and
crevices in the final fabricated form. Surface finish equivalent to 150 grit or better as
obtained with silicon carbide, properly applied on stainless steel sheets, constitutes a
No.4 ground finish. A maximum Ra of 32 micro-inch (0.80), when measured according
to the recommendations in ANSI/ASME B46.18 - Surface Texture, is considered to be
equivalent to a No. 4 finish.

B. Permanent Joints
(1) Welding
Where welding is involved, the carbon content of the stainless steel should not
exceed 0.08%.

All permanent joints in metallic product contact surfaces should be continuously

welded. Welded areas on product contact surfaces should be at least as smooth as
No. 4 ground finish on stainless steel sheets, and be free of imperfections such as
pits, folds, and crevices when in the final fabricated form except that:
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(2) Soldering
In such cases where welding is impractical, soldering, may be employed where
necessary for essential functional reasons. Silver bearing solder may be used for
producing fillets for minimum radii or other appropriate functional purposes.
(3) Press fits or shrink-fits
Press-fits or shrink-fits may be used to produce crevice free permanent joints in
metallic product contact surfaces when neither welding nor soldering is practical.
Joints of these types may only be used to assemble parts having circular cross
sections, free of shoulders or relieved areas. For example: they may be used to
assemble round pins or round bushings into round holes. In both of these fits the
outside diameter of the part being inserted is greater than the inside diameter of
the hole.
In the case of the press-fit the parts are forced together by applying pressure. The
pressure required is dependent upon the diameter of the parts, the amount of
interference and the distance the inner member is forced in.
In shrink-fits, the diameter of the inner member is reduced by chilling it to a low
temperature. Dry ice is commonly used to shrink the inner member. Heat may
also be applied to the outer member of the press-fit. Less assembly force is
required for this type of fit.
The design of these fits depends on a variety of factors. The designer should
follow recommended practices to assure that a crevice-free joint is produced. A
recognized authoritative reference is Machinery’s handbook published by
Industrial Press Inc., 200 Madison Avenue, New York, NY 10157.
(4) Surface finish
Press-fitting, shrink-fitting or soldering should produce contact surfaces which
are at least as smooth as No. 4 ground finish on stainless steel sheets and which
are free of imperfections such as pits, folds and crevices.

C. Bonded Materials
Bonded rubber and rubber-like materials and bonded plastic materials having product
contact surfaces should be bonded in a manner that the bond is continuous and
mechanically sound so that when exposed to the conditions encountered in the
environment of intended use and in cleaning and bactericidal treatment (or sterilization if
applicable) the rubber and rubber-like material or the plastic material does not separate
from the base material to which it is bonded.

D. Coatings
Coatings, if used, should be free from surface delamination, pitting, flaking, spalling
(chipping), blistering and distortion when exposed to the conditions encountered in the
environment of intended use and in cleaning and bactericidal treatment (or sterilization).

E. Cleaning and Inspection

Equipment that is to be mechanically cleaned should be designed so that the product
contact surfaces and all non-removable appurtenances thereto can be mechanically
cleaned and are easily accessible and readily removable for inspection. Removable parts
shall be readily demountable employing simple hand tools, which are available to
operating or cleaning personnel; except that equipment that is to be CIP cleaned should
have representative product contact surfaces easily accessible for inspection.

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Product contact surfaces, not designed to be mechanically cleaned, should be accessible

for cleaning and inspection when in an assembled position or when removed.

Appurtenances having product contact surfaces should be readily removable using simple
hand tools or they should be cleanable when assembled or installed and should be easily
accessible for inspection.

F. Draining
All product contact surfaces, when properly installed, should be self-draining except for
normal clingage. However, if the product contact surfaces are not self-draining, they
should have sufficient pitch to suitable drain points so they can be drained.

G. Fittings, Valves, Instruments and Similar Appurtenances

Sanitary fittings and connections which conform with the appropriate 3-A Sanitary
Standards are acceptable. All other fittings must be reviewed using the criteria in this
document.

The thermometer connections and/or openings, if provided or required, should be located

so that the thermometer is not influenced by a heating or cooling jacket.

If the fittings for temperature sensing devices do not pierce the tank lining, either the
temperature sensing element receptacles should be securely attached to the exterior of the
lining or means to attach the temperature sensing element(s) securely to the exterior of
the lining should be provided.

H. Sanitary Tubing
All metal tubing should conform with the applicable provisions for welded sanitary
product pipelines found in the 3-A Accepted Practices for Permanently Installed Product
and Solution Pipelines and Cleaning Systems Used in Milk and Milk Product Processing
Plants, Number 605- or equivalent and with the 3-A Sanitary Standards for Polished
Metal Tubing for Dairy Products, Number 33- or equivalent.

I. Gaskets
Gaskets having a product contact surface should be removable or bonded.
Grooves in gaskets should be no deeper than their width unless the gasket is readily
removable and reversible for cleaning, (i.e., storage tank door gaskets).
Gasket retaining grooves in product contact surfaces for removable gaskets should not
exceed 1/4" (6.35 mm) in depth or be less than 1/4" (6.35 mm) wide except those for
standard O-rings smaller than 1/4" (6.35 mm) and those allowed in the 3-A Standard for
Sanitary Fittings, Number 63.

J. Radii
All internal angles 135° or less on product contact surfaces should have a minimum radii
of 1/4" (6.35 mm) except that:
(1) Minimum radii for fillets of welds where head(s) and the side wall(s) of tanks
join should not be less than 3/4" (19.05 mm).
(2) Smaller radii may be used when they are required for essential functional
reasons. In no case should such radii be less than 1/32" (0.794 mm).
(3) The radii in gasket retaining grooves or grooves in gaskets should be not less
than 1/16" (1.59 mm) except for those standard, 1/4" (6.35 mm) and smaller O-
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rings, and those provided for in the "3-A Standards for Sanitary Fittings",
Number 63.
(4) The radii in grooves for standard 1/4 in. (6.35 mm) and smaller O-rings should be
at least:
ƒ 0.016 in. (0.406 mm) for 1/16 in. (1.59 mm) O-rings
ƒ 0.031 in. (0.787 mm) for 3/32 in. (2.38 mm) O-rings
ƒ 0.031 in. (0.787 mm) for 1/8 in. (3.18 mm) O-rings
ƒ 0.062 in. (1.575 mm) for 3/16 in. (4.76 mm) O-rings
ƒ 0.094 in. (2.388 mm) for 1/4 in. (6.35mm) O-rings

K. Threads
There should be no threads on product contact surfaces accept where necessary for non-
permanent joints in piping and for making various attachments to equipment.
In such case(s) the threads should conform with the "Acceptable Sanitary Thread". The
thread angle should be not less than 60° and with not more than eight threads to the inch
(25.4 mm), nor less than 5/8" (15.88 mm) major basic diameter. The length of the nut
should not exceed three-quarters of the basic thread diameter. The nut should be of the
open type. Equipment with exposed threads as described above should be manually
cleaned. Equipment with enclosed threads, (such as "acorn" nuts used to attach impeller
blades to pump shafts), should be designed for mechanical cleaning.

L. Perforated Product Contact Surfaces

Perforations in product contact surfaces may be round, square, or rectangular. If round
the holes should be a minimum of 1/32" (0.794 mm) in diameter. If square, or
rectangular, the least dimension should be no less than 0.020" (0.51 mm) with corner
radii of no less than 0.0050" (0.13 mm). All perforations should be free of burrs.

M. Shafts and Bearings

Shafts entering equipment should have a seal of the packless type and sanitary design,
and should be readily accessible for cleaning and inspection.

Where a shaft passes through a product contact surface, in a milk room or processing
area, the portion of the opening surrounding the shaft should be protected to prevent the
entrance of contaminants.

Bearings having a product contact surface should be of a non-lubricated type.

Lubricated bearings, including the permanent sealed type, should be located outside the
product contact surface with at least 1" (25.4 mm) clearance open for inspection between
the bearing and any product contact surface unless specifically provided for in a 3-A
standards.

General Equipment and Service Items

I. Blower Tank

A. Material
(1) All product-contact surfaces shall be of A.I.S.I.2 Type No. 304 stainless steel or
equally corrosion resistant metal that is non-toxic and non-absorbent except that:

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(a) Plastic materials may be used for the blower tank drain gate and drain
valve. These materials shall be relatively inert, resistant to scratching, scoring,
and distortion by the temperature, chemicals, and methods to which they are
normally subjected in operation, or by cleaning and bactericidal treatment. They
shall be non-toxic, fat resistant, relatively nonabsorbent, relatively insoluble, and
shall not release component chemicals or impart a flavor to the product3.
(b) Rubber and rubber-like materials may be used for blower tanks paddles or
gate, drain gate, and drain valve. These materials shall be relatively inert,
resistant to scratching, scoring, and distortion by the temperature, chemicals, and
methods to which they are normally subjected in operation, or by cleaning and
bactericidal treatment. They shall be non-toxic, fat resistant, relatively non-
absorbent, relatively insoluble and shall not release component chemicals, nor
impart a flavor to the product.3
(2) All non-product contact surfaces shall be of inherently corrosion-resistant
material, shall be rendered corrosion-resistant, or shall be painted. Surfaces to be painted
shall be effectively prepared for painting; and the paint used shall adhere, be relatively
non-absorbent, and shall provide a smooth, cleanable and durable surface. Parts having
both product-contact and non-product-contact shall not be painted.

B. Fabrication
(1) All product-contact surfaces shall be at least smooth as No. 4 ground finish on
stainless steel sheets.
(2) All seams in product-contact surfaces shall be welded with the welds ground smooth
and polished to not less than a No. 4 finish. All outside seams shall be smooth and
waterproof. All weld areas and deposited weld material shall be substantially as
corrosion-resistant. (Figure 1)

(Figure 1) – Product contact surface seams

(3) All appurtenances, including drain gates and chutes having product-contact surfaces,
shall be easily removable for cleaning, or shall be readily cleanable in place.
(4) All product-contact surfaces shall be easily accessible, visible, and readily cleanable,
either when in an assembled position or when removed.
(5) All internal angles of 135° or less on product contact surfaces shall have minimum
radii of 1/4" (6.35 mm), except that minimum radii for fillets or welds in product-contact
surfaces may be smaller for essential functional reasons. In no case shall radii be less
than1/8" (3.18 mm). (Figure 2)

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Figure 2 – Internal angles of 135° or less on product contact areas

(6) All sanitary pipe fittings shall conform to "3-A Sanitary Standards for Fittings Used
on Milk and Milk Products Equipment," and supplements thereto.4 (Figure 3)

Figure 3 – Sanitary Pipe Fitting

(7) Nonproduct-contact surfaces shall have a smooth finish, be free of pockets and
crevices, and readily cleanable.

(8) Legs shall be of sufficient length to provide at least 12" (30.5 cm) clearance between
the lowest fixed point of the tank and the floor, shall be smooth with rounded ends, and
shall not hollow tube stock, they shall be effectively sealed. If legs are of hollow tube
stock, they shall be effectively sealed. (See Figures 4 and 5)

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Figure 4 – Blower Tank

Figure 5 – Close up for a smooth and rounded leg

(9) All threads on product-contact surfaces shall comply with specifications for threads
contained in the 3-A Sanitary Standards for Fittings.4

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(10) External and internal sections of the air pipe shall be easily cleanable to a point at
least two inches above the tank overflow level. (Figure 4)

(11) The false bottom shall be so constructed as to be as rigid and, in any event, of at
least 16 U.S. Standard gage stainless steel, or equivalent material. (Figure 6)

Figure 6 – Blower false bottom plate

(12) Perforations or slots in the false bottom shall not be less than 3/16 inch (4.76 mm) in
the minimum diameter and the end radius of the perforations shall be not less than 3/32
inch (2.38 mm). After perforation, the flat surface of the sheet from which the perforating
punch or drill emerges on the down stroke shall be polished to the equivalent of not less
than a No. 4 ground finish. (Figure 6)

(13) The compressing equipment shall be of such design so as to preclude contamination

of the air with lubricant vapors and fumes. The air supply shall be taken from a clean
space or from relatively outer air, and shall pass through a filter upstream from the
compressing equipment. This filter shall be so located and constructed that it is easily
accessible for examination, and the filter media are easily removable for cleaning or
replacing. The filter shall be protected from weather, drainage,

Figure 7 – Air pump

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(14) Air distribution piping, fittings, and gaskets between the downstream terminal filter
and any product or product contact surface shall conform to sanitary 3-A design.

(15) Air lines shall be easily cleanable construction to a point 2" (5.08 cm) above the tank
overflow. (Figure 4)

(16) Filter should be located as close as possible to point of use.

(17) Air distribution piping or manifold located inside the blower tank shall be designed
so as to preclude contamination of the product. This manifold shall be designed to be
easily removed from the tank and removable end caps to facilitate sanitary cleaning.
(Figures 8 and 9)

Figure 8 – Air manifold installed inside the blower tank

Figure 9 – Air manifold located inside tank

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(18) Perforations or slots in the manifold or air distribution pipe shall not be less than
1/8" (3.18 mm) in the minimum diameter. After perforation, the pipe from which the
perforation punch or drill emerges on the down stroke shall be polished to the equivalent
of not less than a No. 4 ground finish. (Figure 9)

(19) Wire mesh shall not be used as a filter.

(20) The blower tank shall be constructed so that it will not buckle or sag and so that it
will be self-draining. Product-contact surfaces shall be constructed of not less than 16
U.S. standard gage stainless steel or equivalent material.

(21) Maximum dimension of the tank from point of overflow to drain valve flange shall
not exceed 40" (101.6 cm).

(22) Drain valves and flange shall comply with the 3-A Sanitary Standards for Fitting
used on Milk and Milk Products Equipment. The flange shall be welded to the body of
the blower tank.

(23) There shall be no exposed screw, bolt, or rivet heads in product-contact surfaces.

II. Skimmers

A. Material

(1) All product-contact surfaces shall be of A.I.S.I. type No. 304 stainless steel, or
equally corrosion-resistant metal that is non-toxic and nonabsorbent, except that:

(a) Suitable plastic materials or rubber and rubber-like materials may be used for the
skimmer paddle or gate. These materials shall be relatively inert, resistant to
scratching, scoring, and distortion by temperature, chemicals, and methods to which
they are normally subjected in operation, or by cleaning and bactericidal treatment.
They shall be non-toxic, fat resistant, relatively nonabsorbent, relatively insoluble,
and shall not release component chemicals nor impart a flavor to the product.3

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Figure 10 – Photo front view of a skimmer

(2) All non product-contact surfaces shall be inherently corrosion-resistant, and except
for funnel drain, shall be painted. Surfaces to be painted shall be effectively prepared for
painting and the paint used shall adhere, be relatively nonabsorbent, and shall provide a
smooth, cleanable, and durable surface. Parts having both product and non product-
contact surfaces shall not be painted.

B. Fabrication

(1) All product-contact surfaces shall be at least as smooth as a No. 4 ground finish on
stainless steel sheets.

(2) All seams in product-contact surfaces shall be welded with the welds ground smooth
and polished to not less than a No. 4 ground finish. All outside seams shall be smooth and
waterproof. All weld areas and deposited weld metal shall be substantially as corrosion
resistant as the parent metal.

(3) All appurtenances having product-contact surfaces shall be easily removable for
cleaning, or shall be readily cleanable in place.

(4) All product-contact surfaces shall be easily accessible, visible, and readily cleanable,
either when in an assembled position or when removed. The skimmer shall be
demountable from the supporting stand for cleaning. (Figure 11)

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Figure 11 – Front view of skimmer frame; broken lines are the removable part
of the skimmer food contact area

(5) All internal angles of 135° or less on product-contact surfaces shall have minimum
radii of 1/4" (6.35 mm) except that minimum radii for fillets of welds in product-contact
surfaces may be smaller for essential functional reasons. (Figure 2)

(6) The skimmer shall be constructed so that it will not buckle or sag while in use, so that
both the perforated area and drainage funnel are self-draining, and so as to provide plane
surfaces free of depressions, indentations, or bulges which prevent draining when the
pitch is not greater than 1" (25.4 mm) in 50" (127 cm). (Corners and rims of a perforated
skimmer should be adequately reinforced to prevent damage from handling during
cleaning and bactericidal treatment.)

(7) The product-contact surfaces shall be constructed of not less than 16 U.S. standard
gage stainless steel or equivalent material. The perforations or slots in the strainer shall
be at least 1/4" (6.35 mm) in diameter or width, respectfully (Figure 12 and Dimension
A, Figure 13) and not more than 1 1/4" (31.75 mm) apart (Dimension B, Figure 13)5.
The strainer area shall have no perforations within 1/2" (12.7 mm) of the edge
(Dimension C, Figure 13).4 After perforations, the flat surface of the sheet from which
the perforating punch or drill emerges on the down stroke shall be polished to the
equivalent of not less than a No. 4 ground finish. No bracing for the skimmer or the
skimmer support stand shall block any perforations unless the brace is made of corrosion-
resistant material and fabricated in a manner suitable for a product-contact surface, and
unless it can be readily removed for cleaning. A minimum of 3 1/2" (8.89 cm) shall be
provided between the strainer and the top of the skimmer (Dimension E, Figure 13).

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Figure 12 – Skimmer perforations or slots in the strainer shall be at least 1/4 "
in diameter

Figure 13 – Skimmer cross sectional side view

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(8) A minimum vertical clearance of 2" (5.08 cm) shall be provided between the
perforated skimmer area and the drainage funnel. (Dimension D, Figure 13).

(9) The funnel drain shall have a discharge opening of a size sufficient to discharge the
drainage without pooling above, and be not less than equivalent to a diameter of 4"
(10.16 cm). The funnel drain shall terminate in a free discharge, a distance of at least 6"
(15.24 cm) above the floor or the drain connection if located at a higher elevation than
the floor. (Figure 13)

(10) There shall be no threads on product contact surfaces except as provided for in the 3-
A Sanitary Standards for Fittings.

(11) Legs shall be smooth with rounded ends, and have no exposed threads. If legs are of
hollow tube stock, they shall be effectively sealed. (Figure 5)

(12) Frames, frame legs, and supporting edge for the skimmer shall have:

(a) Structural parts not in contact with the product, and parts constructed with a
smooth finish so as to be readily cleanable.

(b) Self-draining exterior surfaces.

(c) A minimum of 6" (15.24 cm) of space between the lowest part of the frame and
the floor to provide ready access for cleaning legs and feet and those parts not readily
removable.

(13) The frame shall provide continuous support for the outside edge of the skimmer
strainer. (Figure 14)

Figure 14 – Skimmer frame table

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(14) The receiving-container shelf under the skimmer chute, where provided as an
integral part of the skimmer support frame, shall be constructed of nonabsorbent,
corrosion-resistant material and located so that the receiving-container rim will be at least
two feet above the floor. (Figure 14)

(15) All seams in the funnel drain area shall be smooth and waterproof, and substantially
as corrosion resistant as the parent metal.

(16) There shall be no exposed bolts, screws, or rivets in the product-contact surfaces.

(17) Caster, rollers can be mounted on the skimmer. These shall be of such material,
design and construction as to permit its being easily moved by one person. Casters shall
be so installed as to be easily cleanable.

(18) Reinforcing and framing members are to be placed in such a manner as to be easy to
clean. All framing and reinforcing members shall be so placed as to eliminate harborage
for vermin. The ends of all hollow sections of reinforcing and framing members shall be
closed.

(a) Horizontal angle reinforcing and gussets shall not be placed where food or debris
may accumulate thereon.

(b) Where angles are used horizontally, they shall have one leg turned down
wherever the nature of the equipment permits or shall be formed integral with the
sides.

(c) All vertical sections shall be either completely closed or open to the floor.

III. Returnable Shipping Containers

A. Material

(1) All metallic product-contact surfaces shall be of A.I.S.I. type No. 304 stainless steel
or Aluminum Association type No. 5052-0 alloy, or equally corrosion-resistant metal that
is nontoxic.

(2) Plastic materials may be used as a food-contact surface or non food-contact surface.
When used, these materials shall be relatively inert, resistant to scratching, scoring, and
distortion by the temperature, chemicals, and methods to which they are normally
subjected in operation, or by cleaning and bactericidal treatment. They shall be non-toxic,
fat resistant, relatively nonabsorbent, relatively insoluble, and shall not release
component chemicals or impart flavor to the product.3

(3) If constructed of stainless steel, the containers shall not be constructed of less than 20
gauge material. If constructed of aluminum alloy the material shall not have a thickness
less than 0.064" (1.63 mm).

(4) All non product-contact surfaces shall be of corrosion-resistant material, and shall
provide a smooth, cleanable, and durable surface.
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B. Fabrication

(1) All product-contact surfaces shall be at least as smooth as a number 4-ground finish
on stainless steel, or equivalent surface finish on aluminum.

(2) All internal angles of 135° or less on product contact surfaces shall have minimum
radii of 1/4" (6.35 mm).

(3) There shall be no seams, crevices, or other openings within the food-contact surfaces.

(4) The container rim shall be rolled so as to permit easy and complete cleaning. The
bead shall either be an open type with an external radii of not less than 3/16" (4.76 mm)
or a sealed closed type.

(5) The container lid shall be so constructed as to afford easy and complete cleaning,
shall be reasonably tight fitting, and a lip shall extend at least one inch down the outside
of the container. Provisions shall be made for sealing the container so that any tampering
will be evident. (See Figure 15)

Figure 15 – Returnable container with lid

(6) Handles shall be provided on 5-gallon or larger containers. The handles shall be
considered as a non product-contact surface.

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IV. Shucking Buckets and Pans

A. Material

(1) All metallic product-contact surfaces shall be of A.I.S.I. type No. 304 stainless steel
or Aluminum Association type No. 5052-0 aluminum alloy, or equally corrosion-resistant
metal that is nontoxic.

(2) Plastic materials may be used as a food-contact surface or non food-contact surface.
When used, these materials shall be relatively inert, resistant to scratching, scoring, and
distortion by the temperature, chemicals, and methods to which they are normally
subjected in operation, or by cleaning and bactericidal treatment. They shall be non-toxic,
fat resistant, relatively nonabsorbent, relatively insoluble, and shall not release
component chemicals or impart flavor to the product.3

(3) If constructed of stainless steel, the buckets shall not be constructed of less than 22
gauge material and the pans shall not be constructed with less than 24 gauge material or if
constructed of aluminum alloy, the material shall not have a thickness less than
0.064"(1.63 mm).

(4) All non product-contact surfaces shall be of corrosion-resistant material and shall
provide a smooth, cleanable, and durable surface.

B. Fabrication

(1) All product-contact surfaces shall be as smooth as a number 4 ground finish on

stainless steel or equivalent surface finish on aluminum.

(2) All internal angles of 135° or less on product-contact surfaces shall have minimum
radii of 1/4" (6.35 mm)

(3) The shellfish shucking bucket shall not exceed a nine-pint capacity, except for the soft
clam (Mya arenaria) shucking pan which shall not exceed a four pint capacity. (Figures
16 and 17)

Figure 16 – Mya arenaria shucking pan, four pint capacity

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Figure 17 – Oyster shucking bucket, nine pint capacity

(4) There shall be no seams, crevices or other openings within the food-contact surfaces,
except that two holes 180° apart shall be permitted in the side of each bucket near the top
to accommodate a removable ball-type handle. (See Figure 18)

Figure 18 – Shucking bucket handle 180° apart side by side

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(5) The container rim shall be so constructed as to afford maximum strength and
protection against damage, and shall be so rolled as to permit easy and complete cleaning.
The bead shall be open type with an external radii of not less than 3/16" (4.76 mm) or a
sealed closed type.

(6) The bail, if provided, shall be considered as contact surface and subject to material
specifications as outlined in paragraph A of this standard. The bail shall be not less than
3/16" in diameter (4.76 mm); it shall be so constructed that it will be held into place by
spring tension. The bail shall be so constructed that it can be easily removed from the
shucking bucket for cleaning purposes.

V. TABLES

A. Materials

(1) All metallic product contact surfaces shall be of A.I.S.I. type No. 304 stainless steel or
equally corrosion resistant metal that is nontoxic and non-absorbent.

(2) Only such materials shall be used in the construction of a table as will withstand wear,
penetration of vermin, the corrosive action of food, cleaning compounds and such other
elements as may be found in the environment. Such materials shall not impart an odor,
color, taste or toxic material to the food.

(3) Whenever alternate materials are used, the use of such materials proven to be equally
satisfactory from the standpoint of sanitation and protection of food is acceptable.

(4) All non-product contact surfaces shall be inherently corrosion resistant, and shall
provide a smooth, cleanable and durable surface. Parts having both product and non-
product contact surfaces shall not be painted.

B. Fabrication

(1) All product contact surfaces shall be at least as smooth as a No. 4 ground finish on
stainless steel sheets.

(2) All seams in product contact surfaces shall be welded with the welds ground
smooth and polished to not less than a No. 4 ground finish. All outside seams shall be
smooth and waterproof. All weld areas and deposited weld metal shall be substantially
as corrosion resistant as the parent metal.

(3) All product contact surface shall be easily accessible, visible and readily cleanable,
either when in an assembled position or when removed.

(4) All internal angles of 135° or less on product contact surfaces shall have minimum
radii of 1/4" (6.35 mm) except that minimum radii for fillets of welds in product
contact surface may be smaller for essential functional reasons.

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(5) The table shall be constructed so that it will not buckle or sag while in use, so as to
provide plane surface free of depressions, indentations, or bulges which prevents
draining when the pitch is not greater than 1" (2.54 cm).

(6) The product contact surfaces shall be constructed of not less than 16 U.S. standard
gauge stainless steel or equivalent material.

(7) The splash contact surfaces shall be of smooth, easily cleanable and corrosion
resistant materials, or they shall be rendered corrosion resistant with a material which is
non-cracking, non-chipping and non-spalling. Paint shall not be used.

(8) Non-food contact surfaces shall be smooth and of corrosion resistant material or
shall be rendered corrosion resistant or painted. Lead base paint shall not be used.

(9) When welded seams are used, the weld area and the deposited weld material shall
be as corrosion resistant as the parent material. The welded area surface requiring
routine cleaning in surface in contact with food shall be smooth.

(10) All exposed external angles or corners are to be sealed and smooth.

(11) All joints and seams in the food zone shall be sealed and shall be smooth as the
surfaces being joined. Wherever feasible and practical, equipment or parts in the food
zone shall be stamped, extruded, formed or cast in one piece.

(12) Exposed threads, screws, bolts and rivet heads, nuts shall be eliminated from the
food contact surfaces.

(13) Food contact surfaces which during the course of fabrication are so worked as to
reduce their corrosion resistant characteristics, shall receive such additional treatment
as is necessary to render, or to return them to a corrosion resistant state.

(14) All exposed edges and nosings on horizontal surfaces shall be integral with tops,
regardless of profiles, and where exposed to fingers and cleaning and cleaning they
shall be made smooth.

(a) Nosings shall be open 3/4" (19.05 mm) or completely closed against the body of
the unit on all sides to prevent the harborage of insects.

(b) The space between the top and the flange shall be not less than 3/4" (19.05 mm).

(c) The space between the sheared edge and the frame angle shall not be less than
3/4" (19.05 mm) to provide access for cleaning. (Figure 19)

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Figure 19 – Exposed edges and nosings on horizontal surfaces

(15) Legs and feet shall be non-absorbent and of sufficient rigidity to provide support
with a minimum cross bracing and so fastened to the body of the equipment.(Figure
20)

(a) When the outside dimension of the leg is greater that the outside dimension of the
foot by 1/2 " (12.7 mm) or more in the same plane, the foot shall, at minimum
adjustment extended 1" (2.54 cm) below the leg.

(b) All opening to hollow sections between feet and legs shall be drip proof
construction with no opening greater than 1/32" (0.794 mm) All other opening to
hollow sections shall be sealed.

(c) Gussets, when used, shall be assembled to the equipment in such a manner as to
insure easy cleanability and to eliminate insect harborage. The assembly shall have
no recessed areas or spaces. (Figure 21)

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Figure 20 – Legs and gussets

(16) Reinforcing and framing members not totally enclosed are to be placed in such a
manner as to be easy to clean. (Figure 21)

(a) All framing and reinforcing members shall be so placed as to eliminate harborage
for vermin.

(b) The ends of all hollow sections of reinforcing and framing members shall be
sealed.

(c) Horizontal angle reinforcing and gussets shall not be placed where food or
garbage may accumulate thereon.

(d) Where angles are used horizontally, they shall have one leg turned down
wherever the nature of the equipment permits, or shall be integral with the sides.

(e) All vertical sections shall be either completely closed or open to the floor.

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Figure 21 – Reinforcing and framing

VI. CONVEYORS

A. Materials

(1) Only those corrosion resistant materials capable of maintaining original surface
characteristics under the prolonged influence of the use environment, including the
expected food contact and normal use of cleaning compounds and sanitizing solutions.

(2) Belt materials shall be nontoxic, oil proof and of such construction that raw edges
and sides will be sealed. The belt shall be relatively nonabsorbent. Belt lacings or
fastenings shall meet the applicable clean ability requirements for food, splash and
nonfood zones.

(3) Whenever alternate materials are used, the use of such materials proven to be
equally satisfactory from the standpoint of sanitation and protection of food is
acceptable.

B. Fabrication

(1) Conveyor belt, belt support pan, rollers, driving mechanism and pulleys shall be
readily accessible for cleaning.
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(2) The base of conveyor units shall have readily removable access panels to permit
cleaning.

(3) Readily removable catch pans of proper design and adequate capacity shall be
provided wherever spillage, splash and similar debris may accumulate. Food waste
collection and disposal stations shall be designed, constructed and equipped to facilitate
the collection and/or disposal of shell waste in an acceptable manner and to be easily
cleaned.

(4) Drains, when provided in connection with conveyors shall be equipped with readily
removable strainer baskets or similar device.

(5) Motors shall be so located as to be protected against splash, spillage and the like, or
to be otherwise protected.

(6) In the non-food zone, exposed threads and projecting screws and studs should be
used only when it has been demonstrated that other fastening methods are
impractical and they shall be eliminated from the splash contact surfaces.
(a) Exposed rivet, screw, or bolt in the splash zone shall be of low profile type such
as brazier, or modified brazier rivets or pan and oval screw and bolt heads. (Figure
22)

Figure 22 – Low profile fasteners for nonfood contact surfaces

VII. Oyster Shucking Grinders

A. Materials

(1) Only those corrosion resistant materials capable of maintaining original surface
characteristics under the prolonged influence of the use environment, including the
expected food contact and normal use of cleaning compounds and sanitizing solutions.
The machine is designed to operate in a wet spray environment.

(2) Food contact surfaces shall be effectively washed to remove or completely loosen
soils by manual or mechanical means such as the application of detergents; hot water;
brushes; or high pressure sprays.

(3) Parts of a shellstock grinder which are considered food contact surfaces include; the
blade, the area behind the blade including the motor shaft from the blade to the motor
housing, and the inside surface of the housing or cover surrounding the blade. These
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food contact parts shall be manufactured from high impact materials that are easily
cleanable and non-corrosive. The grinder must be constructed to be easily disassembled
and assembled to facilitate inspection, maintenance, cleaning, and sanitizing. (Figure
23)

Figure 23 – Mechanical stainless steel oyster grinder

B. Fabrication

(1) The motor shaft should be of corrosion resistant material.

(2) Juncture point where the motor shaft enters the blade chamber must be sealed to
reduce dirt and detritus deposition around the shaft.

(3) The blade must be made from a single piece of high impact non-corrosive material.
Blade teeth must be an integral part of the blade, or if grinding surfaces are used
instead of teeth, they must be welded to the face of the blade with all welds ground
smooth.

(4) The housing around the blade assembly must be constructed of material that is
corrosion resistant.

(5) Bolts or screws must be constructed of corrosion resistant material to prevent rust
and corrosion.

(6) The inside surface of the blade housing must be smooth, and if welded ground
smooth for easy cleaning.

(7) The blade housing must be designed with an easily removable cover that will open
up the entire blade assembly area to facilitate inspection, cleaning, sanitizing, and
maintenance.

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Notes:

1. Proceedings, 1958 Shellfish Sanitation Workshop, U.S. Public Health Service, Washington DC.
2. American Iron and Steel Institute. Copy of the AISI Steel Products Manual, Stainless & Heat
Resisting Steels can be obtained from the Iron and Steel Society, 410 Commonwealth Drive,
Warrendale, PA 15086, Telephone 412-776-9460.
3. Plastic, rubber, and rubber-like materials used for equipment may be subject to the Food
Additives Amendment to the Federal Food, Drug, and Cosmetic Act. The acceptability of such
materials under Food Additive Amendment shall be obtained from equipment manufactures.
4. Sanitary standards describing the construction of valves, fittings, and pumps may be obtained
from International Association of Milk and Environmental Sanitarians, Inc., 200 W Merle Hay
Centre, Suite 404, Cedar Rapids, IA, 52402, Telephone 319-395-9151, FAX 319-393-1102.
5. Skimmer size: The Food and Drug Administration definition and standard of identity for raw
oysters states in part: "The oysters are drained on a strainer or skimmer which has an area of at
least 300 square inches per gallon of oysters drained, and has perforations of at least 1/4 of an
inch in diameter and not more than 1 1/4 inches apart, or perforations of equivalent areas and
distribution. (Definitions and Standards under the Federal Food, Drug, and Cosmetic Act, Title
21, Part 36, F

References:

1. 3-A Sanitary Standard Committee, 3-A Sanitary Standards for Sanitary Fitting for Milk and Milk
Products Number 63-00 (08-17 Amended), 6245 Executive Boulevard, Rockville, MD 29852.
2. 3-A Sanitary Standard Committee, 3-A Sanitary Accepted Practices for Supplying Air Under
Pressure in Contact with Milk, Milk Products and Food Contact Surfaces Serial #60403, 6245
Executive Boulevard, Rockville, MD 29852.
3. 3-A Sanitary Standard Committee, 3-A Sanitary Standards for Mechanical Conveyors For Dry
Milk and Milk Products #41-00, 6245 Executive Boulevard, Rockville, MD 29852.
4. 3-A Sanitary Standard Committee, 3-A Sanitary Standards for Multiple-Use Plastic Materials
Used as Product Contact Surfaces for Dairy Equipment, No. 20-17, 6245 Executive Boulevard,
Rockville, MD 29852.
5. 3-A Sanitary Standard Committee, 3-A Sanitary Standards for Uninsulated Tanks for Milk and
Milk Products, No. 32-01, 6245 Executive Boulevard, Rockville, MD 29852.
6. Building Officials & Code Administrators, The BOCA National Plumbing Code, 1987: Model
plumbing regulations for the protection of public health, safety and welfare, 4051 W. Flossmoor
Rd. Country Club Hills, IL 60477, 1988.
7. C.D.B. Company, Equipment for the Shellfish Industry, 335 Hill-N-Date Drive, York, PA 17403.
8. Lunsford, L.R., Shellfish Industry: Equipment Construction Guides, U.S. Department of Health,
Education and Welfare, Public Health Service, Division of Environmental Engineering and Food
Protection, Washington 25, D.C., Public Health Service Publication No. 943, Adopted by the
1961 National Shellfish Sanitation Workshop (April 1962).
9. National Sanitation Foundation, Food Service Equipment Standards, 3475 Plymouth Road, Ann
Arbor, Michigan, 48106, September 1978.
10. Office of the Federal Register, 21 Code of Federal Regulations, Parts 170-199, U.S. Government
Printing Office, Washington, DC, 1992.
11. Stainless Steel Information Center, Specialty Steel Industry of North America, STAINLESS
STEEL:An introduction to a versatile, aesthetically pleasing and "full life cycle" material, 3050 K
Street, N.W. Washington, DC 20007. Website [Link]

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12. U.S. Food and Drug Administration, Milk and Milk Product Equipment: A Guide for Evaluating
Sanitary Construction, Developed by the Milk Safety Branch, Division of Cooperative Programs,
200 "C" Street, SW, Washington, DC 20204.
13. U.S. Food and Drug Administration, Grade "A" Pasteurized Milk Ordinance, Developed by the
Milk Safety Branch, Division of Cooperative Programs, 200 "C" Street, SW, Washington, DC
20204, 1991 Revision.
14. U.S. Food and Drug Administration, Standards for the Fabrication of Single Service Containers
and Closures for Milk and Milk Products, Developed by the Milk Safety Branch, Division of
Cooperative Programs, 200 "C" Street, SW, Washington, DC 20204, 1991 Revision.
15. U.S. Food and Drug Administration, Food Service Sanitation Manual: A Model Food Service
Sanitation Ordinance, H.E.W. Publication No. (FDA) 78-2081, Developed by the Division of
Retail Food Protection, Division of Cooperative Programs, 200 "C" Street, SW, Washington, DC
20204, 1978.

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.02 Shellfish Plant Inspection Standardization Procedures
NSSP Standardized Shellfish Processing Plant Inspection Form Page 1 of 16

.02 Shellfish Plant Inspection Standardization Procedures

NSSP Standardized Shellfish Processing Plant Inspection Form

Table of Contents
Chapter I Introduction to Plant Standardization
Chapter II Standardization Participants
Chapter 3 Qualifications for Standardization
Chapter 4 Performance Criteria for Field Standardization
Chapter 5 Pre-Standardization Field Procedure
Chapter 6 Field Standardization Procedure
Chapter 7 Standardization Scoring
Chapter 8 Standardization Results
Chapter 9 Re-Standardization
Chapter 10 Termination Suspension or Revocation of Standardization
Chapter 11 Appeals
Attachments
Attachment 1 Standardization Nomination Form
Attachment 2 Composite Performance Report
Attachment 3 Individual Firm Comparison Form
NSSP Standardized Shellfish Processing Plant Inspection Form

Chapter 1 Introduction to Plant Standardization

PURPOSE:
In 1988, the Interstate Shellfish Sanitation Conference (ISSC) adopted, as a primary goal, an initiative to
standardize FDA Regional Shellfish Specialists and State Standardization Officers. The Conference
affirmed that standardization of shellfish regulators will result in uniform plant inspections and strengthen
consumer confidence in shellfish products. In 1991, the Conference adopted issue 91-222 requiring the
certification of the shellfish plant inspections before listing in the Interstate Certified Shellfish Shipper's
List (ICSSL), effective January 1, 1994. As a result of that issue, FDA developed procedures to
standardize Regional Shellfish Specialists and State Standardization Officers. The requirements and
criteria described in this Standardization procedures document apply only to standardization of the
Regional Shellfish Specialists and State Standardization Officers.

OBJECTIVE:
The standardization process provides regulatory personnel the opportunity to standardized their
knowledge and skills related to the National Shellfish Sanitation Program (NSSP) Model Ordinance (MO)
with the knowledge and skills of FDA's National Plant Standard(s) and/or Regional Shellfish Specialists.
The process and criteria for demonstrating uniformity in the required performance areas are described in
Chapter 4.

Through the application of this procedure, the Candidate should demonstrate uniformity with "the
Standard" or “State Standardization Officer” through his/her knowledge and expertise in the application
and interpretation of the MO requirements for HACCP principles, sanitation, and the use of the NSSP

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STANDARDIZATION SHELLFISH PROCESSING PLANT INSPECTION FORM. The application of

this procedure is not intended to provide basic shellfish plant sanitation training to individual Candidates.

DEFINITIONS:

The following definitions apply in the interpretation and application of this procedure.

(1) CANDIDATE means an individual applying for initial Standardization who has completed the
prerequisite requirements or/and an applicant who is applying for re-standardization.

(2) MODEL ORDINANCE (MO), also known as "Guide for the Control of Molluscan Shellfish,"
provides readily adoptable standards and administrative practices necessary for the sanitary control of
molluscan shellfish.

(3) NATIONAL STANDARDIZATION OFFICER, also known as "FDA's National Plant Standard,"
means an FDA individual(s) at the national level responsible for interpreting NSSP MO requirements
for shellfish plant operations. The Standard represents the FDA position on all Standardization issues.
The Standard is also responsible for standardizing FDA Regional Shellfish Specialists.

(4) NOMINEE means the applicant designated for standardization based on the procedures contained
in this document.

(5) STANDARDIZATION means the process whereby a Candidate demonstrates the knowledge and
skills necessary to be considered uniform with the Standard as defined in the National Shellfish
Sanitation Program's (NSSP), Plant Standardization Procedures.

(6) STANDARDIZED INSPECTOR means a state/federal shellfish plant inspector who has been
authorized to certify shellfish shippers as demonstrated by successfully passing a standardized test.

(7) STATE STANDARDIZATION OFFICER means a state shellfish program employee who has
met the qualification requirements in the National Shellfish Sanitation Program Plant Standardization
Procedures and successfully completed field standardization inspections with a Standardized FDA
Regional Shellfish Specialist.

Chapter II Standardization Participants

FDA

The FDA National Plant Standard(s) will be responsible for standardizing all Regional Shellfish
Specialists. Standardized FDA Regional Shellfish Specialists will standardize the State’s "Standardization
Officer" Candidate(s). The FDA National Standard will conduct standardization inspections to evaluate
and assure the proficiency of the FDA Regional Shellfish Specialists. The Standardization inspection
process will consist of three (3) practice inspections and five (5) formal standardization inspections.

STATE

Each participating state will sponsor an adequate number of individuals for positions as State
Standardization Officers and inspectors to guarantee that each certified shellfish dealer is routinely
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inspected for compliance with the MO plant processing requirements. The State should select no more
than two (2) individuals as Shellfish Standardization Officers. The FDA Regional Shellfish Specialists
will conduct standardization inspections to evaluate and assure the proficiency of the State
Standardization Officer(s). The Standardization inspection process will consist of three (3) practice
inspections and five (5) standardization inspections.

State Standardized Inspectors are standardized by State Standardization Officers. Each State shall provide
the necessary resources to support the training of state shellfish inspectors by the State Standardization
Officer(s) to ensure that each shellfish firm receives uniform routine inspections. The State
Standardization Officer also has the option of sanctioning the participation of local, city, and/or county
shellfish plant inspectors. It is recommended that the State Standardization Officer standardize State
Standardized Inspector Candidates utilizing the same standardization procedures identified for State
Standardization Officers.

Chapter III Qualifications For Standardization

This chapter defines those requirements that the Candidate must complete prior to standardization. In
order for a Candidate to engage in the process of initial field standardization, they will qualify by
completing the prerequisite and experience requirements specified in this chapter. Those requirements
only apply to first time applicants applying for standardization.

QUALIFICATIONS FOR STATE PERSONNEL:

When nominating a Candidate, the supervisor making the nomination should provide the required
Candidate background information on the STANDARDIZATION NOMINATION FORM (Attachment
1). This information will be maintained in a file at the appropriate FDA Office.

• NOMINATION - To be eligible for standardization, the Candidate should be a senior inspector

with experience and responsibility in the shellfish program.
• JOB EXPERIENCE - The Candidate should be responsible for conducting molluscan shellfish
plant inspections and providing training in shellfish inspection procedures. It is a requirement that
the Candidate has at least one (1) year of full time experience performing shellfish plant
inspections within the past three (3) years.
• CLASSROOM TRAINING - Prior to field standardization, the Candidate must successfully
complete the following courses:
• A 2 or 3 day Seafood Alliance HACCP (Basic Seafood HACCP)
• FD 240 Basic Shellfish Plant Sanitation; and
• FD 241 Shellfish State Standardization Officer Training (not recommended for State
Standardized inspectors unless specifically offered)
• EDUCATION - It is recommended that the Candidate have at least 20 hours of training in the
application of Food Science and related studies in Microbiology and/or Epidemiology, HACCP
principles/Plan Review, and State regulations.

QUALIFICATIONS FOR FDA PERSONNEL:

When nominating a Candidate, the supervisor making the nomination should provide the required
Candidate background information on the STANDARDIZATION NOMINATION FORM (Attachment
1). This information will be maintained in the office of the appropriate FDA Regional Shellfish Specialist

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and / or with the FDA National Plant Standerd, Center for food safety and Applied Nutrition (CFSAN),
Office of Food Safety, College Park, Maryland.

• NOMINATION - To be eligible for standardization, the Candidate must be a FDA Regional

Shellfish Specialist.
• JOB EXPERIENCE - Experience will be in accordance with FDA's defined position description
including job responsibilities.
• CLASSROOM TRAINING - Prior to field standardization, the Candidate must successfully
complete the following courses:
• 2 or 3 day Seafood Alliance HACCP (Basic Seafood HACCP)
• FD 240 Basic Shellfish Plant Sanitation and
• FD 241 Shellfish State Standardization Officer
• EDUCATION - Education will be in accordance with FDA's defined position description.

Chapter 4 Performance Criteria For Field Standardization

All Standardization Candidates shall meet the following performance criteria:

(a.) HACCP: The Candidate shall demonstrate the ability to verify that HACCP Plan exists and is
being adequately implemented by the dealer.

(b.) SANITATION ITEMS: The Candidate shall demonstrate the ability to recognize, through
records review, that the "8" National Shellfish Sanitation Program (NSSP), Model Ordinance (MO),
“02 Sanitation Items" are being adequately monitored and that those records are accurate and
complete.

(c.) ADDITIONAL MO REQUIREMENTS: The Candidate shall demonstrate knowledge of the

NSSP Model Ordinance, “03 Other Model Ordinance Requirements" by correctly identifying
deficiencies relating to those items during the field evaluation process.

(d.) INSPECTION EQUIPMENT: The Candidate shall be equipped and familiar with the
equipment necessary to conduct a Shellfish plant inspection. The Candidate shall be evaluated on the
proper use of inspection equipment during the standardization process.

The following is a MINIMUM list of required forms and equipment for use during shellfish plant
inspections:

o Current Edition of the NSSP Standardized Shellfish Processing Plant Inspection Form)
o Administrative materials (Model Ordinance, Field Guide, etc.)
o Head cover: baseball cap, hair net, lab coat or equivalent protection, etc.
o Calibrated stem or digital thermometer with not >2°F increments.
o Chemical test kit or strips for Chlorine, Quaternary, or Iodine sanitizers.
o Flashlight(important item - must be adequate for the job and in working condition.); and
o A 70 % solution of Isopropyl alcohol or equivalent "wipes".
o A camera (Optional)

(e.) COMMUNICATION: The Candidate shall demonstrate the ability to effectively

communicate with plant management about deficiencies noted during the evaluation. Many different
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types of communication skills and approaches are necessary and valuable during the inspection
process.

The Candidate shall be required to take the lead in communicating with industry personnel during
all inspections and the Standard shall evaluate the Candidate’s communication skills.

INTRODUCTION:
The Candidate shall be required to make all introductions. A complete introduction consists of:

(a.) Identifying yourself and then introducing all persons participating in the inspection;

(b.) Describing to the PERSON IN CHARGE the purpose and flow of the inspection - for training
only, NOT a regulatory inspection so no written report will be left with the firm.

(c.) Identifying and explaining to the PERSON IN CHARGE, that it will be necessary to ask
questions, during the inspection; and

(d.) Although there will be no written report left, with the firm, if there are significant findings they
will be brought to the attention of the PERSON IN CHARGE during the Exit Interview.

In addition to verbal and written communication, the Candidate shall also use the inspection process to
communicate and demonstrate FOOD SAFETY concepts by example. Activities such as proper hand
washing, and sanitizing, insuring the thermometer is cleaned and sanitized before every use and wearing
proper clean outer garments and a heave cover will reinforce your spoken and written communications.

INTERVIEW WITH THE PERSON IN CHARGE:

The Candidate shall conduct a discussion with the PERSON IN CHARGE to determine:

1. (a.) If a HACCP PLAN exists, and if so, whether the PERSON IN CHARGE understands the
principles of HACCP, and is ensuring that the employees are effectively adhering to the plan.

EXIT INTERVIEW:

The Candidate, at the exit interview shall thank the PERSON IN CHARGE for allowing the use of his/her
facility for training. Next he or she must clearly convey and discuss in detail with that person any
significant finding, as stated during the introduction phase at the start of the training.

If significant findings were identified the Candidate shall discuss with the PERSON IN CHARGE:

(a.) What was observed and how it can be corrected;

(b.) The firm’s plan for correction and how long it will take, and

(c.) If any Corrective actions were observed during the inspection (where, when, how and by whom
the correction occurred), insure the PERSON IN CHARGE is advised and emphasize the
commendable nature of all such action.

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Explain the public health significance of any significant findings and demonstrate the ability to discuss
and resolve in a courteous and professional manner, issues that the PERSON IN CHARGE might not
agree with or clearly understand.

Table 1: Summary of evaluation methods for initial STANDARDIZATION.

PERFORMANCE AREA FIELD STANDARDIZATION
HACCP (Items 1 - 7) Evaluation of existing HACCP Plan
Sanitation (Items 8 - 16) Evaluation/inspection
Additional MO Requirements (Items 17 -27) Evaluation/inspection
Inspection Equipment Observation
Communication Observation

Chapter 5 Pre-Standardization Field Procedure

Pre-standardization - This phase consists of three (3) joint "practice" field inspections by the Candidate
and the Standard. During these “practice” inspections there will be open discussion between the
Candidate and the Standard on all matters relating to the standardization process including: the NSSP
Model Ordinance interpretations, inspection form debiting requirements (where is "it" marked on the
form); questions and discussions relating to the firm's HACCP plan; related Sanitation and Monitoring
records and Corrective Action. The current edition of the NSSP Standardized Shellfish Processing Plant
Inspection Form (Attachment 4) will be used during all aspects of the standardization procedure.

During pre-standardization inspections, the Standard and Candidate shall conduct the inspection together
and discuss each noted deficiency. They shall agree on the number of times and locations where
deficiencies were observed in the plant.

Following pre-standardization, the Standard may decide that the Candidate is unprepared to proceed to
the formal field standardization process. If the Standard determines the Candidate needs additional field
training, after discussion with the Candidate, they may decide to complete additional "practice"
inspections. If the Standard determines that more "practice" inspections will not help in the Candidate's
understanding of the process and/ or procedure then the Candidate and Candidate's supervisor will be
informed.

Chapter 6 Field Standardization Procedure

The Field Standardization Process consists of the Standard and the Candidate jointly conducting five (5)
formal shellfish plant evaluations. Always select five (5) formal Shucker/packer (SP) plants if they are
available. If a state has less than five (5) Shucker/packer's (SP), then the remaining plants will be selected
according to the following priority:

1) Repackers (RP)
2) Shellstock Shippers (SS)
3) Reshippers (RS)

During all joint field inspections, the Candidate will be the lead person. He or she will be responsible for
the following: Introduction (determining who is the "most responsible" person), requesting the firm's
HACCP Plan and its related documents, and sanitation monitoring records. The minimum number of

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records required for review will be at least three months. The Candidate shall also conduct the "exit"
interview and discuss all significant findings with management.

Chapter 7 Standardization Scoring

COMPARISON OF FINDINGS:

Following each inspection, the Standard shall compare his/her findings with the Candidate. At the
conclusion of the field standardization, the Standard shall tabulate and compare the Candidate's
inspection findings to determine if the Candidate has successfully completed the requirements for
Standardization. The Standard shall discuss any differences, results and other observations with the
Candidate.

The Standard will evaluate each inspection report to determine the number of disagreements (using
Standardization Requirements below) between the Standard and the Candidate. Disagreements shall be
recorded on the Comparative Results form provided as Attachment 2.

CANDIDATE SCORING: The Standard shall grade each inspection report by circling each incorrectly
marked item. The Standard shall determine the number of disagreements on items and record that number
in the form provided in ATTACHMENT 3. For inspectional equipment and communication scoring is not
used but impacts the outcome of the Candidate's performance.

The Candidates shall meet the following level of agreement to achieve Standardization after completing
five (5) formal field evaluations.

(a.) HACCP: (item 1-7)

The Candidates SHALL NOT DISAGREE with the Standard more than an average of three (3)
times in five (5) evaluations.**

(b.) Sanitation Items: (item 8- 16)

The Candidates SHALL NOT DISAGREE with the Standard more than an average of three (3)
times in five (5) evaluations. **

(c.) Other Model Ordinance Requirements: (item 17 –27)

The Candidates SHALL NOT DISAGREE with the Standard more than an average of four (4)
times in five (5) evaluations. **

(d.) Inspection Equipment:

The Candidates SHALL have all essential equipment, listed in Chapter 4 "Performance Criteria for
Field Standardization" available for use during each inspection. This section shall rate as
SATISFACTORY or NEEDS IMPROVEMENT.

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(e.) Communications:

The Candidates SHALL communicate per the requirements in Chapter 4 "Performance Criteria for
Field Standardization." This section shall rate as SATISFACTORY or NEEDS IMPROVEMENT.

**NOTE: With the exception of Candidates deficiencies that were not observed by the Standard

CRITERIA FOR SUCCESS STANDARDIZATION:

To achieve standardization, the Candidates shall meet requirements for the Performance criteria (a-c)
described in Chapter 4. The Candidates may receive “Needs Improvement” classification in the section
inspectional equipment and communications and still be standardized.

When either inspection equipment or communication performance area are classified as needing
improvement, the Candidates and the Candidate's supervisor shall be notified that the “Needs
Improvement” area(s) must be satisfactorily addressed before restandardization is granted. Prior to
restandardization, the Candidate's supervisor must notify the Standard that the area(s) or concern has
been addressed.

Chpater 8 Standardization Results

REPORTING

The Standard and Candidate shall describe on the narrative section on the NSSP SHELLFISH
PROCESSING PLANT FORM each specific deficiency and location within the firm where the deficiency
was observed. The Candidate shall not fail to recognize any critical items. After each inspection has been
completed, the Standard shall compare the number and description of the deficiencies found in the plant
for each item on the narrative section of the NSSP Standardized Shellfish Processing Plant Inspection
Form. The Standard shall determine if both observed the same specific deficiencies throughout the plant.

The Standard will use the Comparative Results Form (Attachment 2) to determine the level of agreement
between the Standard and Candidate. At the conclusion of the formal Field Standardization exercise, the
Standard will complete a Composite Results Report (Attachment 3).

After successfully completing the Field Standardization Exercise, the Candidate will be granted the
TITLE of STANDARDIZATION OFFICER OR STANDARDIZED INSPECTOR. A certificate recognizing
that accomplishment will be forwarded to the Candidate, along with formal notification to the
Candidate's supervisor, within thirty (30) days.

Chapter 9 Re-Standardization

STANDARDIZATION EXPIRATION:

The Candidate's STANDARDIZATION is valid for a period of 5 years. Expiration dates will appear on
the certificate issued by the Standard.

STANDARDIZATION MAINTENANCE:

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The maintenance process consists of joint inspections conducted during evaluation activities.
Maintenance will also be provided in the form of updated FD 2041 Shellfish State Standardization Officer
courses, ORA University web based course, updated field standardization guides, and other
guidance/technical assistance activities on an as needed basis.

Chapter 10 Termination, Suspension, or Revocation of Standardization

TERMINATION OF FIELD STANDARDIZATION:

(a.) The Standard has the option to terminate the field exercise at any time during the procedure if the
Candidate, in the opinion of the Standard, is not achieving the required level of agreement for
standardization.

(b.) The Standard shall notify the Candidate and the Candidate’s supervisor in writing of the reasons
for failure.

(c.) The Standard will document the reason(s) for termination of the field. This information shall be
forwarded to the Candidate's supervisor and a copy shall be placed in the FDA file. All evidence and
conclusions reached by the FDA shall be documented in writing by the Standard and shall be kept for
3 years in accordance with the Freedom of Information Act.

SUSPENSION/REVOCATION OF STANDARDIZATION CERTIFICATION

(a.) Fails to utilize and/or properly complete the current NSSP Standardized Shellfish Processing
Plant Inspection Form.

(b.) Fails to properly code (critically code) deficiencies (critical, key, and other) on the NSSP
STANDARDIZATION SHELLFISH PROCESSING PLANT INSPECTION FORM.

(c.) Fails to fulfill the required maintenance activities described in CHAPTER 9.

(d.) Before suspension or revocation, the Standard will consult with appropriate personnel in the FDA
and/or the State’s agency to reach a decision on whether:

i. The standardization shall be suspended temporarily with notice regarding conditions

required for reinstatement; or

ii. The standardization shall be revoked.

(e.) When a STANDARDIZATION certificate is revoked or suspended, the Standard shall notify the
supervisor in writing, of his/her decision.

(f.) The Standard will document the reason(s) for suspension or revocation of the standardization
certification. This information shall be forwarded to the Candidate's supervisor and a copy shall be
placed in the FDA file. All evidence and conclusions reached by the FDA shall be documented in
writing by the Standard and shall be kept for 3 years in accordance with the Freedom of Information
Act.

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RE-STANDARDIZATION AFTER SUSPENSION OR REVOCATION.

The Candidate may apply for re-standardization, within thirty (30) days, after suspension or revocation.
He or she must contact and work with the appropriate FDA or *State Standardization Officer to correct all
prior deficiencies before the re-standardization process begins.

NOTE: State Standardization Officers can only standardize their inspectors. Only FDA National
Standards or standardized FDA Regional Specialists can standardize state standardization officers.

Chapter 11 Appeals

FILING AN APPEAL.

Candidate after being notified of a failure to successfully achieve Standardization or re-standardization

may appeal the decision. Should the Candidate elect to appeal, this action must be initiated within thirty
days (30) of the date of the written notification of the failure, suspension or revocation. The appeal’s
request shall be addressed to the National Shellfish Standard, FDA, Center for Food Safety and Applied
Nutrition (CFSAN), Office of Food Safety, 5100 Paint Branch Parkway, College Park, MD 20740.

APPEAL BOARD MEMBERS.

The National Shellfish Standard and representatives from the ISSC and FDA Regional Shellfish
Specialists will comprise the STANDARDIZATION Appeals Board. The ISSC will select states
representatives to participate in the appeals process.

HEARINGS.
If the Appeal Board finds the appeal unjustified, the decision of the FDA Standard will stand.

If the Appeal Board determines that the State Standardization Officer's appeal is justified, the State
Standardization Officer and the FDA Standard will be notified in writing that a hearing will be scheduled.

HEARING PROCEDURE.
At the hearing, the following procedure will be followed:

(1) The State Standardization Officer will present his/her argument for reversing the FDA
Standard’s decision;

(2) The Appeal Board will have the opportunity to question the action or conduct of the State
Standardization Officer and the FDA Standard; and

(3) The Appeal Board will render a decision.

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ATTACHMENT I

STANDARDIZATION NOMINATION FORM

TO:
FROM:
SUBJECT: REQUEST FOR STANDARDIZATION
DATE:

Name:
Title:
Agency Name:
Address:
City/State/Zip:
Telephone:
Fax:
Education: (list degree or include a transcript)
Length of Service:
Describe shellfish experience:

CHECK (X) BELOW COURSES ATTENDED: How many routine shellfish plant evaluations
Shellfish Plant Sanitation ( ) per year?
Basic Seafood HACCP Alliance Course ( )
List Other Courses 1 - 5 ( ) 6 - 10 ( ) >20 ( )

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ATTACHMENT 2

COMPOSITE PERFORMANCE REPORT

FIRM NAME: Candidate(O) Standard(X) Disagreements
#1 HACCP Plan
#2 Plan Elements (a) Hazards
#2 Plan Elements (b) Records
#2 Plan Elements (c) Critical Limits
#2 Plan Elements (d) Signed and Dated
#2 Plan Elements (e) Critical Control Points
#2 Plan Elements (f) Monitoring
#2 Plan Elements (g) Verification Procedures
#2 Plan Elements (h) Corrective Action if identified
#3 HACCP Training
#4 Plan Implementation (a) Receiving
#4 Plan Implementation (b) Shellstock Storage
#4 Plan Implementation (c) Processing
#4 Plan Implementation (d) Shucked Meat Storage
#4 Plan Implementation (e) Other Critical Limits
#5 Approved Source Control Failure
#6 Time/Temperature Control Failure
#7 Other Critical Control Failure
TOTAL NUMBER OF DISAGREEMENTS
SANITATION ITEMS
#8 Safety of water for processing and ice production
#9 Condition and cleanliness of food contact surfaces
#10 Prevention of cross-contamination
#11 Maintenance of hand-washing, hand sanitizing, toilet
facilities
#12 Protection from adulterants
#13 Proper labeling, storage, and use of toxic compounds
#14 Control of employees with adverse health conditions
#15 Exclusion of pests
#16 Sanitation Monitoring and Records
TOTAL NUMBER OF DISAGREEMENTS
ADDITIONAL MODEL ORDINANCE REQUIREMENTS
#17 Plants and Grounds
#18 Plumbing and related facilities
#19 Utilities
#20 Disposal of other waste
#21 Equipment condition and cleaning, maintenance, and
construction of non-food contact surfaces
#22 Shellfish storage and handling
#23 Heat shock

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#24 Supervision
#25 Transportation (To include only the person shipping)
#26 Labeling and Tagging
#27 Shipping Documents and Records / Written Recall
Procedures
TOTAL NUMBER OF DISAGREEMENTS

FIELD REQUIREMENT FOR THE SUCCESSFUL COMPLETION OF STANDARDIZATION

In order for the Candidate to successfully complete standardization he/she must meet the following field
standardization criteria after five (5) evaluations:

• HACCP inspection form items 1 - 7.

Disagreements with the standard cannot exceed an average of three (3).
• Sanitation inspection form items 8 - 16.
Disagreements with the standard cannot exceed an average of three (3).
• Additional Model Ordinance inspection form items 17 - 27.
Disagreements with the standard cannot exceed an average of four (4).

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ATTACHMENT 3

INDIVIDUAL FIRM COMPARISON FORM

"Candidate vs Standard: Composite Performance Chart"

NUMBER OF DISAGREEMENTS

SANITATION ADDITIONAL MO
FIRM NAME HACCP
ITEMS REQUIREMENTS

TOTAL
*Average Score
Acceptable Avg. Score 3 3 4
INSPECTIONAL EQUIPMENT SATISFACTORY NEEDS IMPROVEMENT
COMMUNICATION SATISFACTORY NEEDS IMPROVEMENT

*The Candidate's average composite score through five (5) formal standardization inspections meets (OR
DOESN'T MEET) the acceptable average score required to achieve standardization.

STANDARDIZATION LOCATION:

DATE(S):

CANDIDATE:

STANDARD:

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NSSP Standardized Shellfish Processing Plant Inspection Form

Agency Name: Date:

Type of Certification Pre-operational Routine Follow-up Standardization
Inspection
Dealer Certification Number:
Name:
Dealer
Address:
Hazard Analysis Critical Control Point (HACCP)
1. HACCP Plan Yes No Required for Certification
2. Plan √/x Code √/x Code
Elements NA NA

Identified
and
Adequate
(a) Hazards O (e) Critical Control Points K
(b) O (f) Monitoring K
Records
(c) Critical K (g)Verification Procedures O
Limits
(d) Name, O (h) Corrective Action if identified K
Address,
Signed and
Dated
HACCP Training Yes
3. Code O
No
4. Corrective Actions recorded (K)
Verification Procedures (K) (Signature)
Plan Monitoring Procedures (K)
Implementation Records: Accurate/Maintained (K) Format (O) Initialed/Dated (O)
Firm’s Name on record (O)
√/x Code
(a) Receiving
(b) Shellstock
Storage
(c) Processing
(d) Shucked
Meat Storage
(e) Other Critical
Limits
5. Approved Source Control Failure C
6. Time/Temperature Control Failure C
7. Other Critical Control Failure C
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.02 Shellfish Plant Inspection Standardization Procedures
NSSP Standardized Shellfish Processing Plant Inspection Form Page 16 of 16

Sanitation Items Citation √/x Code

8. Safety of water for processing and ice production .02A
9. Condition and cleanliness of food contact surfaces .02B
10. Prevention of cross-contamination .02C
11. Maintenance of hand-washing, hand sanitizing, and toilet facilities .02D
12. Protection from adulterants .02E
13. Proper labeling, storage, and use of toxic compounds .02F
14. Control of employees with adverse health conditions .02G
15. Exclusion of pests .02H
16. Sanitation Monitoring and Records S(k/O)
Additional Model Ordinance Requirements Citation √/x Code
17. Plants and Grounds .03A
18. Plumbing and related facilities .03B
19. Utilities .03C
20. Disposal of other waste .03D
21. Equipment condition and cleaning, maintenance, and construction .03E
of non-food contact surfaces
22. Shellfish storage and handling .03F
23. Heat shock .03G
24. Supervision .03H
25. Transportation (To include only the person shipping) X.05 k
26. Labeling and Tagging S(K/O)
X.05

.06 ,07
27. Shipping Documents and Records / Written Recall Procedures X.08 K

.03

Dealer’s Signature Inspector’s Signature

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.03 Dealer Certification and the Interstate Certified Shellfish Shippers List
(ICSSL)

A principal objective of the ICSSL is to provide a mechanism for statehealth officials and consumers to
receive information as to whether lots of shellfish shipped in interstate commerce meet acceptable
sanitation criteria. This is achieved through criteria and procedures to allow a producing or receiving state
to "certify" that the product from a specific dealer has been grown, harvested, transported, processed, or
shipped in compliance with the National Shellfish Sanitation Program (NSSP) Model Ordinance (MO).
Dealer certification depends on maintaining acceptable operational and sanitary conditions. This
determination is based on nationally uniform inspections by standardized inspectors.

State health officials who certify dealers must fully comply with the administrative requirements for
certification for the process to remain viable. For the certification process to be effective, dealers must
fully comply with the applicable NSSP MO sanitation requirements pertaining to the type of operation
involved.

The NSSP MO requires that dealers obtain certification from the Authority prior to shipping shellfish in
interstate commerce. Only those shellfish dealers who meet the NSSP MO requirements are eligible to be
listed in FDA's monthly publication of the ICSSL. A unique certification number that is used to mark his
product identifies each dealer.

Use of the Interstate Shellfish Dealer's Certificate (FDA Form 3038)

The Interstate Shellfish Dealer's certificate, FDA Form 3038, is used by the Authority to place a dealer on
the ICSSL, to report changes to a certificate, and to remove a dealer from the ICSSL. The certificate
allows FDA to collect the necessary information to list certified dealers in the ICSSL. Dealers should be
informed by the state officer of the probable date their names will appear on the ICSSL. Dealers should
be advised against making interstate shipments prior to that date. If shipments need to be made before the
appearance of the shipper's name on the ICSSL, the Authority in the dealer's state must notify the
appropriate agency in each of the receiving states and the FDA regional and headquarters offices.

When the Authority cancels a dealer certification, the appropriate FDA Region or District Office must be
notified and a completed Form FDA 3038 must be mailed to FDA. When a certificate is renewed, the
certificate must be sent to FDA. A certificate will be withdrawn automatically from the ICSSL on the date
of expiration unless FDA has received the new certificate.

Instructions For Completing the Interstate Shellfish Dealer's Certificate (FDA Form 3038)

The original copy, or Part 1, of the Shellfish Dealer's Certificate is mailed to FDA, Division of
Cooperative Programs, Shellfish Safety Team, HFS-628, 5100 Paint Branch Parkway, College Park,
Maryland 20740; Part 2 is mailed to FDA Regional Shellfish Specialist; and, Part 3 is retained by the state
shellfish control Authority. The original certificate with the appropriate signatures shall be mailed not
later than the first of the month for publication in the ICSSL.

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To input information check the applicable box.

Section I - Completed by State Shellfish Certification Agency

1. Shellfish Dealer/Shipper: Name, Address (including Street, Number, City or Town) ZIP,
Telephone
2. Certification:
a) Certificate Number - Unique number assigned to each certified shellfish dealer.
b) Date Certified - Date the dealer was certified as meeting the NSSP criteria.
c) State - Two letter State code.
d) Expiration Date - Date the certificate expires.
e) Category Symbol - Two letter code designating dealer process (i.e. DP, SP, RP, SS, RS).
3. Date of On-Site Inspection: Date the plant was inspected for certification.
4. Standardized State Shellfish Plant Inspector: Print the name of the inspector who conducted
the on-site inspection.
5. Expiration Date of Inspector's Certificate of Standardization: Print the expiration date that
appears on the Inspector's certificate.
6. Cancellation Date: Date the firm has been either decertified or recommended for de-listing.
7. Reason for Cancellation: Check applicable box; Other denotes voluntary or seasonal suspension
of activities.
8. a) State Shellfish Certification Officer: Printed name of official to authenticate information.
b) Signature: Official's signature.
In the case that a state has only one Standardized State Shellfish Plant Inspector, sign this block.
c) Date Certificate sent to FDA: Self-explanatory.

Section II - Completed by Division of Cooperative Programs - FDA

9. Date Certificate Received: Date the signed original Form FDA 3038 is received by FDA.
10. Date Certificate Published: Date when the certified dealer's name is scheduled for publication
on the ICSSL.

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.04 Shellstock Tagging

Shellstock tagging has a very direct role in public health protection. In the event of a shellfish related
illness, tags are a tool, which, used in concert with records, should provide for trace ability of live
shellstock from the final consumer back through every middle man, (retailer, wholesaler, carrier, and
dealer) who handled the product, to a specific growing area, harvest date, and ultimately, if possible, the
individual person who harvested the shellstock.

When an outbreak of disease attributable to shellfish occurs, health departments and other appropriate
state and federal agencies must be able to determine the source of shellfish contamination to prevent any
further outbreaks from this source. This can be done most effectively by using the records kept by the
shellfish harvesters and dealers to trace a shellfish shipment, through all the various dealers who have
handled it, back to its point of origin. Shellstock tags are the first important records concerning the origin
of shellfish.

Harvesters must provide information necessary to create a record of the origin, quantity, and date of
harvest, which can be used to trace a lot of questionable shellstock back to its source or sources.
Investigation of disease outbreaks can be severely hindered if the source of the shellfish cannot be readily
identified. Inability to identify the source can result in shellstock from the unacceptable source continuing
to be used and continuing to cause illness. Health authorities may be forced to close a safe growing area,
to ban a safe shellstock shipment or to seize a safe lot of shellstock as a public health precaution if the
source of contaminated shellfish cannot be accurately and rapidly determined.

Maintaining adequate records is considered by some industry members to be a burden. This has resulted
in various unacceptable practices being encountered by health officials, including no written records of
purchase, undated shellstock shippers tags maintained in an unordered manner, new shipping tags being
placed on a lot of shellstock without records to correlate the original identity of the lot with the new
identity, and shellfish on the premises with no tags. Although these dealers often have "records" in the
most general sense, these records are not in the form that meets the intent of the NSSP certification
requirement to provide trace ability on a lot-by-lot basis. As a result, follow-up investigations of disease
outbreaks have been stymied, identification of the cause of the outbreak has been delayed, and outbreaks
have continued. For more information concerning dealer certification, see the NSSP Guidance Document:
Chapter III. 03: Dealer Certification and the Interstate Certified Shellfish Shippers List.

An example where the failure to maintain adequate records was identified as one of the principal
contributing factors to a series of continuing shellfish associated disease outbreaks occurred in 1981 and
1982. The outbreaks continued for several months and affected thousands of people. An investigation by
the states involved and FDA revealed that some states were unable to enforce the record keeping and
tagging requirements of the NSSP. FDA found in one state that approximately one-third of the certified
dealers inspected failed to maintain adequate records. State officials realized that an improved tagging,
labeling or manifest system was needed to track shellfish in the marketplace back to the distributor and to
the harvester.

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When a lot of shellstock is sold in bulk (e.g. by the truckload without being placed in containers), the
harvester or dealer must provide a transaction record prior to shipment. If the transaction record is
generated by the harvester, the record must contain information identical to that required on the
harvester’s tags and must also include the name of the consignee. If the transaction record is generated by
the dealer, the record must contain information identical to that required on dealer’s tags and must include
the name of the consignee.

The NSSP recognizes two types of shellstock tags: harvester tags and dealer tags. Many of the
requirements are the same for both tag types. There are some additional requirements for dealer tags when
the product has been wet stored or depurated. Transaction records which provide the same information as
the harvester’s or dealer’s tag may be used in lieu of tags for lot of shellstock sale and lot of shellstock
shipment.

Shellstock harvest location needs to be consistently defined on all tags. The tags should provide the most
precise identification of the harvest location or aquaculture site as is practicable; this identification must
include at least the state (initials) in which the shellstock were harvested in the designated growing area
within the state as assigned by the Authority of the producer state. If harvest areas have not been indexed
by the Authority, then an appropriate geographical or administrative designation must be used (e.g. Long
Bay, Decadent County, lease number, bed or lot number).

Each harvester or aquaculturist and each dealer must affix an approved, durable, waterproof tag,
containing all the information required by the NSSP Model Ordinance, to each container of shellstock.
Minimal required tag size is 2 5/8 by 5 1/4 inches (6.7 by 13.3 cm). Example tags are provided in
Attachment 1. The harvester's tags must be in place while the shellstock is being transported to the dealer
unless the harvest has occurred at more than one harvest location or aquaculture site; then each container
must be tagged at the harvest location or aquaculture site. In certain situations, the truck may be
considered the container for transport of bulk loads of shellstock from the growing area to the dealer. For
dealers, tagging must be done prior to shipment. When the dealer is also the harvester, the dealer's tag
may also be used as the harvester's tag.

HARVESTER TAG REQUIREMENTS

Information on the harvester's tags must be legible, indelible and arranged in the following specific order:

• A place may be provided where the dealer's name, address and certification number as assigned
by the Authority may be added;
• The harvester's identification number as assigned by the Authority;
• The date of harvesting;
• The most precise identification of the harvest location or aquaculture site as is practicable; this
identification must include at least the state (initials) in which the shellfish were harvested and the
designated growing area with that state as assigned by the Authority of the producer state. If
growing areas have not been indexed by the Authority, then an appropriate geographical or
administrative designation must be used (e.g. Long Bay, Decadent County, lease number, bed or
lot number);
• Type and quantity of shellfish;
• The following statement, in bold capitalized type on each bag: "THIS TAG IS REQUIRED TO
BE ATTACHED UNTIL CONTAINER IS EMPTY OR RETAGGED AND THEREAFTER
KEPT ON FILE FOR 90 DAYS." and
• All shellstock intended for raw consumption shall include a consumer advisory and follow the
Time-Temperature Matrix Control. The following statement, from section 3-603.11 of the 2001
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Food Code, or an equivalent statement shall be included on all shellstock: “RETAILERS,

INFORM YOUR CUSTOMERS” “Consuming raw or undercooked meats, poultry, seafood,
shellfish or eggs may increase your risk of food borne illness, especially if you have certain
medical conditions”

DEALER TAG REQUIREMENTS

Dealer tagging is required upon harvest or receipt from a harvester, processing and packaging of
shellstock by the dealer, or sale and shipment of shellstock by the dealer to other dealers for subsequent
sale, processing or additional packaging. The information on the dealer’s tags must be legible, indelible
and arranged in the following specific order:

• The dealer's name, address, and certification number as assigned by the Authority;
• The original shellstock shipper's certification number;
• The date of harvesting;
• The most precise identification of the harvest location or aquaculture site as is practicable; this
identification must include at least the state (initials) in which the shellfish were harvested and the
designated growing area with that state as assigned by the Authority of the producer state. If
growing areas have not been indexed by the Authority, then an appropriate geographical or
administrative designation must be used (e.g. Long Bay, Decadent County, lease number, bed or
lot number);
• Type and quantity of shellstock;
• The following statement, in bold capitalized type, that “THIS TAG IS REQUIRED TO BE
ATTACHED UNTIL CONTAINER IS EMPTY AND THEREAFTER KEPT ON FILE FOR 90
DAYS." and
• All shellstock intended for raw consumption shall include a consumer advisory and follow the
Time-Temperature Matrix Control. The following statement, from section 3-603.11 of the 2001
Food Code, or an equivalent statement shall be included on all shellstock: “RETAILERS,
INFORM YOUR CUSTOMERS” “Consuming raw or undercooked meats, poultry, seafood,
shellfish or eggs may increase your risk of food borne illness, especially if you have certain
medical conditions.”

When both the dealer and harvester tags appear on the container, the dealer tag is not required to list the
date of harvesting, and the harvest location or the aquaculture site. A harvester's tag must be in place
while the shellstock is being transported to a dealer. The dealer must keep the harvester’s tag in place
until the container of shellstock is shipped or until it is broken open for washing, grading and packing.
Once the container is broken open, the dealer must:

• keep the harvester tag for 90 days;

• keep track of the growing area and date of harvest of all shellstock; and
• maintain the lot identity of all shellstock in an intermediate stage.

Except for shellstock that originated from a depuration-processor, shellstock transported across state lines
and placed in wet storage must include the following information on its shipping tag after removal from
wet storage:

• All information required on a dealer’s tag as specified above; and

• The statement that “THIS PRODUCT IS A PRODUCT OF (NAME OF STATE) AND WAS
WET STORED AT (FACILITY CERTIFICATION NUMBER) FROM (DATE) TO (DATE)”
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Lot of shellstock tagging in the washing, packing and staging of shellstock is permissible only when the
lot container (i.e., the pallet) is tagged as required in a protocol approved by the Authority. The protocol
shall provide for lots of shellstock to be separated and identified to prevent commingling or
misidentification. The tag on each lot of shellstock shall contain the following minimum information:

ALL SHELLFISH CONTAINERS IN THIS LOT HAVE THE SAME DATE AND AREA OF
HARVEST.

Harvest Date__________________________________________

Harvest Area__________________________________________

Original Dealer/Shipper #_________________________________

# of units in this lot container_______________________________

The dealer's tag must be put on all containers of shellstock before they are shipped to another dealer or
retailer. Prior to shipment, all containers of shellstock must remain easily identified and continue to be
separated to prevent commingling or misidentification. The protocol approved by the Authority shall
provide for lots of shellstock to be separated and identified so as to prevent commingling or
misidentification. The allowable means of identification are:

• A harvester’s tag containing the information required above on harvester’s tags;

• A dealer's tag containing the information required above on dealers tags; and
• A lot of shellstock tag designed in the manner required above for lot tags.

TAG REQUIREMENTS FOR RELAYING

In relay operations, the method of shellstock identification (tagging, bulk load records, etc.) is left to the
discretion of the Authority. When the relay process is conducted using containers, a need exists to
develop a container identification system to locate and avoid removal of containers before the natural
cleansing process is complete. Once the relay operation is complete, the shellstock is subject to the
tagging requirements for harvesters and dealers.

DEPURATION TAG REQUIREMENTS

Shellstock that has been subjected to depuration requires an increased level of control because of the
increased potential for contamination. These controls must include packaging and tagging that will serve
to help identify the depuration cycle of each harvest lot and to deter illegal commingling of shellstock
which has not been depurated with depurated shellstock. The Authority may require the harvester to use
special tags or to provide additional information on the tags. At a minimum, the harvester’s tags (or
transaction records used for bulk shipments) must identify the growing area, provide the harvester’s
special license number, and specify the harvest date and the quantity of shellstock.

The dealer’s (i.e. the depuration processor) tags must, at a minimum, include the following information in
a legible and indelible form:

• The dealer’s name and address;

• The dealer’s certification number as assigned by the Authority;
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• The date of depuration processing;

• The depuration cycle number or lot number;
• The most precise identification of the harvest location as is practicable including the initials of the
state of harvest, and the Authority’s designation of the growing area by indexing, administrative
or geographic designation. If growing areas have not been indexed by the Authority, then an
appropriate geographical or administrative designation must be used (e.g. Long Bay, Decadent
County, lease number, bed or lot number);
• The type and quantity of shellstock;
• The statement, in bold capitalized type, that "THIS TAG IS REQUIRED TO BE ATTACHED
UNTIL CONTAINER IS EMPTY AND THEREAFTER KEPT ON FILE FOR 90 DAYS."
and
• All shellstock intended for raw consumption shall include a consumer advisory and follow the
Time-Temperature Matrix Control. The following statement, from section 3-603.11 of the 2001
Food Code, or an equivalent statement shall be included on all shellstock: “RETAILERS,
INFORM YOUR CUSTOMERS” “Consuming raw or undercooked meats, poultry, seafood,
shellfish or eggs may increase your risk of food borne illness, especially if you have certain
medical conditions.”

Attachment 1

In the event of a shellfish related illness, tags are a tool, which, used in concert with records, should
provide for trace ability of live shellstock from the final consumer back through every middle man,
(retailer, wholesaler, carrier, and dealer) who handled the product, to a specific growing area, harvest
date, and ultimately, if possible, the individual person who harvested the shellstock.

The following options are recommended for inclusion on tags to improve the effectiveness of the NSSP
tagging program.

• Include the statement "Perishable; keep refrigerated" on the tag in bold print.
• Include the "Date Shipped" on the tag.
• Maintain flexibility in the tagging program to take advantage of evolving materials and
technology (e.g. UPC coding)

Tag Construction: Durable, waterproof and a minimum size of 2 5/8 inches by 5 1 / 4 inches (6.7 cm by
13.3 cm)

Examples of Shellstock Tags

This tag is an example of a harvester’s tag with the minimum NSSP required information in the required
order.

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This tag is an example of a dealer’s tag with the minimum NSSP required information in the required
order.

While both of the previous examples contain the minimum required information in the required order,
many firms also customize the tags with additional information. Such information might include space for
the consignee’s address, date shipped, reshipper certification number, date reshipped, and a “Perishable-
Keep Refrigerated” statement. Some firms also opt to preprint the types of shellfish with a check-off
space. When customizing the tag, the order of the minimum required information cannot be changed.

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This tag is an example of a dealer tag which meets the NSSP requirements and has been modified to
include additional information. It also has the pin feed feature to allow printing on the dot matrix printer.

This tag is an example of a tag for depurated shellstock with the minimum NSSP required information in
the required order.

When shellstock is transported interstate and placed in wet storage, special tagging requirements must be
met. See the NSSP Model Ordinance for details. This tag is an example of a dealer tag modified for
labeling product transported across State lines and subsequently wet stored.

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Tags are available through various sources. In some states, the Authority sells the tags which are
sequentially numbered for accountability. There are also grower’s associations which bulk purchase tags
for their members at considerable savings. Individual dealers can also have tags printed at local print
shops.

Tyvek is one example of a durable waterproof material commonly used for shellstock tags.

Some states require additional information on tags which exceeds the NSSP requirements. A dealer
should verify the receiving state’s requirements prior to shipment to that state.

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.05 Protocol for Addressing Positive Coliform Sample in an

Artificial Wet Storage Water Body

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.05 Protocol for Addressing Positive Coliform Sample in an
Artificial Wet Storage Water Body Page 2 of 2

Description: Flow chart showing the protocol for addressing positive coliform results in artificial wet
storage water bodies.

Collect weekly water samples for recirculating systems and daily samples for continuous flow through
systems not using an approved water source.

If the water sample is negative for coliforms in either system, no action is required.

If the water sample is positive for coliforms in the recirculating system, institute daily sampling.

The authority should be notified of a failure in either system.

Troubleshoot the HACCP Plan and operations by (1) Verifying that shellstock is from an approved
growing area, (2) Reviewing maintenance records, (3) Reviewing system operations, (4) Verifying
employee health, (5) Reviewing the sampling protocol, (6) Looking for an obvious reason for in-plant re-
growth, (7) Determining that UV lamps are operating properly, and (8) Confirming the quality of the
source water.

If no likely public health concern is found after troubleshooting, the product may be shipped and the
problem causing the positive coliform result shall be fixed. Once fixed, re-verify through sampling that
the system’s water quality is acceptable.

If a potential public health concern is found after troubleshooting, the product may be depurated, relayed,
cooked, replanted for long-term relay, or discarded and the problem causing the positive coliform result
shall be repaired. Once repaired, re-verify through sampling that the system’s water quality is acceptable.
If the system fails after re-verification, attempts to repair the system must be made until the re-verification
demonstrates acceptable water quality.

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.06 Guidance for Reinstating a Previously Infected Employee

The dealer and/or supervisor may reinstate an excluded employee under one or more of the following
conditions: [K]

A. The employee is recovered from Norovirus illness and more than 24 hours have passed since the
employee became completely asymptomatic, or the employee provides the dealer or supervisor
with written medical documentation from a health practitioner stating that the employee is free of
a Norovirus infection with one of the following:
1. Test results show two consecutive negative stool samples taken at least 24 hours apart; or
2. Otherwise determined by the health practitioner to be free of a Norovirus infection.
B. The employee diagnosed with an infection from Norovirus is now completely asymptomatic, and
the employee provides written medical documentation from a health practitioner stating that the
employee is free from Norovirus infection with one of the following:
1. Test results show two consecutive negative stool samples taken at least 24 hours apart; or
2. Otherwise determined by the health practitioner to be free of a Norovirus infection.
C. The employee diagnosed with an infection from Norovirus is completely asymptomatic and
without medical documentation, and more than 24 hours have passed since the employee became
completely asymptomatic, or the employee never developed symptoms and more than 24 hours
have passed since the employee was diagnosed.
D. Except when diagnosed with an infection from Norovirus, hepatitis A virus, Salmonella typhi,
Shigella spp., or Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, and when the
employee was excluded because of symptoms of vomiting and/or diarrhea, the employee is
asymptomatic for at least 24 hours or provides the dealer and/or supervisor with written medical
documentation stating the symptom is from a noninfectious condition.
E. When the employee is symptomatic with jaundice or is diagnosed with an infection from hepatitis
A virus, one of the following conditions is met:
1. The employee has been jaundiced for more than 7 calendar days;
2. Documentation of test results from a medical practitioner is provided that show falling
liver enzymes in at least two consecutive blood tests; or
3. Documentation is provided from a health practitioner otherwise determining the
employee to be free of a hepatitis A virus infection.
F. When excluded because of a diagnosis or a previous reported infection of Salmonella typhi, the
employee provides written medical documentation from a health practitioner stating that the
employee is free from S. typhi infection;
G. When diagnosed with an infection from Shigella spp. and completely asymptomatic, and one of
the following conditions is met:
1. The employee provides to the dealer or supervisor written medical documentation from a
health practitioner stating that the employee is free of a Shigella spp. infection based on
test results from 2 consecutive stool specimens taken at least 48 hours after
discontinuance of antibiotics and taken at least 24 hours apart report negative findings for
Shigella spp.; or

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2. Without medical documentation if all symptoms of vomiting and/or diarrhea have

resolved and more than 7 calendar days have passed since the employee became
completely asymptomatic, or if the employee never developed symptoms and more than
7 calendar days have passed since the diagnosis.
H. The employee of the dealer that was excluded because of a diagnosis of infection from
Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, the employee is completely
asymptomatic and one of the following conditions is met:
1. The employee provides written medical documentation from a health practitioner stating
that the employee is free of an infection from Enterohemorrhagic or Shiga Toxin-
producing Escherichia coli based on test results showing 2 consecutive negative results
for Enterohemorrhagic or Shiga Toxin-producing Escherichia coli, from stool specimens
occurring at least 24 hours apart, and not earlier than 48 hours after discontinuance of
antibiotics; or
2. Without medical documentation if the asymptomatic employee was excluded or restricted
after symptoms of vomiting or diarrhea have resolved, and more than 7 calendar days
have passed since the employee became asymptomatic, or the asymptomatic employee
was excluded or restricted without ever developing symptoms, and more than 7 calendar
days have passed since the employee was diagnosed.
I. For an employee of the dealer that was excluded because an illness exhibiting acute sore throat
with fever symptoms, the employee provides written medical documentation from a health
practitioner stating that the employee meets one of the following conditions:
1. Employee has received antibiotic therapy for Streptococcus pyogenes infection, as
determined by a health practitioner, for more than 24 hours;
2. Employee has at least one negative throat specimen culture to Streptococcus pyogenes
infection; or
3. Employee is otherwise determined by a health practitioner to be free of a Streptococcus
pyogenes infection;
J. For an employee of the dealer that was excluded because of an unprotected infected wound, cut,
or pustular boil, restriction may be removed when the infected wound, cut, or pustular boil is
properly covered with one of the following:
1. A dry, durable, tight-fitting, impermeable bandage and a single-use glove is worn over
the impermeable cover on the hand, finger or wrist;
2. A dry, durable, tight-fitting, impermeable bandage is worn over the wound on the arm; or
3. A dry, durable, tight-fitting, impermeable bandage is worn over the wound on other parts
of the body.
K. For an employee of the dealer that was excluded because of exposure to a known foodborne
pathogen, restriction may be removed as follows:
1. If exposed to Norovirus, one of the following conditions is met:
a. More than 24 hours have passed since the last day the employee was potentially
exposed, or
b. More than 24 hours have passed since the employee's household contact became
asymptomatic.
2. If exposed to Shigella spp., or Enterohemorrhagic or Shiga Toxin-producing Escherichia
coli, one of the following conditions are met:
a. More than 3 calendar days have passed since the last day the employee was
potentially exposed, or
b. More than 3 calendar days have passed since the employee's household contact
became asymptomatic;

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3. If exposed to S. typhi, one of the following conditions are met:

a. More than 14 calendar days have passed since the last day the employee was
potentially exposed, or
b. More than 14 calendar days have passed since the employee's household contact
became asymptomatic;
4. If exposed to hepatitis A virus, one of the following conditions are met:
a. More than 30 calendar days have passed since the last day the employee was
potentially exposed, or
b. More than 30 calendar days have passed since the employee's household contact
became jaundiced.

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Section IV. Guidance Documents

Chapter IV. Naturally Occurring Pathogens Page 1 of 18

.01 Vibrio Risk Management for Oysters

Background

Current information concerning Vibrio vulnificus, which is responsible for several shellfish associated
illnesses and deaths each year can be found in Watkins and McCarthy (1994).

A small number of shellfish-borne illnesses have also been associated with bacteria of the genus Vibrio
(Bonner, 1983; Blake et al.,1979; Morris, 1985; Joseph et al.,1982; Roderick, 1982). The Vibrios are
free-living aquatic microorganisms, generally inhabiting marine and estuarine waters (Joseph et al, 1982:
Spira, 1984; Colwell 1984; Bachman, 1983 ). Among the marine Vibrios classified as pathogenic are
strains of non-01 Vibrio cholerae, V. parahaemolyticus, and V. vulnificus (Bachman, 1983;
Desmarchelier, 1984; Blake, 1980). All three species have been recovered from coastal waters in the
United States and other parts of the world (Joseph, 1982; Colwell, 1984; Blake, 1980; DePoala, 1981;
Madden, 1982; Davey, 1982; Oliver, 1983; Tamplin, 1982; NIH, 1984). These and other Vibrios have
been detected in some environmental samples recovered from areas free of overt sewage contamination
and coliform (Bonner, 1983; Joseph, 1982; Spira, 1984).

In general, shellfish-borne vibrio infections have tended to occur in coastal areas in the summer and fall
when the water was warmer and vibrio counts were higher (Bonner, 1983; Morris, 1985; Joseph, 1982).
V. parahaemolyticus and non-01 V. cholerae are commonly reported as causing diarrhea illness
associated with the consumption of seafood including shellfish (Bonner, 1983; Blake, 1979; Morris,
1985; Joseph, 1982; Baross and Liston, 1970; Morris, 1981). In contrast, V. vulnificus has been related to
two distinct syndromes: wound infections, often with tissue necrosis and bacteria, and primary septicemia
characterized by fulminant illness in individuals with severe chronic illnesses such as liver disease,
hemochromatosis, thalassemia major, alcoholism or malignancy (Bonner et al., 1983; Tacket, 1984).
Increasing evidence shows that individuals with such chronic diseases are susceptible to septicemia and
death from raw seafood, especially raw oysters (Bonner et al., 1983; Blake, 1979; Morris, 1985; Rodrick,
1982; Bachman, 1983; Blake, 1980; Oliver, 1983; NIH, 1984; Tacket, 1984; Oliver 1982; FDA, 1985).
Shellfish-borne vibrio infections can be prevented by cooking seafood thoroughly, keeping them from
cross contamination after cooking, and eating them promptly or storing them at hot (60°C or higher) or
cold (4°C or lower) temperatures. If oysters and other seafood are to be eaten raw, consumers are
probably at lower risk to vibrio infection during months when seawater is cold than when it is warm
(Blake, 1983 and 1984).

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.02 Vibrio vulnificus Management Plan

The voting delegates at the 1999 Annual Meeting in New Orleans created the Vibrio Management
Committee (VMC). Subsequently, Vibrio vulnificus and Vibrio parahaemolyticus subcommittees have
been charged to develop appropriate illness control measures for these two pathogens. The VMC provides
guidance and oversight to the subcommittees. Subcommittee recommendations are reviewed by the VMC
before submittal to Task Forces. At the 2001 annual meeting, Task Forces reviewed the VMC's
recommendation of reducing the rate of etiologically confirmed shellfish-borne Vibrio vulnificus
septicemia with the intention to submit the recommendation to the voting delegates. The goal is to reduce
the rate of illness reported in California, Florida, Louisiana and Texas due to the consumption of
commercially harvested raw or undercooked oysters by 40 percent, for years 2005 and 2006 (average) and
by 60 percent for years 2007 and 2008 (average) from the average illness rate for the years 1995 - 1999 of
0.306/million. The list of states may be adjusted if after a thorough review, epidemiological and statistical
data demonstrates that it would be appropriate. The rate of illness shall be calculated as the number of
illnesses adjusted for population. This adjustment will be performed in consultation with statisticians and
epidemiologists from California, Florida, Louisiana and Texas and Federal agencies. The baseline data
and all future data for measuring illness reduction shall be the reported illnesses in the California, Florida,
Louisiana and Texas for the period 1995 to 1999, inclusive, as compiled by the Southeast Regional Office
of the U.S. Food and Drug Administration. The data used for measuring goal attainment shall begin with
2002 data. For the purpose of maintaining an accurate count of the number of illnesses report by each
state (California, Florida, Louisiana and Texas), the following will apply:

(a) Illness cases counted are those reported by California, Florida, Louisiana and Texas;

(b) Each illness case is recorded under the state that reports it;

(c) Each case is not counted more than once; and

(d) In the event more than one report per case is filed, the case is recorded under the state of
diagnosis.

The formula for calculating the rate of illness is as follows:

number of cases
population

The V.v. subcommittee members will include, at a minimum, balanced representation from industry and
state shellfish control authorities from Vibrio vulnificus Illness Source States California, Florida,
Louisiana and Texas, FDA, NOAA, EPA, CDC, state epidemiologists; as well as industry and shellfish
control representatives from other regions. Vibrio vulnificus Illness Source States are those states
reporting two (2) or more etiologically confirmed shellfish-borne Vibrio vulnificus illnesses since 1995
traced to the consumption of commercially harvested raw or undercooked oysters that originated from the
waters of that state. Etiologically confirmed means those cases in which laboratory evidence of a specific
agent is obtained and specified criteria are met.

Recognizing the increasing importance and roles for the Committee, leadership will be expanded and
structured in a similar manner as stated in the ISSC By-Laws for Task Forces (reference: ISSC By-Law,
Article I Task Forces). The VMC Chair shall alternately be selected from a state shellfish control
authority and from industry. The Board Chairman, with approval of the Board, shall appoint a VMC
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Chair and Vice-Chair. If the VMC Chair represents a state shellfish control authority, the Vice-Chair shall
be an industry representative. At the end of the VMC Chair's term of office, the Vice Chair will become
Chairman and a new Vice Chair will be appointed who represents the same segment of the Conference as
the outgoing VMC Chair. A VMC Chair and Vice Chair should be appointed before October 1, 2001 in
order to be consistent with plans for annual VMC meetings and with the effective date of Vibrio
vulnificus Risk Management Plans. Likewise, the term of office shall be for (2) years.

The VMC will meet at least annually to develop and approve annual VMC work plans for Vibrio
vulnificus illness reduction and review progress. A series of work plans, each covering a one-year period
shall be adopted. The first work plan and progress review period will cover a seventeen-month period
from August 1, 2001 to December 31, 2003 followed subsequently by annual work plans. Work plans will
include goals, tasks, performance measures and assessment methods to track and achieve progress
towards the illness reduction goals. The work plans will be developed by the VMC and approved by the
VMC membership. The chair of the VMC will deliver a written annual progress report, including a
summary of the previous year's progress made in the education program, to the ISSC March executive
board meeting. The report shall be made available to the general membership. The annual work plan
structure, outlined below, provides adaptive management and assures consistent progress towards the
illness reduction goals. If annual assessment of progress towards achieving the illness rate reduction goals
show inadequate progress the VMC shall incorporate actions into current and subsequent work plans to
assure success in achieving those goals. In addition, if annual review shows inadequate progress the VMC
will develop issues for deliberation at the 2005 biennial meeting to consider actions such as:

• increased educational efforts,

• limited harvest restriction,
• reduction in time from harvest to refrigeration,
• phased-in post-harvest treatment requirements, or
• other equivalent controls.

Work plans developed by the VMC shall include the following elements and shall define the
administrative procedures and resources necessary for accomplishment (i.e. establishment and
maintenance):

(a) An ISSC Consumer Education Program targeted toward individuals who consume raw oysters and
whose health condition(s) increase their risk for Vibrio vulnificus infection. The Education Program's
objectives will be 1) to increase the target audience's awareness that eating raw, untreated oysters can
be life-threatening to them, and; 2) to change the at-risk group's oyster-eating behavior, i.e., to reduce
or stop eating raw, untreated oysters. The ISSC Vibrio Management Committee and the Vibrio
vulnificus Education Subcommittee will evaluate Year 2001 survey results and compare them with
the Year 2003 or 2004 survey results to determine the effectiveness in meeting the two objectives of
the Vv education effort: (1) Show 40% increase in awareness of risk from Vv; and (2) Show 15%
increase in at-risk consumers no longer eating raw oysters while minimizing impacts to non-at-risk
consumer raw oyster consumption.

(i) The Consumer Education Program will focus educational efforts in California, Florida,
Louisiana and Texas. The Education Program will make educational materials available to
additional states upon request.

(ii) Educational approaches will emphasize partnerships with health and advocacy
organizations, and include dissemination of printed materials, posting materials on the

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Internet, broadcast of television spots, press releases, and other measures deemed effective
such as the USDA Physician Notification Program.

(iii) Survey assessments at the state level shall be used as a means of assessing the baseline
knowledge and effectiveness of educational interventions.

(b) Administration of a survey to determine the current Vibrio vulnificus disease reporting and
education in each state.

(c) Creation of a working group to work cooperatively with local, state, and federal agencies and
programs to assist in the collection of environmental and epidemiological data to further expand on
the current information available. A coordinator may be utilized to facilitate the activities of this
working group to develop standardized collection of environmental and epidemiological information
from harvest to consumer.

(d) The Voting Delegates at the 2007 Biennial Meeting in Albuquerque, New Mexico approved
appointment of a committee that will consist of three (3) epidemiologists and advisors as appropriate.
The Committee will use this form to screen cases for the purposes of determining if a case is
attributable to a single source state as well as whether the case is includable in the Vv Illness
Reduction Goals. In addition, to ensure uniformity, the form shall be used for screening 2007-2008
cases and that cases from the baseline will be screened using the same form.

Criteria FOR INCLUDING Vv CASES IN ILLNESS REDUCTION CALCULATIONS and

determining source states

1. Each case that is considered must be reported on a Center for Disease Control and
Prevention Cholera and Other Vibrio Illness Surveillance Report (COVIS) Form CDC
52.79.
2. Each case must also be listed be on the FDA database (NSSP Guide for the Control of
Molluscan Shellfish Guidance Documents Chapter IV .02).
3. The ISSC committee to review reported Vv illnesses to determine the appropriateness of
inclusion into the database used for illness reduction calculations must have access to the
COVIS form for each case (patient names and other necessary information appropriately
redacted). The ISSC addendum form is also provided, where available. This access to
the COVIS form is critical for adequate interpretation of the data collected during the
state epidemiological investigation.
4. The ISSC Vv Illness Review Committee will complete the following criteria table for
each case. These tables serve as documentation.
5. For cases to be included in illness reduction calculations the following criteria must be
met:
ƒ Item 1-4 and 5a must be answered yes.
ƒ Should the COVIS form include information that suggests other exposures that
may be responsible for the Vv illness further investigation may occur.
Consultation with State Shellfish Control Authorities and Epidemiologist from
the state is encouraged to determine which exposure should be recorded as the
cause of illness. Should oyster consumption not be determined to be the cause of
illness the case will not be counted. Should there be disagreements with the
inclusion of a case; the disagreeing party may request a review. The request
must include a rationale for the review and should be addressed to the Executive
Board Chairman.
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ƒ If 5b is no, other exposures should be considered. If no other exposures exist, the

case will not be counted.
ƒ Should the only exposure be consumption of cooked oysters or unknown 5b will
be checked yes.

Vibrio vulnificus Criteria Table

Case Identifier / Number ______________ Criteria Status Determination
Criteria Yes No Unknown
1. Etiologically Confirmed
2. Septicemia Illness
3. Reporting State (CA, FL, LA, TX)
4. Commercial Harvest from US Production
5. Exposures
a. Onset Consistent with Consumption of Oysters
b. Raw or undercooked oysters
6. Traceback Information
a. Were shipping tags available or was other traceback
information reported
b. State of harvest and harvest area (s)
c. Harvest date (s)
7. Case Determination
a. Is case included in Vv illness reduction Calculations
b. Is case attributed to a single source state
Instructions for completing Criteria Table:

o Check YES if Criterion is confirmed from the COVIS form or addendum.

o Check NO if Criterion is not confirmed from the COVIS form or addendum.
o Check UNKNOWN if Criterion is not clear or absent from the COVIS form or
addendum.
o No Criterion can have more than one check entered.
o Each Criterion must have one check entered (YES, NO, or UNKNOWN).

These criteria tables will be used to review reported Vv illnesses to determine the appropriateness
of inclusion into the database used for illness reduction calculations and will also be used for
identifying other source states.

(e) Industry-implemented post-harvest controls to reduce Vibrio vulnificus levels in oyster shellstock
which may include: time-temperature, post harvest treatment (i.e. hydrostatic pressure, cool
pasteurization, IQF, and irradiation--pending approval), rapid chilling and other emerging
technologies.

(f) Pursuit of ISSC options such as industry education and communication; FDA label incentives;
PHT specific growing area classifications; targeted time/temperature assessment by FDA during
annual shellfish program evaluations; assistance, as necessary, for the further study and possible
implementation of dockside icing to investigate its effects on shelf life and variations in the
effectiveness of the method as a result of seasonal and regional differences and incentives to add
refrigeration capacity to harvest vessels. The goal will be to provide incentives necessary to post-
harvest treat 25 percent of all oysters intended for the raw, half-shell market during the months of
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May through September harvested from a Source State by the end of the third year (December 31,
2004). The assessment will include the capacity of all operational plants and the capacity of plants
under construction. Should the 25 percent goal not be accomplished, the VMC will investigate and
report their findings as to why the goal was not reached.

(g) Development by the VMC of a list of issues relating to public health, various technologies
including Post-harvest treatments; marketability; shelf -life and similar matters that lend themselves
to investigation. The VMC will work with FDA, NOAA, CDC, EPA, the shellfish industry and other
entities as appropriate to obtain or facilitate the investigation of the issues listed and take the results
into account as it develops plans or recommended Issues for the ISSC.

(h) Provision for VMC compilation and review of the data on rates of illness, which will be made
available to the ISSC at the ISSC Biennial meeting following the year in which the data was gathered.
In the event that the data is not available at the time of the meeting, the VMC shall meet and review
the data when it becomes available and issue a compilation report, which will be made available to
the entire ISSC membership. In the event there is no Biennial meeting scheduled for a certain year,
the VMC shall meet and review the data when it becomes available and issue a compilation report
which will be made available to the entire membership.

(i) Provision for a VMC evaluation of the effectiveness of reduction efforts, which will be conducted
at the end of the fifth year (December 31, 2006). The evaluation will determine whether the 40
percent, 5-year goal to reduce the rate of illness or education/consumer intervention or post harvest
controls performance measures set forth in prior work plans have been achieved. Should the VMC
evaluation indicate the 40 percent, 5 year goal has not been accomplished, the committee will identify
additional harvest controls in the 2007 - 2008 work plan to assure achievement of the 60 percent
reduction in the rate of illness goal by the close of the seventh year. In addition, the VMC will
evaluate the requirements in Section 04.C. with the possibility of changing the controls to achieve
remaining illness reduction goals.

(j) Should a disagreement arise between FDA and the Authority on the equivalency of a control as
described in .04(C), the V.v. Subcommittee will be requested to provide guidance.

(k) In 2006 the Executive Board directed the elimination of the Vv & Vp subcommittees. The VMC
assumed all responsibilities of the subcommittees as outlined in the Vibrio vulnificus Management
Guidance Document. Representation on the VMC Committee will be consistent with all guidance
(VMC and Vv subcommittee) outlined in the Vibrio vulnificus Management Guidance Document.

(l) Shellstock Harvested in Source States Harvesters must include on the tag of all product harvested
for restricted use the statement “for shucking by a certified dealer” and/or “For PHP Only.”
Harvesting controls must be provided by the Authority to ensure that restricted use shellstock is not
diverted to retail or food service. Dealers must establish a restricted use shellstock Critical Limit as
part of their HACCP Plan for receiving. A shipping Critical Control Point must include a restricted
use shellstock disposition step. Restricted use shellstock is not intended for retail or food service.

Should a disagreement arise between FDA and the Authority on the equivalency of a control as described
in .04(C), the V.v. Subcommittee will be requested to provide guidance.

In 2006 the Executive Board directed the elimination of the Vv & Vp subcommittees. The VMC assumed
all responsibilities of the subcommittees as outlined in the Vibrio vulnificus Management Guidance
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Document. Representation on the VMC Committee will be consistent with all guidance (VMC and Vv
subcommittee) outlined in the Vibrio vulnificus Management Guidance Document.

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.03 Vibrio parahaemolyticus Control Plan Guidance

A. Risk Evaluation

The determination of Reasonably Likely to Occur should be conducted as follows:

1. A risk evaluation as described in Proposal 07-202 (with the understanding that ISSC has
not adopted nor endorsed the FDA Vp Risk Assessment); or
2. The risk factor decision tree under development by the VMC using the risk factors
included in Proposal 07-202; or
3. Other approaches approved by the State Authority that provide at least an equivalent
level of protection and reduce the risk so that it no longer constitutes an annual
occurrence.
B. Vibrio parahaemolyticus Control Plan
1. Triggers
A plan for an area(s) or a state must include control measures for the month(s) in which:
a. The total number of Vp illnesses is two or more in a three (3) year period; or
b. The area was epidemiologically linked to an outbreak within the prior five (5)
years and the plan must also apply to the period 30 days prior to the first day of
harvest of the outbreak and 30 days after the last day of harvest associated with
the outbreak; or
c. The average water temperatures representative of harvesting conditions exceed
60 °F for states bordering the Pacific Ocean and 81 °F for states bordering the
Gulf of Mexico and Atlantic Ocean (New Jersey and south). See exemption in
the NSSP Model Ordinance Chapter II.@.05.B.2.; or

The regulatory authority to administer this plan is [To be filled in by the Authority].

2. Control Measures
a. Post Harvest Processing (PHP).
b. Closing the area to oyster harvest.
c. Restrict oyster harvest to product labeled for shucking by a certified dealer, or
other means to allow the hazard to be addressed by further processing.

The authority must notify harvesters and dealers of those areas restricted to
harvest for shucking by a certified dealer, or other means to allow the hazard to
be addressed by further [Link] "For PHP Only." Harvesters must include
on the tag of all product harvested in these areas the statement for shucking by a
certified dealer, or other means to allow the hazard to be addressed by further
[Link] "For PHP Only." Harvesting controls must be provided by the
Authority to ensure that restricted use shellstock is not diverted to retail or food
service. Dealers must establish a for shucking by a certified dealer, or other
means to allow the hazard to be addressed by further [Link] "For PHP
Only" labeling Critical Limit as part of their HACCP plan for receiving. A
shipping Critical Control Point must include a for shucking by a certified dealer,
or other means to allow the hazard to be addressed by further [Link] "For
PHP Only" labeling requirement. Restricted Use Shellstock is not intended for
retail or food service.

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d. Limit time from harvest to refrigeration to no more than five (5) hours or other
times based on modeling and sampling in consultation with FDA.
e. Limit time from harvest to refrigeration such that levels of total Vp after
completion of cooling to 60 °F do not increase more than 0.75 log from levels at
harvest. Calculations for 0.75 log increase can be based on the table as shown
below or based on validation studies. The authority may use the FDA Risk
Assessment to determine the initial "at harvest" levels.
f. The term refrigeration is storage in a container that is capable of dropping and
maintaining ambient air temperature of 45 °F (7.5 °C).
g. Other control measures based on appropriate scientific studies

3. Plan Effectiveness as Demonstrated by:

a. Post Harvest Processing.

Conduct end product testing consistent with PHP verification protocol as

provided in the NSSP Guide for the Control of Molluscan Shellfish. Test results
shall demonstrate the level of total Vp in the final product does not exceed the
average levels found in the area at times of the year the state had determined Vp
illness is not reasonably likely to occur.

Data may be shared between states or other entities as may be appropriate

considering the characteristics of the harvest area(s), such as temperature,
hydrological patterns, etc. In the absence of such state data, use 100/gm for the
Pacific and 1000/gm for the Atlantic/Gulf as provided in the FDA Risk
Assessment.

Note: These levels are significantly higher than those allowed in

validation/verification to non-detectable. Labeling "for added safety" would not
be permitted unless the lower levels were reached.

b. Closing the area to oyster harvest.

Issue a legally binding closure order(s). Conduct Patrol and maintain Patrol
records for the area(s) in accordance with the NSSP MO requirements.

c. Restrict oyster harvest to product labeled for shucking by a certified dealer, or

other means to allow the hazard to be addressed by further processing or "For
PHP Only."

The authority must notify harvesters and dealers of those areas restricted to
harvest for shucking by a certified dealer, or other means to allow the hazard to
be addressed by further processing or “For PHP Only.” Harvesters must include
on the tag of all product harvested in these areas the statement “for shucking by a
certified dealer, or other means to allow the hazard to be addressed by further
processing” or “For PHP Only”. Dealers must establish a for shucking by a
certified dealer, or other means to allow the harvest to be addressed by further
processing or “For PHP Only” labeling Critical Limit as part of their HACCP
Plan for receiving. A shipping Critical Control Point must include for shucking

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by a certified dealer, or other means to allow the hazard to be addressed by

further processing or “For PHP Only” labeling requirement.

d. Limit time from harvest to refrigeration to no more than five (5) hours or other
times based on modeling and sampling in consultation with FDA. Compliance
may be documented by State restriction orders, harvester records, dealer records,
field records, storage records, harvester education/inspections, records of capable
and operating refrigeration.

e. Limit time from harvest to refrigeration such that levels of total Vp after
completion of cooling to 60 °F do not increase more than 0.75 log from levels at
harvest. Calculations for 0.75 log increase can be based on the table as shown
below or based on validation studies. The authority may use the FDA Risk
Assessment to determine the initial "at harvest" levels.

f. The term refrigeration is storage in a container that is capable of dropping and

maintaining ambient air temperature of 45°F (7.5°C).

g. Other control measures based on appropriate scientific studies

4. Plan Modification

5. Cost Benefit Analysis (Optional)

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Temperature specific Vp Growth rates and Doubling times for calculating cumulative growth
based on hourly temperature observations.
Oyster Temperature Growth rate doubling time Oyster Temperature Growth rate doubling time
(degree F) (logs/hr) (hrs) (degree F) (logs/hr) (hrs)
50 0.008 35.8
51 0.011 28.4 76 0.147 2.05
52 0.013 23.1 77 0.156 1.93
53 0.016 19.2 78 0.165 1.83
54 0.019 16.1 79 0.174 1.73
55 0.022 13.8 80 0.183 1.64
56 0.025 11.9 81 0.193 1.56
57 0.029 10.4 82 0.203 1.48
58 0.033 9.14 83 0.213 1.41
59 0.037 8.11 84 0.224 1.34
60 0.042 7.24 85 0.235 1.28
61 0.046 6.50 86 0.246 1.23
62 0.051 5.87 87 0.257 1.17
63 0.056 5.33 88 0.268 1.12
64 0.062 4.86 89 0.280 1.07
65 0.068 4.45 90 0.292 1.03
66 0.074 4.09 91 0.304 0.99
67 0.080 3.77 92 0.317 0.95
68 0.086 3.49 93 0.330 0.91
69 0.093 3.24 94 0.343 0.88
70 0.100 3.01 95 0.356 0.85
71 0.107 2.81 96 0.370 0.81
72 0.115 2.63 97 0.383 0.79
73 0.122 2.46 98 0.397 0.76
74 0.130 2.31 99 0.412 0.73
75 0.139 2.17 100 0.426 0.71

Note: Growth rate (in logs/hr) = (0.01122*Temp – 0.4689)^2

References

1. Bachman, B. et al. 1983. Marine Noncholera Vibrio Infections in Florida. So. Med. Jour. 76:296-
303.
2. Baross, J. and J. Liston. 1970. Occurrence of Vibrio parahaemolyticus and Related Hemolytic
Vibrios in Marina Environments of Washington State. Appl. Microbiol. 20:179-186.
3. Blake, P.A. et al. 1979. Disease Caused by a Marine Vibrio, Clinical Characteristics and
Epidemiology. N. Eng. J. Med. 300: 1-5.
4. Blake, P.A. et al. 1980. Disease of Humans (Other Than Cholera Caused by Vibrios). Ann. Rev.
Microbiol. 34:341-367.
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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.03 Vibrio parahaemolyticus Control Plan Guidance Page 12 of 18

5. Blake, P.A. 1983. Vibrios on The Half Shell: What the Walrus and the Carpenter Didn't Know.
Ann. of Int. Med. 99:558-559.
6. Blake, P.A. 1984. Prevention of Food-Borne Disease Caused by Vibrio Species. In: Colwell,
R.R., et al., eds. Vibrios in the Environment. John Wiley and Sons. New York, NY. pp. 579-590.
7. Bonner, J.R. et al. 1983. Spectrum of Vibrio Infections in a Gulf Coast Community. Ann. Intern.
Med. 99:464-469.
8. Colwell, R.R. 1984. Vibrios In The Environment In: Colwell, R.R.; et al., eds. Vibrios in the
Environment. John Wiley & Sons. New York, NY. pp. 1-12.
9. Davey, G.R. et al. 1982. Detection of Vibrio cholerae In Oysters, Water And Sediment From The
Georges River. Food Technol. Aust. 34:334-336.
10. DePaola, A. 1981. Vibrio cholerae in Marine Foods and Environmental Waters. A literature
review. Jour. of Food Sci. 46:66-70.
11. Desmarchelier, P.M. 1984. Significance Of Vibrio spp. in Foods. Food Technol. Aust. 36:220-
222.
12. Food and Drug Administration. 1985. Vibrio vulnificus and Patients with Liver Disease. In: FDA
Drug Bulletin. April. 15(1):5-6.
13. Joseph, S.W. et al. 1982. Vibrio parahaemolyticus And Related Halophilic Vibrios. CRC Crit.
Rev. in Microbiol. 10:77-124.
14. Madden, J.M. et al. 1982. Vibrio cholerae. In Shellfish From U.S. Coastal Waters. Food Tech.
36(3):93-96.
15. Morris, J.G. Jr. et al. 1981. Non-O group 1 Vibrio cholerae Gastroenteritis in the United States.
Ann. of Int. Med. 94:656-658.
16. Morris, J.G., Jr. et al. 1985. Cholera And Other Vibrioses In The United States. N. Engl. J. Med.
312:343-350.
17. National Institute of Health (NIH). 1984. Highly Invasive New Bacterium Isolated From U.S.
East Coast Waters. JAMA. 251:323-325.
18. Oliver, J.D. 1982. The Pathogenicity and Ecology of Vibrio vulnificus. Marine Tech. Soc. Jour.
15:45-52.
19. Oliver, J.D. et al. 1983. Distribution of Vibrio vulnificus and Other Lactose-Fermenting Vibrios
in The Marine Environment. Appl. Environ. Microbiol. 45:985-998.
20. Rodrick, G.E. et al. 1982. Human Vibrio Gastroenteritis, Symposium On Intestinal Infections.
Med. Clinics of North Amer. 66:665-673.
21. Spira, W.M. 1984. Tactics For Detecting Pathogenic Vibrios In The Environment. In: Colwell,
R.R. et al., eds. Vibrios in the Environment. John Wiley & Sons. New York, NY pp 251-268.
22. Tacket, C.O., et al. 1984. Clinical Features and an Epidemiological Study of Vibrio vulnificus
Infections. Jour. Infect. Dis. 149:558-561.
23. Tamplin, M., et al. 1982. Isolation and Characterization of Vibrio vulnificus From Two Florida
Estuaries. Appl. Environ. Microbiol. 44:1466-1470.
24. Watkins, W. and S. McCarthy. 1994. Proceedings of the 1994 Vibrio vulnificus Workshop. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-400),
Shellfish Sanitation Branch, 200 C Street, SW, Washington, D.C. 175 pages.

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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.04 Post Harvest Processing (PHP) Validation/Verification
Guidance for Vibrio vulnificus and Vibrio parahaemolyticus Page 13 of 18

.04 Post Harvest Processing (PHP) Validation/Verification Guidance for Vibrio vulnificus and
Vibrio parahaemolyticus

A. Process Validation

Used for the initial validation of a process or when there has been a change to a previous
validation process.

1. Data on ten processed samples obtained on each of three processing days (total of 30
samples) are required.
2. All samples used on a processing day must come from the same lot of shellfish and be
determined to have an adjusted geometric mean (AGM) MPN of 10,000 per gram or
greater as described below for initial load testing.
3. Samples should be distributed throughout the processing day. A sample will consist of a
composite of 10 to 12 oysters processed at one time.
4. The zero hour level may be achieved through naturally occurring Vibrio levels in
shellfish and, where not practical, by time/temperature abuse. (Inoculated pack samples
may be used as appropriate.)
5. Analytical methodology to determine Vibrio levels should be the official methods
previously endorsed by the ISSC as indicated in Model Ordinance Chapter XVI. Post
Harvest Processing.
6. Microbiological testing for initial levels will be by a 3-tube MPN using appropriate
dilutions (10-1 to 10-6).
7. Microbiological testing for processed samples will be by a single dilution five-tube MPN,
inoculating with either 0.01 g or 0.1 g of shellfish per tube based upon the table below.
8. The numerical value of the endpoint criteria should be less than 30 per gram and achieves
a minimum 3.52 log reduction.
9. For the process to be validated, no more than three samples out of 30 may fail.
Depending upon the initial load, failure of a single sample is determined according to the
table below.

AGM Interval Grams Per Tube Positive Tubes Allowed

59,995 or Greater .01 2
37,174 – 59,994 .01 1
23,449 – 37,173 .1 4
12,785 – 23,448 .1 3
10,000 – 12,784 .1 2

For example, if the AGM equals 50,000, then use the second row because 37,174 ≤50,000 <
59,994. The second row tells to inoculate with .01 grams of the original oyster homogenate in
each tube and the test fails if more than one of the five tubes is positive.

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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.04 Post Harvest Processing (PHP) Validation/Verification
Guidance for Vibrio vulnificus and Vibrio parahaemolyticus Page 14 of 18

B. Equipment Validation

Used to ensure that each new or modified unit of equipment will deliver the validated process.
May be accomplished using the following:

1. A physical test of the equipment (e.g., thermal distribution study) that is designed to
ensure that, when properly operated, it will consistently deliver the validated process.
2. The process needs to be verified according to section D. before labeling claims can be
made.

C. Initial Load Testing

Initial level of vibrios in shellfish for each lot of shellfish used in validation shall be 10,000 MPN
per gram or greater based on the adjusted geometric mean (AGM) of the MPNs/g of four samples
where the AGM is given by:

AGM = the geometric mean of the 4 MPNs/g multiplied by an adjustment factor of 1.3

Note: If 4 samples from a lot of shellfish with a true density of 100,000 cells per gram are
examined by the MPN procedure, the probability of the geometric mean of the MPNs showing
100,000 or greater is about 50%. In an attempt to improve the probability of samples being
accepted when the true density is 100,000/g an adjustment factor of 1.3 was selected based upon
statistical analysis.

D. Verification

Used to verify that a previously validated process is working properly.

1. Process verification by microbiological testing should be done monthly
2. The monthly sampling shall consist of 30 tubes from a minimum of three samples of 10
tubes each with an innoculum of 0.01 grams. Ideally, this would be done on three
separate days of production, spread throughout the month, using a 10 tube MPN each
day. If this is not feasible, the 30 tubes can consist of 3 samples from three consecutive
days or 3 samples from a given day (from three separate lots if possible)
3. Each sample will consist of 10-12 oysters
4. If more than 11 tubes of the 30 most recent 3-10 tube samples within any calendar month
are positive, then the process fails for that month. In this case, corrective actions as
outlined in the Verification Sampling Plan Decision Tree must be taken and verification
must be repeated within one week of the analysis indicating verification failure. Labeling
claims may not be used during this time.
5. If all ten tubes are positive for any given sample, this is considered a verification failure
and corrective actions must be taken immediately regardless of the result of the other
samples for that month.
6. If verification fails twice during a twelve month period, revalidation is required and
product should not be labeled until revalidation occurs.
7. The dealer in conjunction with the SSCA shall annually evaluate the previous 12 months
of data and the HACCP plan.
8. The dealer may elect, with SSCA concurrence, to conduct quarterly sampling if the
previous 12 verification samples pass.

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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.04 Post Harvest Processing (PHP) Validation/Verification
Guidance for Vibrio vulnificus and Vibrio parahaemolyticus Page 15 of 18

Verification Sampling Protocol Decision Tree

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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.04 Post Harvest Processing (PHP) Validation/Verification
Guidance for Vibrio vulnificus and Vibrio parahaemolyticus Page 16 of 18

Note: When a monthly verification fails, the verification must be reported within one week of failure

References for Vibrio parahaemolyticus Methods

1. Cook, D.W., A. DePaola, and S.A. McCarthy. 2000. Direct plating procedure for the enumeration
of total and pathogenic Vibrio parahaemolyticus in oyster meats. FDA, Office of Seafood, Gulf
Coast Seafood Laboratory, Dauphin Island, AL. 8 pp.
2. Gooch, J.A., A. DePaola, C.A. Kaysner, and D.L. Marshall. 2001. Evaluation of two direct
plating methods using nonradioactive probes for enumeration of Vibrio parahaemolyticus in
oysters. Appl. Environ. Microbiol. 67(2):721-724.
3. Kaysner, C.A. and A. DePaola, Jr. 2001. Chapter 40, Vibrio, p. 405-420. In Downes, F.P. and K.
Ito (eds.), APHA Compendium of Methods for the Microbiological Examination of Foods, 4th
Edition, 2001, American Public Health Association, Washington. D.C.
4. McCarthy, S.A., A. DePaola, C.A. Kaysner, W.E. Hill, and D.W. Cook. 2000. Evaluation of
nonisotopic DNA hybridization methods for detection of the tdh gene of Vibrio
parahaemolyticus. J. Food Protect. 63(12):1660-1664.
5. McCarthy, S.A., A. DePaola, D.W. Cook, C.A. Kaysner, and W.E. Hill. 1999. Evaluation of
alkaline phosphatase- and digoxigenin-labeled probes for detection of the thermolabile hemolysin
(tlh) gene of Vibrio parahaemolyticus. Letters in Applied Microbiology 28(1):66-70.
6. McCarthy, S.A., A. DePaola, C.A. Kaysner, W.E. Hill, and D.W. Cook. 1999. P1. Comparison of
PCR and DNA hybridization methods for detection of the tdh gene of Vibrio parahaemolyticus,
p. 512. In American Society for Microbiology (ed), Abstracts of the 99th General Meeting of the
American Society for Microbiology. American Society for Microbiology, Washington, D.C.

References

1. Bachman, B. et al. 1983. Marine Noncholera Vibrio Infections in Florida. So. Med. Jour. 76:296-
303.
2. Baross, J. and J. Liston. 1970. Occurrence of Vibrio parahaemolyticus and Related Hemolytic
Vibrios in Marina Environments of Washington State. Appl. Microbiol. 20:179-186.
3. Blake, P.A. et al. 1979. Disease Caused by a Marine Vibrio, Clinical Characteristics and
Epidemiology. N. Eng. J. Med. 300: 1-5.
4. Blake, P.A. et al. 1980. Disease of Humans (Other Than Cholera Caused by Vibrios). Ann. Rev.
Microbiol. 34:341-367.
5. Blake, P.A. 1983. Vibrios on The Half Shell: What the Walrus and the Carpenter Didn't Know.
Ann. of Int. Med. 99:558-559.
6. Blake, P.A. 1984. Prevention of Food-Borne Disease Caused by Vibrio Species. In: Colwell,
R.R., et al., eds. Vibrios in the Environment. John Wiley and Sons. New York, NY. pp. 579-590.
7. Bonner, J.R. et al. 1983. Spectrum of Vibrio Infections in a Gulf Coast Community. Ann. Intern.
Med. 99:464-469.
8. Colwell, R.R. 1984. Vibrios In The Environment In: Colwell, R.R.; et al., eds. Vibrios in the
Environment. John Wiley & Sons. New York, NY. pp. 1-12.
9. Davey, G.R. et al. 1982. Detection of Vibrio cholerae In Oysters, Water And Sediment From The
Georges River. Food Technol. Aust. 34:334-336.
10. DePaola, A. 1981. Vibrio cholerae in Marine Foods and Environmental Waters. A literature
review. Jour. of Food Sci. 46:66-70.
11. Desmarchelier, P.M. 1984. Significance Of Vibrio spp. in Foods. Food Technol. Aust. 36:220-
222.

______________________________
2009 NSSP Guide - Page 364 of 504
2009 NSSP Guide for the Control of Molluscan Shellfish
Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.04 Post Harvest Processing (PHP) Validation/Verification
Guidance for Vibrio vulnificus and Vibrio parahaemolyticus Page 17 of 18

12. Food and Drug Administration. 1985. Vibrio vulnificus and Patients with Liver Disease. In: FDA
Drug Bulletin. April. 15(1):5-6.
13. Joseph, S.W. et al. 1982. Vibrio parahaemolyticus And Related Halophilic Vibrios. CRC Crit.
Rev. in Microbiol. 10:77-124.
14. Madden, J.M. et al. 1982. Vibrio cholerae. In Shellfish From U.S. Coastal Waters. Food Tech.
36(3):93-96.
15. Morris, J.G. Jr. et al. 1981. Non-O group 1 Vibrio cholerae Gastroenteritis in the United States.
Ann. of Int. Med. 94:656-658.
16. Morris, J.G., Jr. et al. 1985. Cholera And Other Vibrioses In The United States. N. Engl. J. Med.
312:343-350.
17. National Institute of Health (NIH). 1984. Highly Invasive New Bacterium Isolated From U.S.
East Coast Waters. JAMA. 251:323-325.
18. Oliver, J.D. 1982. The Pathogenicity and Ecology of Vibrio vulnificus. Marine Tech. Soc. Jour.
15:45-52.
19. Oliver, J.D. et al. 1983. Distribution of Vibrio vulnificus and Other Lactose-Fermenting Vibrios
in The Marine Environment. Appl. Environ. Microbiol. 45:985-998.
20. Rodrick, G.E. et al. 1982. Human Vibrio Gastroenteritis, Symposium On Intestinal Infections.
Med. Clinics of North Amer. 66:665-673.
21. Spira, W.M. 1984. Tactics For Detecting Pathogenic Vibrios In The Environment. In: Colwell,
R.R. et al., eds. Vibrios in the Environment. John Wiley & Sons. New York, NY pp 251-268.
22. Tacket, C.O., et al. 1984. Clinical Features and an Epidemiological Study of Vibrio vulnificus
Infections. Jour. Infect. Dis. 149:558-561.
23. Tamplin, M., et al. 1982. Isolation and Characterization of Vibrio vulnificus From Two Florida
Estuaries. Appl. Environ. Microbiol. 44:1466-1470.
24. Watkins, W. and S. McCarthy. 1994. Proceedings of the 1994 Vibrio vulnificus Workshop. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-400),
Shellfish Sanitation Branch, 200 C Street, SW, Washington, D.C. 175 pages.

Description: Flow chart showing the post harvest processing verification sampling protocol and decision
making process.

Collect monthly shellfish meat samples for process verification.

If the monthly samples pass, no action is required.

If the monthly samples fail, take the following measures; (1) Identify the problem, (2) Fix the problem,
(3) re-verify the process by sampling. If the re-verification samples pass, no further action is required. If
the re-verification samples fail, then; (1) Corrective action must be taken on the product, (2) The process
must be investigated, (3) Any problems identified must be adjusted, and (4) The process shall be
revalidated. No labeling claims can be made during the interim revalidation process.

If the monthly samples fail and no problem can be identified then; (1) Adjustments shall be made to the
process, and (2) The process shall be revalidated. No labeling claims can be made during the interim
revalidation process.

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Section IV. Guidance Documents
Chapter IV. Naturally Occurring Pathogens
.05 Guidance for Demonstrating the Effectiveness of Time to Temperature
Reduction Criteria for Vibrio vulnificus and Vibrio parahaemolyticus Page 18 of 18

.05 Guidance for Demonstrating the Effectiveness of Time to Temperature Reduction Criteria for
Vibrio vulnificus and Vibrio parahaemolyticus

A. Time-to-Temperature Protocol
1. Identify the target time/temperature requirements for the specific cooling system/unit.
2. Demonstrate that each cooling method and unit is capable of meeting the target
time/temperature by conducting a process study under worst case conditions for that unit.
The following parameters should be considered and utilized in conducting the process
study:
a. maximum load for the cooling unit
b. initial product temperature (studies have demonstrated that measurement of the
external temperature and the internal meat temperatures are comparable and
either can be used)
c. location of hot spot(s)
d. thermostat setting(s)
e. cooling methods(s) used
f. method of loading the cooling unit
3. Include a description of the process; a record of the process study conducted; and
monitoring records in a HACCP Plan.
4. The protocol should be applied at the first point of refrigeration.

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section IV. Guidance Documents

Chapter V. Illness Outbreaks and Recall Guidance Page 1 of 28

.01 Guidance for Investigating an Illness Outbreak and Conducting Recall

A. Requirements for the Authority.

Shellfish are filter feeders and therefore have the ability to concentrate microorganisms, including human
pathogens and toxigenic micro-algae, from the water column if these organisms are present in the
growing area. Concentrations in the shellfish may be as much as 100 times that found in the water
column. If the microorganisms concentrated are harmful to humans, and if, in the case of human
pathogens, the shellfish are consumed raw or partially cooked, human disease can result. Shellfish can
also be contaminated during transport and post harvest treatment; i.e. wet storage, etc. Shellfish can be
mishandled during processing which can contribute to the growth of existing microorganisms to the point
where consumption can cause illness.

Documentation of the information supporting growing area classification, proper tagging and record
keeping, expeditious follow-up on reported illnesses, effective recall of implicated product and public
warning announcements are all requisite to protecting public health. Shellfish growing areas implicated
through epidemiological association between illness and shellfish consumption must be closed
immediately to prevent additional implicated product from reaching the consumer. In addition, shellfish
product from the implicated growing areas may be detained and an effective recall of product initiated if
the investigation determines that it is necessary to protect public health.

When an illness outbreak investigation indicates that there is an epidemiological association between
shellfish consumption and the illnesses, the investigating state Authority shall immediately inform the
producing state Authority of the illnesses, the stage of the investigation, and epidemiological link to
consumption of molluscan shellfish. Prompt reporting, even in the initial stages of an investigation, will
allow the producing state Authority to conduct its investigation (in accordance with Chapter II @ .01 B.)
and determine whether harvest area closure, notification, and recall are required.

When an illness outbreak has occurred, immediate closure of the implicated growing area(s) will
significantly reduce the chance of additional illnesses during the investigatory process. Immediate closure
for the purposes of this guidance document means within 24 hours of notification of the illness (Chapter
IV. @03. (A)(1)). If a preliminary investigation reveals that the growing area is not implicated, an
immediate closure is not necessary. Additional information concerning investigation of an outbreak of
shellfish related illness believed to be associated with a naturally occurring pathogen can be found in the
NSSP Model Ordinance Guidance Documents: Guidance for a Time-Temperature Evaluation of a
Shellfish Implicated Outbreak (ISSC/FDA, 2002). Additional information concerning the disease causing
potential of shellfish can be found in the NSSP Model Ordinance Guidance Documents: Sanitary Survey
and the Classification of Growing Waters, Guidance for Developing Marine Biotoxin Contingency Plans,
and Shellstock Relay (ISSC/FDA, 2002).

The Authority should assign an Illness Investigation/Recall Coordination Lead (the Lead) for the agency
to be listed on the ISSC website as the agency contact person. The Lead will be the agency contact for the
duration of the event.

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance Page 2 of 28

During and after the immediate closure, the Authority must be in the process of investigating, evaluating
and conducting increased surveillance. Immediate closures will not always result in an immediate recall
of product. It is imperative that the Authority communicate with state epidemiologists, local health
officials, pertinent state agencies, industry and others as necessary to complete a thorough investigation.

Additionally, immediate closures may not be necessary if the investigation reveals that the illness
outbreak was caused by a specific activity by a single entity which can be controlled through a product
recall and an immediate corrective action in the processing or transport of product.

An illness outbreak investigation must include an evaluation of the health hazard presented and
consideration of the following factors, including but not limited to:

1. Immediately send staff members out to perform growing area reconnaissance,

2. Review documentation of the information supporting growing area classification, review
environmental sample trends, secure additional shellstock and/or water samples if necessary
3. Review toxin sample trends, sampling protocol and supporting information for biotoxin closures,
secure additional shellstock and/or water samples if necessary
4. Interview local sources regarding any anecdotal or factual information on the origin of
contaminants (large passenger vessels, point and non-point sources),
5. Immediately send staff members out to interview certified dealer(s), restaurant staff members or
retail establishment staff members to secure additional details regarding tagging, record keeping,
refrigeration temperatures, handling practices, shipping and receiving information and where and
from whom the shellfish products were purchased, name and telephone number of contact person,
6. When possible, interview harvesters in the area of concern to determine handling practices and
specific harvest area(s)
7. Determine the identity of the product involved, the extent of distribution of implicated product,
total amount of the suspected product, total amount in distribution chain, distribution information
and proposed recall strategy.

A product recall may not be appropriate when an illness outbreak investigation reveals the following,
including but not limited to:

• When the etiological and epidemiological evidence confirms that shellfish from a specific
growing area or lease area are the cause of the illnesses
• When it has been determined that a specific process conducted by a dealer is the cause of the
illnesses

A product recall may not be appropriate when an illness outbreak investigation reveals, but is not limited
to, the implicated product is no longer available in the market.

When the source of the illness is found to be the distribution and processing system, shellfish product
should be also detained and an effective recall of product initiated, and the problem immediately
corrected. Under these circumstances no closure of the growing waters is warranted in accordance with
Model Ordinance, Chapter II, @.01D.

An area which was closed due to an illness outbreak can be reopened using the criteria outlined in the
Model Ordinance, Chapter IV @ 03 (A) (5) (c):

(c) Reopened Status. A growing area temporarily placed in the closed status (as provided in (b)
above), shall be returned to the open status only when:
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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance Page 3 of 28

(i) The emergency situation or condition has returned to normal and sufficient time has
elapsed to allow the shellstock to reduce pathogens or poisonous or deleterious substances
that may be present in the shellstock to acceptable levels. Studies establishing sufficient
elapsed time shall document the interval necessary for reduction of contaminant levels in the
shellstock to pre-closure levels. In addressing pathogen concerns, the study may establish
criteria for reopening based on coliform levels in the water; or

(ii) The requirements for biotoxins or conditional area management plans as established in
§.04 and §.03, respectively, are met; and

(iii) Supporting information is documented by a written record in the central file.

Whenever an Authority initiates a recall of shellfish products because of public health concerns, the
Authority will monitor the progress and success of the recall. The Authority will immediately notify the
FDA, Authorities in other states/countries, ISSC and industry involved in the recall. Each Authority
involved in a recall will implement actions to ensure removal of recalled product from the market and
issue public warnings if necessary to protect public health.

Pursuant to the Model Ordinance Chapter II. @ 01 (c) (4) and (D) (2) an Authority initiated recall shall
include procedures consistent with The Recall Strategy as provided in 21 CFR Part 7.41, 7.42 and 7.50 as
listed below: [for purposes of this guidance “the Authority” will be substituted for “the agency for a Food
and Drug Administration”]

FDA will decide whether to audit or issue public warnings after consultation with the Authority(ies), and
after taking into account the scope of the product distribution and other related factors. After consultation
with the Authority(ies) and after taking into account the scope of the product distribution and other related
factors, FDA may audit and/or issue public warnings. If the FDA determines that any Authority involved
in the recall fails to implement effective actions to protect public health, the FDA may audit, classify the
severity of and publish the recall, including the issuance of public warnings when appropriate.

21 CFR Part 7.41:

Health hazard evaluation and recall classification.

(a) An evaluation of the health hazard presented by a product being recalled or considered for recall
will be conducted by an ad hoc committee of Food and Drug Administration scientists and will take
into account, but need not be limited to, the following factors:

(1) Whether any disease or injuries have already occurred from the use of the product.
(2)Whether any existing conditions could contribute to a clinical situation that could expose
humans or animals to a health hazard. Any conclusion shall be supported as completely as
possible by scientific documentation and/or statements that the conclusion is the opinion of
the individual(s) making the health hazard determination.
(3) Assessment of hazard to various segments of the population, e.g., children, surgical
patients, pets, livestock, etc., who are expected to be exposed to the product being considered,
with particular attention paid to the hazard to those individuals who may be at greatest risk.
(4) Assessment of the degree of seriousness of the health hazard to which the populations at
risk would be exposed.
(5) Assessment of the likelihood of occurrence of the hazard.
(6) Assessment of the consequences (immediate or long-range) of occurrence of the hazard.
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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance Page 4 of 28

(b) On the basis of this determination, the Food and Drug Administration will assign the recall a
classification, i.e., Class I, Class II, or Class III, to indicate the relative degree of health hazard of the
product being recalled or considered for recall.

§ 7.42 Recall strategy.

(a) General.

(1) A recall strategy that takes into account the following factors will be developed by the
agency for a Food and Drug Administration-requested recall and by the recalling firm for a
firm-initiated recall to suit the individual circumstances of the particular recall:

(i) Results of health hazard evaluation.

(ii) Ease in identifying the product.
(iii) Degree to which the product's deficiency is obvious to the consumer or user.
(iv) Degree to which the product remains unused in the market place.
(v) Continued availability of essential products.

(b) Elements of a recall strategy. A recall strategy will address the following elements regarding the
conduct of the recall:

(1) Depth of recall. Depending on the product's degree of hazard and extent of distribution,
the recall strategy will specify the level in the distribution chain to which the recall is to
extend, as follows:

(i) Consumer or user level, which may vary with product, including any intermediate
wholesale or retail level; or
(ii) Retail level, including any intermediate wholesale level; or
(iii) Wholesale level.

Means of notification, methods of collecting related information, and summary of findings.

Recall notification procedures should be standardized to assure compliance with Title 21 CFR, §7.42:

(2) Public warning. The purpose of a public warning is to alert the public that a product being recalled
presents a serious hazard to health. It is reserved for urgent situations where other means for
preventing use of the recalled product appear inadequate. The Food and Drug Administration in
consultation with the recalling firm will ordinarily issue such publicity. The recalling firm that
decides to issue its own public warning is requested to submit its proposed public warning and plan
for distribution of the warning for review and comment by the Food and Drug Administration. The
recall strategy will specify whether a public warning is needed and whether it will issue as:

(i) General public warning through the general news media, either national or local as
appropriate, or
(ii) Public warning through specialized news media, e.g., professional or trade press, or to
specific segments of the population such as physicians, hospitals, etc.

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§ 7.50 Public Notification of Recall.

The Food and Drug Administration will promptly make available to the public in the weekly FDA
Enforcement Report a descriptive listing of each new recall according to its classification, whether it was
Food and Drug Administration-requested or firm-initiated, and the specific action being taken by the
recalling firm.

Organization of the recall procedures must take into consideration the need for work week, weekend, and
holiday notifications. Various recall notification strategies may be used depending on the natureof the
illness outbreak and recall. (See attached Appendices and supporting forms for example of a Recall
Standard Operating Procedure). Complete removal of shellfish from interstate and intrastate commerce is
vital for effective recall reaction. Timely notification and reaction by public health officials utilizing the
Title 21 CFR, Part 7 requirements and associated State procedures must provide a safeguard against
contaminated shellfish reaching the market. In some cases, duplication of the federal requirements by
states may be the method selected to assure standardization of necessary steps to ensure effective recalls.

Educational programs should be developed for both industry and the public describing the public health
necessity for effective recall notifications and eliminating potentially unsafe shellfish products from the
market place. Programs developed specifically for participation of key industry people may be especially
helpful in eliciting cooperative efforts of the entire industry. Such programs should focus on incentives to
standardize the procedures for effective and timely recall activities.

The adequacy of state procedures as a basis for assuring rapid and thorough reaction to illness outbreaks
and product recall efforts is an important component of this activity. Shellfish recall will be ineffective
and/or compromised if State procedures are so written or interpreted that effective reaction can not
successfully initiated. It is important that consistent recall expectations and notification procedures be
standardized by participating public health Authorities in order to effectively safeguard the general public
from potentially hazardous food.

When a recall of shellfish products is initiated, the Authority shall:

1. Immediately notify the appropriate FDA Regional Shellfish Specialist of the recall and provide a
recall status report every five (5) working days after the initiation of the recall. Subsequent recall
monitoring reports should be provided as information is acquired. The recall monitoring report,
which may be verbal or written notification, will include the following information:
a. The name and address of the recalling dealer(s), plus certification numbers;
b. The identity of the affected product;
c. The reason for the recall;
d. Any other actions deemed appropriate to address the recall such as closing the growing
area, conducting surveys, conducting monitoring and contacting other agencies, tribes
and stakeholders, in regard to possible growing area closures and investigation of the
situation requiring the recall including but not limited to sanitary or shoreline survey
activities, water quality factors, and other environmental factors under consideration;
e. All relevant product identification (harvest date, harvest location, date shucked, lot code,
quantity etc.); and
f. Distribution and redistribution of all shipments of the suspected lots.
2. Establish procedures that ensure support staff members who are conducting investigation efforts
will report provide results of the investigation activities to the Lead to be added to the progress
updates and final recall summary report. Activities include:
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a. Review illness investigation reports

b. Review facility inspection reports
c. Review harvest site applications/information
d. Review Survey of pollution sources
e. Review marine water quality test results
f. Review Biotoxin test results
g. Draft a summary of growing area findings for pollution, biotoxins, etc. as needed.
3. Prepare a complete recall summary that determines the effectiveness of the recall. The Authority
will forward the recall summary documents to the appropriate FDA Regional Shellfish Specialist
within five (5) working days of the completion of the recall. The recall summary will include:
a. The quantity, type, and status of recalled products returned to or recovered by the
recalling dealer(s);
b. The quantity, type and status (if known) of recalled products not returned to or not
recovered by the recalling dealer;
c. The reason for initiating the recall;
d. The date the recall was initiated;
e. The date the recall was completed;
f. Dealer inspection results or other evidence where appropriate; and
g. A listing, in chronological order, of any complaints or injuries associated with the
product.
h. Final disposition of all recalled product.
i. All other actions taken to address the recall such as closing the growing area, conducting
surveys, conducting monitoring, contacting other agencies, tribes and stakeholders, etc.
relating to possible growing area closures and investigation of the situation requiring the
recall, such as sanitary or shoreline survey activities, water quality factors, and other
environmental factors for consideration.
4. Provide a summary of the details involving the recall to the appropriate state authorities upon
conclusion of the recall. Each respective element of the recall activities will be described in
sufficient detail to provide adequate trace back information and/or account for providing public
health protection as a result of the recall. Upon approval of the report, copies will be provided via
email and or hard copy to the FDA Regional Shellfish Specialist and other agencies needing the
information.

B. Requirements for Dealers.

When an illness has occurred or has been reported to a certified dealer or harvester, they shall
immediately notify the Authority. Immediate notification to the appropriate agency will significantly
reduce the chance of additional illnesses and will limit the duration and extent of any precautionary
growing area closures and product recalls.

The Authority will provide the contact information for the Illness Investigation/Recall Coordination Lead
(the Lead) for the agency. The Lead will be the contact for the duration of the event.

The affected industry must cooperate with the Authority during the investigation and evaluation. It is
imperative that the industry and the Lead communicate as necessary to complete a thorough investigation.

If the investigation reveals that the source of the illness is found to be the distribution and processing
system, shellfish product should be detained and an effective recall of product initiated. The investigation
may reveal a problem with the processing of product, if that is the case, the Authority should work with
the processor to immediately correct the problem.

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Whenever a certified dealer conducts a recall of shellfish products, the dealer shall:

1. Follow the written recall procedures adopted in accordance with Model Ordinance, Chapter X,
.03 B.(1) and (2);
2. Immediately notify the Authority which is responsible for the enforcement of shellfish sanitation,
unless directed initially by the Authority, that a product recall has been initiated; and
3. Immediately notify the receiving shipper(s) or other receiver/user that a product recall has been
initiated;
4. Provide the Authority and the receiver of the product with:
a. The type and quantity of shellfish being recalled,
b. The name and license or permit number of each harvester or shipper certification number,
as necessary,
c. The harvest area, and
d. The date(s) of harvest and shipment as they appear on the shipping tag or invoice;
5. Direct each receiver of the recalled product to examine their receiving records and invoices and
report:
a. The quantity of product received,
b. The quantity remaining,
c. The quantity shipped and to whom, including name, address, phone number and date of
reshipment, and
d. All product being held and considered embargoed;
6. Advise the receiver that:
a. The product is not to be sold or shipped;
b. Unless advised otherwise by the Authority, the product is to remain on the premises until
the Authority representative or other designee arrives;
c. When appropriate, they should notify their customers who received the product about the
recall; and
d. All receiving and shipping records and invoices for implicated products are to be
available for inspection by the Authority’s officials.
7. Provide a recall status report to the Lead every five (5)) working days after the initiation of the
recall. Subsequent recall monitoring report, which may be verbal or written notification. Unless
other wise specified or inappropriate in a given recall case, the recall progress update should
contain the following information:
a. Number of consignees notified of the recall and the date and method of notification;
b. Number of consignees responding to the recall communication and quantity of products
on hand at the time it was received;
c. Number of consignees that did not respond (if needed, the identity of nonresponding
consignees may be requested by the Authority and the Food and Drug Administration);
d. Number of products returned or corrected by each consignee contacted and the quantity
of products accounted for;
e. Number and results of effectiveness checks that were made; and
f. Estimated time frames for completion of the recall.

The dealer must fulfill any additional reporting requirements in accordance with the FD&C Act (21 CFR
Parts 7.40-7.59 and 207 FDAAA Section 1005).The recalling dealer has the initial responsibility for
determining if the recall is progressing satisfactorily. It is also the obligation of all recalling dealers to
determine the effectiveness of their recall. Effectiveness checks aid in verifying that all known, affected
consignees received notification about the recall and have taken appropriate action.

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C. Requirements for FDA.

Whenever a certified dealer conducts a recall of shellfish products, the FDA Regional Shellfish Specialist
shall:

1. Monitor the Authority and FDA actions ensure that the product recall is consistent with the
requirements of the NSSP Model Ordinance;
2. Inform other FDA offices as appropriate as new or pertinent recall information from the
Authority becomes available; and
3. Coordinate all FDA and other federal assistance provided, as necessary, to affected states.

D. Dispute Resolution.

The ISSC recognizes that states should be allowed to appropriately respond to public health emergencies
that could restrict interstate shipment of shellfish. In instances where prudent action is not taken by a state
during recall or illness outbreak situations, an Authority or FDA must notify the Executive Board
regarding the state's decision and rationale for taking an action or failure to take an action. The Authority
should provide the rationale for the proposed action by describing, at a minimum:

• The potential effect on the public health within that state;

• The potential effect on the public health in other states;
• The potential economic impact on states;
• The necessity for the action within the proposed timeframe

The ISSC will consider the rationale of the Authority and the Executive Board may decide to contact the
appropriate agency head or Governor in order to secure prudent public health protection. In the event that
action is not taken after deliberation between the Conference and the State, the ISSC may recommend the
State as an unresolved issue under the ISSC Constitution, By-Laws and Procedures, Procedure IX.
Section 3.

.02 Guidance for a Time-Temperature Evaluation of a Shellfish Implicated Outbreak

Because shellfish are filter feeders, they can concentrate microorganisms, marine biotoxins and poisonous
or deleterious substances from the water column when these substances are present in the growing area.
In addition, shellfish, like any other food product, can become unfit for human consumption through the
introduction of contaminants during handling, storage, transport, distribution and processing.
Furthermore, improper handling and storage can contribute to the increase of naturally occurring
pathogens to hazardous levels in shellfish meats. The intrinsic risk from illness induced by
microorganisms associated with consumption of raw or partially cooked shellfish products compels the
shellfish control authority to act quickly and effectively when shellfish are implicated in a food-borne
outbreak. When illness has occurred, the Authority needs to immediately begin an investigation before
critical evidence is inadvertently lost or destroyed.

Currently, the NSSP Model Ordinance does not call for any action if illness is limited to only one person.
This is appropriate for molluscan shellfish borne illness caused by microorganisms associated with
pollution events. However, when naturally occurring marine bacteria such as Vibrio vulnificus or Vibrio
parahaemolyticus are suspected to cause the illness an evaluation of the possibility of time-temperature
abuse of the product is critical to understanding how the illness may have been prevented. A time-
temperature audit provides information regarding the time-temperature experience of the product
implicated as well as the health conditions of any ill persons which may have contributed to their
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susceptibility to the disease. Although the gathering of this data has been a public health focus for several
years, there has been no effort to standardize how or what data are gathered during an illness
investigation. When naturally occurring marine bacteria are believed to be the source of the shellfish
implicated illness or outbreak, the time-temperature history of the product and the health of the persons
may be more relevant than the traditional investigatory focus on tracing the origin of the product back to
the shellfish growing area.

For additional information concerning the Vibrio organisms, see Watkins and McCarthy (1994) and the
NSSP Guidance Documents contained within Chapter IV- Naturally Occurring Pathogens.

Time-Temperature Evaluation of a Shellfish Implicated Outbreak

The Authority should promptly conduct an audit of the time-temperature history of the implicated product
in a shellfish disease outbreak to the extent practicable. The Authority should use all records from any
measuring devices in conveyances or coolers used to transport the product, or any records of conditions
associated with the implicated product as it moved from harvest to consumption. Where necessary, the
Authority in the state of shellfish product origin should be contacted to provide assistance in gathering
information. The audit must include the retail market or restaurant where the victim bought the shellfish
product, the facility of the person who sold the product that the retail market or restaurant, the facilities of
all dealers and common carriers who handled the product following its harvest, and the practices and
facilities of the person who harvested the shellfish. The audit should include, but should not be limited to,
the following points.

In the retail market or restaurant implicated in the shellfish illness outbreak, the Authority should, at a
minimum,

Record the ambient temperature in the establishment; observe the time-temperature control in the
establishment, i.e. how the product was handled:

Examine the establishment's records for the temperature of the storage device or facility used for the
implicated product while at the establishment, or observe and record the temperature of the storage device
or facility during the investigation; observe and record the temperature and age of the remaining product
at the establishment. The age of the product must be cross checked with transaction records;

Observe the controls to prevent cross contamination of the implicated product; and provide for the
immediate sampling and testing for the suspect organism(s) of any remaining product from the retail or
food service location implicated in the outbreak.

The Authority should determine if the dealer or person who sold the product to the retail market or the
restaurant is on the ICSSL. If the person is not on the ICSSL, the Authority should gather any pertinent
information regarding the status of time-temperature controls practiced by this person such as:

• Inspection reports for the person's facility;

• Observed temperature of the person's conveyance used to transport shellfish product; and
• Presence or absence of adequate refrigeration capability in the person's conveyance.

If the dealer is on the ICSSL, the Authority should conduct an inspection of the dealer's facility and
records for purposes of gathering data from time-temperature control procedures and practices at that
facility including:

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• The presence or absence of adequate refrigeration capability of the dealer's conveyance;

• The presence or absence of temperature records for the delivery conveyance;
• The observed temperature and time-temperature control practices on the dealer's loading dock;

The transaction records demonstrating the product's age from the date of harvest of the implicated
product; and

• The dealer's observed product rotation practice (i.e., the existence of product of widely differing
ages).

For additional information concerning the ICSSL, see the NSSP Guidance Document, Chapter III .03:
Dealer Certification and the Interstate Certified Shellfish Shippers List.
The Authority should gather data similar to that above from all dealers or common carriers (certified or
uncertified) between the point of first receipt from the harvester and the retail market or restaurant.

The Authority should inspect the original dealer's facility (i.e. the point of first receipt from the harvester).
If the original dealer's facility is in another state, the Authority should request the appropriate Authority in
that state to perform an audit and to share the results of the audit. This audit should, at a minimum,:

• Determine if there are adequate provisions for product refrigeration;

• Observe temperature and/or records of temperature for the dealer's refrigeration facility;
• Observe general time-temperature control procedures and practices; and
• Observe the temperature and age of shellfish product on-site under receipt from harvesters or
under storage.

To the extent practicable, the Authority should gather information concerning the time-temperature
control capability of the harvester of record for the implicated product. If the product was harvested in
another state, the Authority should request the appropriate Authority in that state to perform an audit and
to share the results of the audit. This audit should, at a minimum, determine:

• If adequate shading was provided for harvested shellfish product;

• The existence of mechanical refrigeration for storage of harvested product; and
• If records of prior enforcement actions against the harvester exist.

In cases where Vibrio species are the suspected organisms causing the illness or outbreak, the Authority
should investigate the health status of the victim(s) to determine:

• If there were underlying health problems which may have contributed to the occurrence of the
illness(es);
• If the victim(s) was aware of his underlying condition;
• If the victim(s) was aware of his high-risk status;
• If the victim(s) had been advised not to consume raw shellfish; and
• If the establishment had posted point-of-sale information for high-risk consumers.

References

• Watkins, W. and S. McCarthy. 1994. Proceedings of the 1994 Vibrio vulnificus Workshop. U.S.
Department of Health and Human Services, Public Health Service, Office of Seafood (HFS-400),
Shellfish Sanitation Branch, 200 C Street, SW, Washington, D.C. 175 pages.

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Appendices

• Appendix A
• Appendix B
• Appendix C
• Appendix D
• Appendix E
• Appendix F
• Appendix G

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APPENDIX A

CHECKLIST FOR RECALLS, CLOSURES AND SPECIAL EVENTS

Specific Event: Date Office Notified: Date Office Action

Initiated:
Date of Event:

Task Staff Initials Date

Initial shellfish related illness outbreak/hazardous event reported by:
Name: Title:
Phone: Organization:
Office Director informed of outbreak/event: No Yes
Food Safety Manager informed of outbreak/ hazardous event: No Yes
Growing Area Manager informed of outbreak hazardous/event: No Yes
Licensing and Certification Manager informed of outbreak/ hazardous event:
No Yes
Recall Required: No Yes Initiated on date:
Assistant Secretary informed of outbreak/event: No Yes
Notification to FDA Regional Shellfish Specialist (within 24 hours of Notice):
No Yes
Alert to Media No Yes (If yes, attach press release)

Notification to Epidemiology / Public Health Laboratory: (obtain tracking #) Phone: (enter number)
Person Contacted Tracking Number(s) Staff Initials Date

Notification to Local Health Jurisdiction(s) or Tribes (if more space is needed, attach page – Attachment 1)
LHJ /Tribe Phone # Person Contacted Staff Initials Date
a.
b.
c.
d.
e.
f.

Notification to Receiving State(s) / Country(s) (if more space is needed, attach page – Attachment 2)
State/Country Phone # Person Contacted Staff Initials Date
a.
b.
c.

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d.
e.
f.

Notification of Involved Companies (if more space is needed, attach page – Attachment 3)
Growers/Dealers
Company Phone # Person Contacted Staff Initials Date
a.
b.
c.
d.
e.
f.

Food Safety Investigation

Item Person Responsible Staff Initials Date
a. Illness report summary
b. Biotoxin Results survey
c. Alert Notifications to Retail (Industry
List-Serve)
License & Certification Investigation
Item Person Responsible Staff Initials Date
a. Facility Inspection Survey
b. Harvest Site Survey
c. Recall actions/Report Summary
d. Laboratory Sample Submission /Results
with EPI/PHL tracking Number

Growing Area Investigation:

Item Person Responsible Staff Initials Date
a. Pollution Source Survey
b. Marine Water Quality Results
c. Fresh Water Quality Results

Item Person Responsible Staff Initials Date

Closure Order Actions coordinated with ACO /
AAG offices / Assistant Secretary
Closure Order Issued on date:
Closure Order Lifted on date:
Final Report Summary completed
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Distribution of Final Report

Signature Verifying that all activities for this recall have been completed Date

ACTION COMMENTS Staff Initials Date

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APPENDIX B
(DATE)

(Example Effective Area) Recall Investigation Summary Report

SUMMARY:

Starting at approximately 6 PM on Tuesday (DATE), the operator of the (Example) wastewater treatment
plant (WWTP) noted elevated color in the influent and elevated flows from storm inflow and infiltration (I/I).
These were occurring due to a rain storm. The plant collected a fecal coliform effluent water sample at 3 p.m.
on (DATE) and the result was 'too numerous to count' (TNTC). On (DATE) at 11:20 AM the plant called the
department and reported the high result. The operator started injecting chlorine to supplement the normal UV
disinfection upon getting the results. The operator stated that all treatment hardware was in good working
order and speculated that the TNTC result was due to the elevated color in the influent interfering with UV
disinfection. He also reported that influent flows for (DATE) were about 50% above permitted maximum
month design flows for the facility. The insufficient disinfection impacted an estimated 1.2 million gallons of
sewage in a 48-hr period.

Based on the fecal coliform sample result collected on (DATE) the (EXAMPLE AREA) growing area
Conditionally Approved Area Management Plan was implemented and the department closed the
Conditionally Approved area for five days from (DATE) until (DATE). Growers were notified of the closure
by 12:30 PM on (DATE).

All shellfish products harvested after 12:01AM on (DATE) were recalled. Licensed companies involved
were; (EXAMPLE COMPANIES INVOLVED with certification numbers). The two (EXAMPLE
COMPANIES) licensed companies did not harvest on that date. (EXAMPLE COMPANY) shipped products
to 19 customers in XX State. (EXAMPLE COMPANY) also shipped to 16 customers in 12 other receiving
states. A total of 13 states were involved in this recall. All states were notified by email on (DATE) at 9:00
AM via email by the Department of Health.

The amount of (state) product recalled was 3,910 lbs of mussels, 190 lbs of clams and 370 dz oysters. The
amount of out of state product recalled was 750 lbs of mussels, 925 lbs of clams and 1,110 dz oysters. Total
amount of product recalled was 4,660 lbs of mussels, 1,115 lbs of clams, and 1,480 dz oysters. Out-of-state
shellfish products shipped to 11 receiving states have been destroyed by the receiving states. Shellfish
products shipped to and located in (state) and (state) have been picked up, returned to the dealer or destroyed
on site. Of the shellfish returned back to the dealer, the mussels were destroyed by the dealer at the local
landfill and the returned oysters and clams were placed back into wet storage in (EXAMPLE COMPANY).

ILLNESS REPORT SUMMARY:

Not Applicable – no reported illnesses involved.

HARVEST SITE REVIEW:

The source of the product harvested was verified as licensed and certified by the (Authority), as (EXAMPLE
COMPANY).

RECALL OF PRODUCT:

Recall of product was initiated Thursday, (DATE) at 12:20 PM following notification by the department.
States involved in the recall are listed below:
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US States Shellfish Shipments

Dealer & Retail company Product

State Species Quantity
receiving product Disposition

Total

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XX State Shellfish Shipments

Dealer & Retail

Product
STATE company Species Quantity
Disposition
receiving product

Total
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GROWING AREA INVESTIGATION:

There was no post-closure shoreline survey.

Water Quality Testing: The (EXAMPLE COMPANY) growing area CAAMP was implemented and the
Conditionally Approved area was closed for five days from January 7 (when the TNTC sample was taken).
Growers were notified of the closure by 12:30 p.m. on (DATE).

Growing Area Classification Review: Not applicable.

Growing Area Closure: On (DATE) (EXAMPLE COMPANY) growing area was formally closed (e-mail
list serve notice); starting (DATE)

Water Quality Results: Not applicable.

SHELLFISH OPERATIONS/FACILITIES INVESTIGATION: Not applicable.

BIOTOXIN MONITORING RESULTS: Not Applicable.

CONCLUSION AND SUMMARY OF ACTIONS:

Recall of Product Confirmation: B & out of state shellfish products recalled.

Reopening of (EXAMPLE) growing area: The (EXAMPLE) growing area was re-opened on (DATE). The
5-Day closure was based on the CAAMP implemented for (EXAMPLE) Growing Area by the department.

Questions should be directed to (EXAMPLE) Point of Contacts.

Name and Title of reporting person and/or State Lead

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APPENDIX C
Authority
(Name and Address)
Standard Operating Procedure

1. SUBJECT: Shellfish Recall Program

2. REFERENCES:

a. Title 21 CFR, Part 7, Enforcement Policy

b. NSSP 2007 Model Ordinance, Chapter II Risk Assessment and Risk Management
c. (enter appropriate Authority Rule)

3. PURPOSE: The purpose of this Standard Operating Procedure (SOP) is to provide specific
instructions for assigned staff performing a recall of bi-valve molluscan shellfish product.

3.1 Recalls will be determined based on whether a product’s wholesomeness is questioned by:
a. Pollution events
b. Biotoxin events/Vibrio parahaemolyticus events
c. Illness events
d. Post-harvest contamination

4. PROCEDURES:

4.1 Establishment of Recall Control:

Shellfish product recalls are of paramount importance. The Authority will assign a Recall
Coordination Lead for each situation involving a shellfish recall. Coordination of support staff
needed will be made by the Recall Coordinator. Assigned support staff will be responsive to recall
activities and will participate as directed by the Authority. Support staff is expected to accomplish
work related to a recall in an expeditious manner and with a great sense of urgency. Recall activities
will take priority over normally assigned work. The Authority and Recall Coordination Lead will
assure that the following are promptly notified:

4.2 Notifications:

4.2. a) The Office Director: This can be in person, by email or telephone with sufficient detail
indicating either harvest or post-harvest origin to confirm the need for a recall. With
confirmation by the Director, the appropriate Manager and the Recall Coordination Lead will
specify the type of recall classification per 21 CFR, Part 7.

4.2. b) The Assistant Secretary: This can be done in person, by email or by telephone with
sufficient detail to provide for awareness of the situation.

4.2. c) The Growing Area Section Manager: This can be done in person, by email or by
telephone with sufficient detail to assist in determining appropriate actions such as closing the
growing area, conducting surveys, conducting monitoring, contacting other agencies, tribes and
stakeholders, etc. relating to possible growing area closures and investigation of the situation
requiring the recall, such as sanitary or shoreline survey activities, water quality factors, and other
environmental factors for consideration.

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4.2. d) The appropriate shellfish dealers and/or growers: The industry will be contacted in the
most expedient manner concerning recall instructions. The Recall Coordination Lead will
organize staff to immediately notify each shellfish grower involved with the recall in person, by
email or telephone. The Harvest Site Program Lead will provide involved staff a printed copy of
each Dealer/Grower involved in the recall and a clear and detailed script of the recall message to
provide to each grower.

4.2. e) The Food and Drug Administration (FDA): This can be in person, by email or telephone
within 24 hours with sufficient detail to provide for awareness of the situation. The FDA will be
notified of all interstate commerce distribution by providing the list of receiving states and/or
foreign countries receiving the product. The FDA will notify foreign countries and non-Interstate
Shellfish Sanitation Conference member states upon request by the Office of Shellfish and Water
Protection. The Recall Coordinator will provide appropriate Recall Status Reports in accordance
with CFR Part 7 to FDA as required.

4.2. f) The Interstate Shellfish Sanitation Conference (ISSC):This can be by email or telephone
within 24 hours with sufficient detail to provide for awareness of the situation. The purpose of
ISSC notification is for their assistance in notifying all identified receiving states. The FDA will
be an addressee on this email for notification of receiving states and/or countries that a potential
health risk is associated with recalled shellfish involved with the recall.

4.2. g The Public Health Laboratory (PHL) and Communicable Disease Epidemiology: This can
be in person, by email or telephone with sufficient detail to provide for assistance in the tracking
or special sampling of illness sources for laboratory support. PHL will assign a tracking number
for clinical samples for tracking purposes. Sample collection and submission is coordinated by
the Recall Coordination Lead. Samples are tested at the Authority Public Health Laboratory.

4.2. h) The appropriate Local Health Jurisdictions: This can be in person, by email or telephone
with sufficient detail to provide for awareness and/or assistance in the recall.

4.2. i) The Recreational Shellfish Program Lead: This can be in person, by email or telephone
with sufficient detail to provide for assistance in posting an advisory message on the Program
website, coordinating signage with local health jurisdictions, and providing educational materials
to local health jurisdictions and other stakeholders.

4.2. j) The Food Safety Program: This can be in person, by email or telephone with sufficient
detail to provide for awareness of the situation. The Recall Coordination Lead will notify the
appropriate Food Safety Program, of the recall. The Recall Coordination Lead will provide
sufficient details to allow the Food Safety Program to determine how best to assist the retail food
industry for awareness of the recall and any supportive assistance from local health jurisdictions
at the retail level.

4.2. k) The Communications Office: This can be in person, by email or telephone with sufficient
detail to provide for awareness of the situation. The Office Director may decide to issue a News
Release announcing a recall. Coordination with the Communications Office will be made prior to
any news release. Joint effort will be made with the Communications Office to provide a clear
and concise news release providing the details of the situation. The Office Director, Section
Manager and Recall Coordination Lead will work closely with the communications staff to
develop the news release in a timely manner.

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX C Page 21 of 28

4.3 Recall Activities:

4.3. a) The Recall Coordination Lead will promptly provide information relevant to a recall to the
shellfish industry by using the shellfish list serve contact email system and/or by official mail.
The recall Coordination Lead will provide sufficient details to ensure clear directions and
expectations for Dealer/Growers to provide swift disposition of product within 48 hours to the
office.

4.3. b) The Recall Coordination Lead will monitor the progress of the recall and ensure prompt
contact with other state agencies, appropriate agencies in other states (with assistance from the
ISSC), and the ministries of health or appropriate ministries according to protocol in foreign
countries (with assistance from the USFDA), and with shellfish companies involved.

4.3. c) The Recall Coordination Lead will maintain detailed records of the recall, to include
records of product destroyed and/or recalled. The Recall Coordination Lead will coordinate with
staff in the completion of related recall notification contact forms and other summary reports
related to the recall. The Recall Coordinator will maintain all related records when completed on
file both in hard copy and electronically on the shared drive.

4.3. d) The Harvest Site Lead will assist in providing the current list of Dealers/Growers involved
in the recall. A printed list will be provided to the Recall Coordination Lead and support staff
involved in the notification process.

4.3. e) The Recall Coordination Lead will ensure that support staff who are conducting
investigation efforts will provide summaries of the review to be added to the final recall summary
report. Activities include:
a) Review illness investigation reports
b) Review facility inspection reports
c) Review harvest site applications/information
d) Review Survey of pollution sources
e) Review marine water quality test results
f) Review Biotoxin test results
g) Drafting a summary of growing area findings for pollution, biotoxins, etc. as needed.

4.4 Enforcement:

4.4. a) The Section Manager and Recall Coordination Lead will work with the Enforcement
Coordinator, Growing Area staff and Administration support staff in coordination of recall and/or
growing area closure orders (if needed) with the ACO/AAG Offices.

4.4. b) The Section Manager and Recall Coordination Lead will coordinate the publishing of an
abatement order for any licensed shellfish operations that are involved as to the cause of a recall
with the Section Administrative Assistant (AA) to contact the Adjudicative Service Unit (ASU)
for a docket number to identify the order.

4.4. c) The Section Manager and Recall Coordination Lead will coordinate with the Enforcement
Coordinator to draft the needed abatement order and will provide the draft to the AA for final
preparation and submission to the Office Director for review and approval signature. Upon
approval and signature the order will be mailed by certified mail to each grower involved.

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Chapter V. Illness Outbreaks and Recall Guidance APPENDIX C Page 22 of 28

4.4. d) The Section Manager and Recall Coordination Lead will coordinate any needed
amendment of any abatement order based on situational changes such as re-opening, extensions
and/or modifications. The AA will contact the Adjudicative Service Unit (ASU) for a new
docket number to identify the changed order. The AA will draft the amended order for final
preparation and submission to the Director for review and signature. Upon approval and
signature the order will be mailed by certified mail to each grower involved.

4.5 Final Recall Summary Report:

The Recall Coordination Lead will complete the recall summary report. A summary of the details
involving the recall will be made and provided to the Office Director upon conclusion of the recall.
Each respective element of the recall activities will be described in sufficient detail to provide
adequate trace back information and/or account for providing public health protection as a result of
the recall. Upon approval of the report, copies will be provided via email and or hard copy to the
FDA Regional Shellfish Specialist and other agencies needing the information. Hard copies will be
filed according to the office retention schedule and kept electronically on the shared drive under the
Recall Program.

5. RELATED FORMS:

a. Authority Checklist for Recall Notification/Events

b. Harvest Site Dealer/Grower list(s)
c. Support Staff Recall Script
d. Investigation Summary Reports (Facility/Growing Area/Laboratory)
e. Recalled Product Disposition Summary Sheets
f. Final Recall Summary Report

6. RELATED DATABASES:

Shared Drive EH/SF/Recall Program

7. AUTHORITY:

Name of SSCA Authority

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX D Page 23 of 28

APPENDIX D
[Insert Name of State] State Licensed Shellfish Company]

RECALL PROCEDURES

Company Name: Certification Number:

This recall procedure is to be kept on file by your company in an easily-accessible location.

Should the (Authority) or a Dealer/Grower (Firm) initiate a recall of shellfish product because of public health
concerns, the Authority will monitor the progress and success of the recall. The Authority will immediately
notify the Food and Drug Administration (FDA) and the Authorities in other states if products involved in the
recall have been distributed outside of Washington State. Each Authority involved in a recall will implement
actions to ensure removal of recalled product from the market and issue public warnings if necessary to
protect public health. The FDA will decide whether to audit or issue public warnings after consultation with
the Authority(s) and after taking into account the scope of the product distribution and other related factors. If
the FDA determines that the Authority in any state involved in the recall fails to implement effective actions
to protect public health, the FDA may classify, publish and audit the recall, including issuance of public
warnings when appropriate.

The Authority will monitor the progress and success of all recalls within (enter State).

Should there be a need to initiate a recall either by direction of the Authority or by a licensed shellfish
company, you are required to adhere to the following:

1. Promptly follow the directions of the Authority in reacting to a recall and/or promptly notify the
Authority by telephone when any situations come to your attention which could warrant initiating a
recall. These situations could be any reports of illness, biotoxin closures, sewage spills, petroleum
products spills, etc.

2. Once informed that a Authority directed recall or a Firm-initiated recall is implemented promptly
contact each of your customers by telephone or in person and notify them about the recall. Direct
your customers to stop all sales and secure any products involved in the recall that may still be on
hand.

3. Properly identify each bag/container of shellstock involved in the recall with an On-Hold for Recall
placard or marker with date and separate them from other products not involved in the recall. These
recall products must be properly secured.

4. Properly identify each container of shucked meats involved in the recall with an On-Hold for Recall
placard or marker with date and separate them from other products not involved in the recall. These
recall products must be properly secured.

5. Request that your customers report back to you as soon as possible, but no later than 24 hours, where
the recalled products were distributed and whether your customers still have any product on hand.
Maintain an accurate Recall Account Summary Report of products sold to each of your customers and
the current disposition of the products:

• Amount sold to each customer during the recall period

• Amount still on hand at your facility
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Chapter V. Illness Outbreaks and Recall Guidance APPENDIX D Page 24 of 28

• Amount still on hand at each of your customers facilities

• Amount already sold and consumed and not returnable by each of your customers

6. If there is recalled product, you will instruct your customers to return the product to you for proper
securing of it in your facility or to hold it in a separate location at their facility and clearly mark it as
not for sale and wait for final disposition instructions.

7. You will promptly notify the Authority as to where the entire recalled product is located. You will
coordinate with the Authority or the local health jurisdiction in your area to witness destruction of the
product. If required, all product returned to you will be destroyed in the presence of a witness from
the Authority or a local or state health jurisdiction, or if approved, you may place shellstock product
back in the original growing area on an approved harvest site. You will provide a Recall Account
Summary Report of the recalled product to the Authority within 48 hours.

8. A list of your current direct customers and their telephone numbers will be maintained in your records
for recall notification.

The Authority contact telephone numbers for recall notification purposes are (enter telephone number) during
business hours and (enter telephone number and or pager number) during non-business hours.

The following customer notification list is for your use in contacting your customers.

RECALL CUSTOMER NOTIFICATION LIST

Shellfish Customer Manager or Contact Person Phone Number

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX D Page 25 of 28

RECALL SUMMARY ACCOUNT REPORT EXAMPLE

The following Recall Summary Account Report is an example of the information required by the Authority
when completing recall notifications. Each company directly involved in distribution of shellfish included in
a recall is required to provide this type of summary account report. Reports will be faxed to (enter fax
number) and an original copy mailed to the Authority.

EXAMPLE:

Date:

From: Name of Company

Address of Company
Certification Number: i.e. WA-0000-SS

To: State
Attention: Recall Coordinator
Address

Subject: Recall Summary Account Report for (List Area and Date)

Attached is the final Recall Summary Accounting Report for (insert name of company) providing the final
disposition of all shellfish products involved and distributed in the recall of (enter date).

Recall Summary Account Report for

(enter location and date)
Quantity Quantity Still on Quantity %
Shipped to hand at Returned Returned
Customer Customer’s Customer’s Or Or
Product Shipped To Location Location Destroyed Destroyed
Mediterranean
Mussels
(pounds)
Manila Clams
(pounds)
Geoduck Clams
(pounds)
Razor Clams
(pounds)
Kumamoto Oysters
(dozen)
Pacific Oysters
(dozen)
Shucked Oyster Meat
(pounds/ounces)
Other Species
(if applicable)

Any questions should be directed to (insert name and telephone number of person and email address and fax
number).

Signature Block of Company Owner/Manager

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX E Page 26 of 28

APPENDIX E

NAME OF CLOSED GROWING AREA:

DATE OF CLOSURE:

REASON FOR CLOSURE:

CHECKLIST FOR RECALL EVENTS

Growers/Dealers Identified Person Contacted Phone Number Harvest Status Staff Initials Date

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX F Page 27 of 28

APPENDIX F

NAME OF CLOSED GROWING AREA:

DATE OF CLOSURE:

REASON FOR CLOSURE:

CHECKLIST FOR RECALL EVENTS

LHJ / Tribe Person Contacted Phone Number Staff Initials Comments Date Time

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Section IV. Guidance Documents
Chapter V. Illness Outbreaks and Recall Guidance APPENDIX G Page 28 of 28

APPENDIX G

NAME OF CLOSED GROWING AREA:

DATE OF CLOSURE:

REASON FOR CLOSURE:

CHECKLIST FOR RECALL EVENTS

State/Country Person Contacted Phone Number Staff Initials Comments Date Time

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section V. Suggested Forms Page 1 of 6

Shellfish Harvest Record

Company Name: _________________________________________________

Certificate No: ___________________________________________________

Harvest Area Harvest Date Species Quantity

Page ______

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Section V. Suggested Forms Page 2 of 6

SHELLFISH HARVEST / PURCHASE RECORD

Cert. No. Quantity Species Harvest Area Harvest Purchase Harvester
Date Date Cert. #

Page________

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Section V. Suggested Forms Page 3 of 6

Restricted Use Shellstock (Shucking or PHP) Certified Dealer #

___________

SHELLFISH HARVEST/PURCHASE RECORD

Received from
Lot # Quantity Species Harvest Harvest Purchase (Harvester or
Area Date Date Certified Dealer ID)

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Section V. Suggested Forms Page 4 of 6

SHELLFISH SALES RECORD

Date Sold Sold To Quantity Species Harvest Harvest Harvester
Date Area Cert. #

Page ___________

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Section V. Suggested Forms Page 5 of 6

Restricted Use Shellstock (Shucking or PHP) Certified Dealer #

_____________

SALES/DISPOSITION RECORD

Sold To
Lot # Date Sold or Processed Dealer Cert # Quantity Quantity
(N/A if Processed) Sold Processed
Unprocessed

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Section V. Suggested Forms Page 6 of 6

EXPORT HEALTH CERTIFICATE

STATE OF _______________________________________________

ADDRESS _______________________________________________

STATEMENT OF LICENSURE AND CERTIFICATION

Exported By: Certificate # ______________ Consigned To:

License (Check one):
Shellstock Shipper Shucker-Packer

Shipped Via: Port of Embarkation: Port of Debarkation:

Identifying Marks: Total # of Containers: Total Marked Weight:

Product: Class, Type, Style: Count: Lot Weight: Labels/Brand:

The above-named exporter hereby certifies through its authorized agent that this product was harvested
from the following harvest area or areas:

Agent's Signature: _______________________________ Date: __________________

The __________________ State Department of Health routinely inspects shellfish operations and
shellfish harvest areas to determine their compliance with state shellfish sanitation laws and the
requirements of the National Shellfish Sanitation Program. The above named exporter is currently
licensed and certified by the Department as indicated above. The above named harvest area is currently
certified by the Department of Health as approved for harvest.

By:____________________________________ Date:_______________________

(Appropriate state official/title)

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section VI. NSSP Policy Setting Documents Page 1 of 4

DEPARTMENT OF HEALTH AND HUMAN SERVICES

Public Health Service
Food and Drug Administration
Washington DC 20204

POLICY STATEMENT

CONSUMPTION OF RAW MOLLUSCAN SHELLFISH

Molluscan shellfish are animal-derived protein foods that are widely consumed and play an important role
in the diets of some consumers. Most animal-derived protein foods are cooked prior to consumption.
Cooking can reduce a number of potentially pathogenic organisms and the risk of illness. However,
molluscan shellfish are often consumed raw or partially cooked. Therefore, some cases of illness are
inevitable from consuming them in this way.

The majority of illnesses that occur from the consumption of raw molluscan shellfish are the result of
pollution. They are not life threatening to the general population and commonly range from mild
intestinal disorders of short duration to acute gastroenteritis. More serious illnesses can occur, but are
rare.

Certain medically compromised individuals are at increased risk from common marine Vibrio bacteria
that are unrelated to pollution. Therefore, it may not be possible to address this risk through
environmental controls. Although the reported number of illnesses and fatalities from these bacteria in the
United States each year is small in comparison with other food borne illnesses, the best advice for
medically compromised individuals is not to eat raw molluscan shellfish. At most risk are those affected
by: AIDS; chronic alcohol abuse; liver, stomach or blood disorders; cancer; diabetes; and kidney disease.
Those uncertain of their health should seek the advice of their physician.

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Section VI. NSSP Policy Setting Documents Page 2 of 4

To reduce the risk of illnesses associated with raw shellfish consumption, the Food and Drug
Administration (FDA) administers the National Shellfish Sanitation Program (NSSP). The NSSP is a
tripartite cooperative program of Federal and State public health officials and the shellfish industry
working together to improve shellfish safety. FDA is committed to the NSSP partnership as providing the
best means of making molluscan shellfish as safe as possible. States annually spend millions of dollars to
monitor waters to assure that they are safe before harvesting is permitted. FDA routinely audits the States'
classification of shellfish harvesting areas to verify that none pose a threat to public health. FDA has also
increased its cooperative efforts with State and Federal law enforcement officers to prevent illegal
harvesting from closed waters, a practice that probably leads to most shellfish illnesses. Adhering to
NSSP controls will help to keep risks to a minimum.

ISSC POLICY STATEMENT

CONSUMPTION OF RAW MOLLUSCAN SHELLFISH

Introduction

The Interstate Shellfish Sanitation Conference (ISSC) was organized in 1982 to address the safety and
sanitation of molluscan shellfish (oysters, mussels, clams, and whole and roe-on scallops. The ISSC has a
formal Memorandum of Understanding with the U.S. Food and Drug Administration (FDA) to promote
shellfish sanitation through the National Shellfish Sanitation Program (NSSP), a tripartite cooperative
program of Federal and State public health officials and the shellfish industry working together to
improve shellfish safety. The ISSC recognizes the success of this Program, which is founded on the
premise that through appropriate controls, molluscan shellfish can be consumed raw by most people with
reasonable risk. The ISSC remains committed to that premise.

Policy Statement

Molluscan shellfish are animal-derived protein foods that are widely consumed and play an important role
in the diets of some consumers. Most animal-derived protein foods are cooked prior to consumption.
Cooking can reduce a number of potentially pathogenic organisms and the risk of illness. Consumption of
raw shellfish, as with consumption of other types of raw animal-derived protein foods, increases the risk
of illness. The majority of illnesses related to the consumption of raw molluscan shellfish are a result of
pollution. These illnesses are not life threatening to the general population and commonly range from
mild intestinal disorders of short duration to acute gastroenteritis. More serious illnesses can occur, but
are rare.

To reduce the potential risk associated with consumption of raw molluscan shellfish, the FDA in
cooperation with the States administers the National Shellfish Sanitation Program. States monitor
shellfish growing waters to determine that they are safe before harvesting is permitted. The FDA routinely
audits the States' classification of shellfish harvesting areas to verify that none pose a threat to public
health. The FDA has also increased its cooperative efforts with State and Federal law enforcement
officers to prevent illegal harvesting from closed waters and ensures that all shellfish in interstate
commerce are properly labeled or has a tag identifying the harvest area and shipper. The tagging and
labeling requirement of the NSSP is designed to ensure that only shellfish from approved growing waters
reach interstate commerce. Adherence to NSSP controls minimizes risks. Recognizing the NSSP
partnership provides the best possible means of ensuring that molluscan shellfish are safe, the FDA, the
States, and the ISSC are committed to continued support of the Program.

Certain medically compromised individuals are at increased risk from common marine bacteria that are
unrelated to pollution. Therefore, it may not be possible to address this risk through environmental
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Section VI. NSSP Policy Setting Documents Page 3 of 4

controls. Although the reported number of illnesses and fatalities from these bacteria in the United States
each year is small in comparison with other food borne illnesses, total abstinence from raw molluscan
shellfish is the best advice for medically compromised individuals. Those at greatest risk include, but are
not restricted to those affected by: AIDS; chronic alcohol abuse; liver, stomach or blood disorders;
cancer, diabetes and kidney disease. Those uncertain of their health status should seek the advice of their
physician.

INTERSTATE SHELLFISH SANITATION CONFERENCE

RESOLUTION 97 - 01

SUBJECT: Post-Harvest Treatment Processing

TEXT OF RESOLUTION:

WHEREAS, the effect of naturally occurring Vibrio vulnificus in raw shellstock oysters has been
a problem that has caused considerable concern for the Interstate Shellfish Sanitation Conference (ISSC),
the FDA, State public health regulators, the molluscan shellfish industry and the general public; and

WHEREAS, the ISSC had previously adopted a position (stated in a resolution by the 1991
conference) that "in absence of definitive information regarding Vibrio vulnificus, the only realistic
approach is education of the high risk groups"; and

WHEREAS, the ISSC also had recommended that "states and industry take immediate steps to
institute harvesting, processing and handling procedures which will eliminate illnesses attributable to
Vibrio vulnificus"; and

WHEREAS, the State public health regulators and shellfish control agencies are awaiting
guidance from the ISSC and FDA regarding Post-Harvest Treatment (PHT) processes; therefore

BE IT RESOLVED, that the ISSC encourages the development and SSCA approval of PHT
processes which are able to consistently and reliably reduce Vibrio vulnificus to non-detectable levels in
raw molluscan shellfish.

INTERSTATE SHELLFISH SANITATION CONFERENCE

RESOLUTION 09-001

SUBJECT: Educational Outreach Common Carrier Associations

TEXT OF RESOLUTION:

WHEREAS, the National Shellfish Sanitation Program, (NSSP), was developed in 1925 when the
U. S. Public Health Service responded to a request for assistance from local and state public health
officials in controlling disease associated with the consumption of raw shellfish, and

WHEREAS, each shellfish shipping state has adopted adequate laws and regulations for sanitary
control of the shellfish industry, completed sanitary surveys of harvest areas, delineated and patrolled
restricted areas, inspected shellfish plants, and conducted such additional inspections, laboratory
investigations, and control measures as were necessary to insure that the shellfish reaching the consumer
had been grown, harvested and processed in a sanitary manner, and
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Section VI. NSSP Policy Setting Documents Page 4 of 4

WHEREAS, the shellfish industry has cooperated by obtaining shellfish from safe sources, by
providing plants which met the agreed upon sanitary standards, by maintaining sanitary operating
conditions, by placing the proper certificate number on each package of shellfish,and by keeping and
making available to the control authorities records which showed the origin and disposition of all
shellfish, and

WHEREAS, in 1982, a delegation of state officials met in Annapolis, Maryland and formed the
Interstate Shellfish Sanitation Conference (ISSC), that is composed of state shellfish regulatory officials,
industry officials, FDA, and other federal agencies, and

WHEREAS, the ISSC has provided a forum for state shellfish regulatory officials, industry
officials, FDA, and other federal agencies, to establish uniform national guidelines and to exchange
information regarding sources of safe shellfish, and

WHEREAS, under the guidance of the ISSC, the NSSP has lead the United States in the
prevention of food-borne illnesses by requiring the States, to monitor bacteriological water quality of
shellfish growing areas, to label shellfish with exact growing area information for trace-back purposes, to
inspect and certify shellfish processing facilities, to require refrigeration of shellfish to reduce the growth
of food-borne pathogens, and

WHEREAS, shellfish dealers are required by the NSSP to ensure that shellfish is shipped under
proper temperature control to prevent possible pathogen growth, especially natural marine pathogens such
as Vibrio vulnificus and Vibrio parahaemolyticus that have substantial growth based on temperature, and

WHEREAS, common carriers are exempt from the time-temperature control requirements of the
Model Ordinance, causing most dealers to be concerned if the shellfish products shipped via these carriers
are maintained at proper temperatures and

BE IT RESOLVED, that the ISSC acknowledge that managing pathogen growth comes from
proper temperature control and maintaining this proper temperature control is of concern for dealers who
ship shellfish including shipping via common carriers,

BE IT FURTHER RESOLVED, that the ISSC will extend an educational outreach to Common
Carrier Associations to express these concerns in a letter to Common Carrier Associations detailing the
need for proper temperature control for shipping shellfish,

BE IT FURTHER RESOLVED, that the ISSC will extend an educational outreach to Common
Carrier Associations to express these concerns by promoting the attendance of an Executive Board
member to attend Common Carrier Association Conferences as they may occur and as executive board
budget allows.

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section VII. Shellfish Federal Regulations Page 1 of 57

Part 7 - Enforcement Policy

Subpart A - General Provisions

§ 7.1 Scope.
§ 7.3 Definitions.
§ 7.12 Guaranty.
§ 7.13 Suggested forms of guaranty.

Subpart B - [Reserved]

Subpart C- Recalls

(Including Product Corrections) - Guidelines on Policy, Procedures, and Industry Responsibilities

§ 7.40 Recall policy.

§ 7.41 Health hazard evaluation and recall classification.
§ 7.42 Recall strategy.
§ 7.45 Food and Drug Administration - requested recall.
§ 7.46 Firm-initiated recall.
§ 7.49 Recall communications.
§ 7.50 Public notification of recall.
§ 7.53 Recall status reports.
§ 7.55 Termination of a recall.
§ 7.59 General industry guidance.

Subpart D - [Reserved]

Subpart E - Criminal Violations

§ 7.84 Opportunity for presentation of views before report of criminal violation.

§ 7.85 Conduct of a presentation of views before report of criminal violation.
§ 7.87 Records related to opportunities for presentation of views conducted before report of criminal
violation.

Authority: Secs. 201-903 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 321-393); secs. 301,
351, 354-360F, 361 of the Public Health Service Act (42 U.S.C. 241, 262, 263b-263n, 264).

Source: 42 FR 15567, Mar. 22, 1977, unless otherwise noted.

Subpart A - General Provisions

§ 7.1 Scope.

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Section VII. Shellfish Federal Regulations Page 2 of 57

This part governs the practices and procedures applicable to regulatory enforcement actions initiated by
the Food and Drug Administration pursuant to the Federal Food, Drug and Cosmetic Act (21 U.S.C. 301
et seq.) and other laws that it administers. This part also provides guidance for manufacturers and
distributors to follow with respect to their voluntary removal or correction of marketed violative products.
This part is promulgated to clarify and explain the regulatory practices and procedures of the Food and
Drug Administration, enhance public understanding, improve consumer protection, and assure uniform
and consistent application of practices and procedures throughout the agency.

[43 FR 26218, June 16, 1978 as amended at 65 FR 56476, Sept. 19, 2000]

§ 7.3 Definitions.

(a) Agency means the Food and Drug Administration.

(b) Citation or cite means a document and any attachments thereto that provide notice to a person
against whom criminal prosecution is contemplated of the opportunity to present views to the agency
regarding an alleged violation.

(c) Respondent means a person named in a notice who presents views concerning an alleged violation
either in person, by designated representative, or in writing.

(d) Responsible individual includes those in positions of power or authority to detect, prevent, or
correct violations of the Federal Food, Drug, and Cosmetic Act.

(e) [Reserved]

(f) Product means an article subject to the jurisdiction of the Food and Drug Administration,
including any food, drug, and device intended for human or animal use, any cosmetic and biologic
intended for human use, and any item subject to a quarantine regulation under part 1240 of this
chapter. Product does not include an electronic product that emits radiation and is subject to parts
1003 and 1004 of this chapter.

(g) Recall means a firm's removal or correction of a marketed product that the Food and Drug
Administration considers to be in violation of the laws it administers and against which the agency
would initiate legal action, e.g., seizure. Recall does not include a market withdrawal or a stock
recovery.

(h) Correction means repair, modification, adjustment, relabeling, destruction, or inspection

(including patient monitoring) of a product without its physical removal to some other location.

(i) Recalling firm means the firm that initiates a recall or, in the case of a Food and Drug
Administration-requested recall, the firm that has primary responsibility for the manufacture and
marketing of the product to be recalled.

(j) Market withdrawal means a firm's removal or correction of a distributed product which involves a
minor violation that would not be subject to legal action by the Food and Drug Administration or
which involves no violation, e.g., normal stock rotation practices, routine equipment adjustments and
repairs, etc.

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(k) Stock recovery means a firm's removal or correction of a product that has not been marketed or
that has not left the direct control of the firm, i.e., the product is located on premises owned by, or
under the control of, the firm and no portion of the lot has been released for sale or use.

(l) Recall strategy means a planned specific course of action to be taken in conducting a specific
recall, which addresses the depth of recall, need for public warnings, and extent of effectiveness
checks for the recall.

(m) Recall classification means the numerical designation, i.e., I, II, or III, assigned by the Food and
Drug Administration to a particular product recall to indicate the relative degree of health hazard
presented by the product being recalled.

(1) Class I is a situation in which there is a reasonable probability that the use of, or exposure
to, a violative product will cause serious adverse health consequences or death.

(2) Class II is a situation in which use of, or exposure to, a violative product may cause
temporary or medically reversible adverse health consequences or where the probability of
serious adverse health consequences is remote.

(3) Class III is a situation in which use of, or exposure to, a violative product is not likely to
cause adverse health consequences.

(n) Consignee means anyone who received, purchased, or used the product being recalled.

[42 FR 15567, Mar. 22, 1977, as amended at 43 FR 26218, June 16, 1978; 44 FR 12167, Mar. 6, 1979]

§ 7.12 Guaranty.

In case of the giving of a guaranty or undertaking referred to in section 303(c)(2) or (3) of the act, each
person signing such guaranty or undertaking shall be considered to have given it.

§ 7.13 Suggested forms of guaranty.

(a) A guaranty or undertaking referred to in section 303(c)(2) of the act may be:

(1) Limited to a specific shipment or other delivery of an article, in which case it may be a
part of or attached to the invoice or bill of sale covering such shipment or delivery, or

(2) General and continuing, in which case, in its application to any shipment or other delivery
of an article, it shall be considered to have been given at the date such article was shipped or
delivered by the person who gives the guaranty or undertaking.

(b) The following are suggested forms of guaranty or undertaking under section 303(c)(2) of the act:

(1) Limited form for use on invoice or bill of sale. (Name of person giving the guaranty or
undertaking) hereby guarantees that no article listed herein is adulterated or misbranded
within the meaning of the Federal Food, Drug, and Cosmetic Act, or is an article which may
not, under the provisions of section 404, 505, or 512 of the act, be introduced into interstate
commerce.

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(Signature and post-office address of person giving the guaranty or undertaking.)

(2) General and continuing form.

The article comprising each shipment or other delivery hereafter made by (name of
person giving the guaranty or undertaking) to, or in the order of (name and post-office
address of person to whom the guaranty or undertaking is given) is hereby guaranteed, as
of the date of such shipment or delivery, to be, on such date, not adulterated or
misbranded within the meaning of the Federal Food, Drug, and Cosmetic Act, and not an
article which may not, under the provisions of section 404, 505, or 512 of the act, be
introduced into interstate commerce.

(Signature and post-office address of person giving the guaranty of undertaking.)

(c) The application of a guaranty or undertaking referred to in section 303(c)(2) of the act to any
shipment or other delivery of an article shall expire when such article, after shipment or delivery by
the person who gave such guaranty or undertaking, becomes adulterated or misbranded within the
meaning of the act, or becomes an article which may not, under the provisions of section 404, 505, or
512 of the act, be introduced into interstate commerce.

(d) A guaranty or undertaking referred to in section 303(c)(3) of the act shall state that the shipment
or other delivery of the color additive covered thereby was manufactured by a signer thereof. It may
be a part of or attached to the invoice or bill of sale covering such color. If such shipment or delivery
is from a foreign manufacturer, such guaranty or undertaking shall be signed by such manufacturer
and by an agent of such manufacturer who resides in the United States.

(e) The following are suggested forms of guaranty or undertaking under section 303(c)(3) of the act:

(1) For domestic manufacturers:

(Name of manufacturer) hereby guarantees that all color additives listed herein were
manufactured by him, and (where color additive regulations require certification) are
from batches certified in accordance with the applicable regulations promulgated under
the Federal Food, Drug, and Cosmetic Act.

(Signature and post-office address of manufacturer.)

(2) For foreign manufacturers:

(Name of manufacturer and agent) hereby severally guarantee that all color additives
listed herein were manufactured by (name of manufacturer), and (where color additive
regulations require certification) are from batches certified in accordance with the
applicable regulations promulgated under the Federal Food, Drug, and Cosmetic Act.

(Signature and post-office address of manufacturer.)

(Signature and post-office address of agent.)

(f) For the purpose of a guaranty or undertaking under section 303(c)(3) of the act the manufacturer of
a shipment or other delivery of a color additive is the person who packaged such color.

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(g) A guaranty or undertaking, if signed by two or more persons, shall state that such persons
severally guarantee the article to which it applies.

(h) No representation or suggestion that an article is guaranteed under the act shall be made in
labeling.

Subpart B - [Reserved]

Subpart C - Recalls (Including Product Corrections) - Guidelines on Policy, Procedures, and

Industry Responsibilities

Source: 43 FR 26218, June 16, 1978, unless otherwise noted.

§ 7.40 Recall policy.

(a) Recall is an effective method of removing or correcting consumer products that are in violation of
laws administered by the Food and Drug Administration. Recall is a voluntary action that takes place
because manufacturers and distributors carry out their responsibility to protect the public health and
well being from products that present a risk of injury or gross deception or are otherwise defective.
This section and § 7.41 through 7.59 recognize the voluntary nature of recall by providing guidance
so that responsible firms may effectively discharge their recall responsibilities. These sections also
recognize that recall is an alternative to a Food and Drug Administration-initiated court action for
removing or correcting violative, distributed products by setting forth specific recall procedures for
the Food and Drug Administration to monitor recalls and assess the adequacy of a firm's efforts in
recall.

(b) Recall may be undertaken voluntarily and at any time by manufacturers and distributors, or at the
request of the Food and Drug Administration. A request by the Food and Drug Administration that a
firm recall a product is reserved for urgent situations and is to be directed to the firm that has primary
responsibility for the manufacture and marketing of the product that is to be recalled.

(c) Recall is generally more appropriate and affords better protection for consumers than seizure,
when many lots of product have been widely distributed. Seizure, multiple seizure, or other court
action is indicated when a firm refuses to undertake a recall requested by the Food and Drug
Administration, or where the agency has reason to believe that a recall would not be effective,
determines that a recall is ineffective, or discovers that a violation is continuing.

[43 FR 26218, June 16, 1978, as amended at 65 FR 56476, Sept. 19, 2000]

§ 7.41 Health hazard evaluation and recall classification.

(a) An evaluation of the health hazard presented by a product being recalled or considered for recall
will be conducted by an ad hoc committee of Food and Drug Administration scientists and will take
into account, but need not be limited to, the following factors:

(1) Whether any disease or injuries have already occurred from the use of the product.

(2) Whether any existing conditions could contribute to a clinical situation that could expose
humans or animals to a health hazard. Any conclusion shall be supported as completely as
possible by scientific documentation and/or statements that the conclusion is the opinion of
the individual(s) making the health hazard determination.
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(3) Assessment of hazard to various segments of the population, e.g., children, surgical
patients, pets, livestock, etc., who are expected to be exposed to the product being considered,
with particular attention paid to the hazard to those individuals who may be at greatest risk.

(4) Assessment of the degree of seriousness of the health hazard to which the populations at
risk would be exposed.

(5) Assessment of the likelihood of occurrence of the hazard.

(6) Assessment of the consequences (immediate or long-range) of occurrence of the hazard.

(b) On the basis of this determination, the Food and Drug Administration will assign the recall a
classification, i.e., Class I, Class II, or Class III, to indicate the relative degree of health hazard of the
product being recalled or considered for recall.

§ 7.42 Recall strategy.

(a) General.

(1) A recall strategy that takes into account the following factors will be developed by the
agency for a Food and Drug Administration-requested recall and by the recalling firm for a
firm-initiated recall to suit the individual circumstances of the particular recall:

(i) Results of health hazard evaluation.

(ii) Ease in identifying the product.

(iii) Degree to which the product's deficiency is obvious to the consumer or user.

(iv) Degree to which the product remains unused in the market place.

(v) Continued availability of essential products.

(2) The Food and Drug Administration will review the adequacy of a proposed recall strategy
developed by a recalling firm and recommend changes as appropriate. A recalling firm
should conduct the recall in accordance with an approved recall strategy but need not delay
initiation of a recall pending review of its recall strategy.

(b) Elements of a recall strategy. A recall strategy will address the following elements regarding the
conduct of the recall:

(1) Depth of recall. Depending on the product's degree of hazard and extent of distribution,
the recall strategy will specify the level in the distribution chain to which the recall is to
extend, as follows:

(i) Consumer or user level, which may vary with product, including any intermediate
wholesale or retail level; or

(ii) Retail level, including any intermediate wholesale level; or

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(iii) Wholesale level.

(2) Public warning. The purpose of a public warning is to alert the public that a product being
recalled presents a serious hazard to health. It is reserved for urgent situations where other
means for preventing use of the recalled product appear inadequate. The Food and Drug
Administration in consultation with the recalling firm will ordinarily issue such publicity. The
recalling firm that decides to issue its own public warning is requested to submit its proposed
public warning and plan for distribution of the warning for review and comment by the Food
and Drug Administration. The recall strategy will specify whether a public warning is needed
and whether it will issue as:

(i) General public warning through the general news media, either national or local as
appropriate, or

(ii) Public warning through specialized news media, e.g., professional or trade press,
or to specific segments of the population such as physicians, hospitals, etc.

(3) Effectiveness checks. The purpose of effectiveness checks is to verify that all consignees
at the recall depth specified by the strategy have received notification about the recall and
have taken appropriate action. The method for contacting consignees may be accomplished
by personal visits, telephone calls, letters, or a combination thereof. A guide entitled
"Methods for Conducting Recall Effectiveness Checks" that describes the use of these
different methods is available upon request from the Division of Dockets Management (HFA-
305), Food and Drug Administration, 5630 Fishers Lane, rm. 1061, Rockville, MD 20852.
The recalling firm will ordinarily be responsible for conducting effectiveness checks, but the
Food and Drug Administration will assist in this task where necessary and appropriate. The
recall strategy will specify the method(s) to be used for and the level of effectiveness checks
that will be conducted, as follows:

(i) Level A-100 percent of the total number of consignees to be contacted;

(ii) Level B-Some percentage of the total number of consignees to be contacted,

which percentage is to be determined on a case-by-case basis, but is greater than 10
percent and less than 100 percent of the total number of consignees;

(iii) Level C-10 percent of the total number of consignees to be contacted;

(iv) Level D-2 percent of the total number of consignees to be contacted; or

(v) Level E-No effectiveness checks.

[43 FR 26218, June 16, 1978, as amended at 46 FR 8455, Jan. 27, 1981; 59 FR 14363, Mar. 28, 1994; 68
FR 24879, May 9, 2003]

§ 7.45 Food and Drug Administration requested recall.

(a) The Commissioner of Food and Drugs or his designee under § 5.20 of this chapter may request a
firm to initiate a recall when the following determinations have been made:

(1) That a product that has been distributed presents a risk of illness or injury or gross
consumer deception.
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(2) That the firm has not initiated a recall of the product.

(3) That an agency action is necessary to protect the public health and welfare.

(b) The Commissioner or his designee will notify the firm of this determination and of the need to
begin immediately a recall of the product. Such notification will be by letter or telegram to a
responsible official of the firm, but may be preceded by oral communication or by a visit from an
authorized representative of the local Food and Drug Administration district office, with formal,
written confirmation from the Commissioner or his designee afterward. The notification will specify
the violation, the health hazard classification of the violative product, the recall strategy, and other
appropriate instructions for conducting the recall.

(c) Upon receipt of a request to recall, the firm may be asked to provide the Food and Drug
Administration any or all of the information listed in § 7.46(a). The firm, upon agreeing to the recall
request, may also provide other information relevant to the agency's determination of the need for the
recall or how the recall should be conducted.

[43 FR 26218, June 16, 1978, as amended at 69 FR 17290, Apr. 2, 2004]

§ 7.46 Firm-initiated recall.

(a) A firm may decide of its own volition and under any circumstances to remove or correct a
distributed product. A firm that does so because it believes the product to be violative is requested to
notify immediately the appropriate Food and Drug Administration district office listed in § 5.115 of
this chapter. Such removal or correction will be considered a recall only if the Food and Drug
Administration regards the product as involving a violation that is subject to legal action, e.g., seizure.
In such cases, the firm will be asked to provide the Food and Drug Administration the following
information:

(1) Identity of the product involved.

(2) Reason for the removal or correction and the date and circumstances under which the
product deficiency was discovered.

(3) Evaluation of the risk associated with the deficiency or possible deficiency.

(4) Total amount of such products produced and/or the time span of the production.

(5) Total amount of such products estimated to be in distribution channels.

(6) Distribution information, including the number of direct accounts and, where necessary,
the identity of the direct accounts.

(7) A copy of the firm's recall communication if any has issued, or a proposed
communication if none has issued.

(8) Proposed strategy for conducting the recall.

(9) Name and telephone number of the firm official who should be contacted concerning the
recall.
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(b) The Food and Drug Administration will review the information submitted, advise the firm of the
assigned recall classification, recommend any appropriate changes in the firm's strategy for the recall,
and advise the firm that its recall will be placed in the weekly FDA Enforcement Report. Pending this
review, the firm need not delay initiation of its product removal or correction.

(c) A firm may decide to recall a product when informed by the Food and Drug Administration that
the agency has determined that the product in question violates the law, but the agency has not
specifically requested a recall. The firm's action also is considered a firm-initiated recall and is
subject to paragraphs (a) and (b) of this section.

(d) A firm that initiates a removal or correction of its product which the firm believes is a market
withdrawal should consult with the appropriate Food and Drug Administration district office when
the reason for the removal or correction is not obvious or clearly understood but where it is apparent,
e.g., because of complaints or adverse reactions regarding the product, that the product is deficient in
some respect. In such cases, the Food and Drug Administration will assist the firm in determining the
exact nature of the problem.

§ 7.49 Recall communications.

(a) General. A recalling firm is responsible for promptly notifying each of its affected direct accounts
about the recall. The format, content, and extent of a recall communication should be commensurate
with the hazard of the product being recalled and the strategy developed for that recall. In general
terms, the purpose of a recall communication is to convey:

(1) That the product in question is subject to a recall.

(2) That further distribution or use of any remaining product should cease immediately.

(3) Where appropriate, that the direct account should in turn notify its customers who
received the product about the recall.

(4) Instructions regarding what to do with the product.

(b) Implementation. A recall communication can be accomplished by telegrams, mailgrams, or first

class letters conspicuously marked, preferably in bold red type, on the letter and the envelope: "drug
[or food, biologic, etc.] recall [or correction]". The letter and the envelope should be also marked:
"urgent" for class I and class II recalls and, when appropriate, for class III recalls. Telephone calls or
other personal contacts should ordinarily be confirmed by one of the above methods and/or
documented in an appropriate manner.

(c) Contents.

(1) A recall communication should be written in accordance with the following guidelines:

(i) Be brief and to the point;

(ii) Identify clearly the product, size, lot number(s), code(s) or serial number(s) and
any other pertinent descriptive information to enable accurate and immediate
identification of the product;

(iii) Explain concisely the reason for the recall and the hazard involved, if any;
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(iv) Provide specific instructions on what should be done with respect to the recalled
products; and

(v) Provide a ready means for the recipient of the communication to report to the
recalling firm whether it has any of the product, e.g., by sending a postage-paid, self-
addressed postcard or by allowing the recipient to place a collect call to the recalling
firm.

(2) The recall communication should not contain irrelevant qualifications, promotional
materials, or any other statement that may detract from the message. Where necessary,
follow-up communications should be sent to those who fail to respond to the initial recall
communication.

(d) Responsibility of recipient. Consignees that receive a recall communication should immediately
carry out the instructions set forth by the recalling firm and, where necessary, extend the recall to its
consignees in accordance with paragraphs (b) and (c) of this section.

§ 7.50 Public notification of recall.

The Food and Drug Administration will promptly make available to the public in the weekly FDA
Enforcement Report a descriptive listing of each new recall according to its classification, whether it was
Food and Drug Administration-requested or firm-initiated, and the specific action being taken by the
recalling firm. The Food and Drug Administration will intentionally delay public notification of recalls of
certain drugs and devices where the agency determines that public notification may cause unnecessary
and harmful anxiety in patients and that initial consultation between patients and their physicians is
essential. The report will not include a firm's product removals or corrections which the agency
determines to be market withdrawals or stock recoveries. The report, which also includes other Food and
Drug Administration regulatory actions, e.g., seizures that were affected and injunctions and prosecutions
that were filed, is available upon request from the Office of Public Affairs (HFI-1), Food and Drug
Administration, 5600 Fishers Lane, Rockville, MD 20857.

§ 7.53 Recall status reports.

(a) The recalling firm is requested to submit periodic recall status reports to the appropriate Food and
Drug Administration district office so that the agency may assess the progress of the recall. The
frequency of such reports will be determined by the relative urgency of the recall and will be
specified by the Food and Drug Administration in each recall case; generally the reporting interval
will be between 2 and 4 weeks.

(b) Unless otherwise specified or inappropriate in a given recall case, the recall status report should
contain the following information:

(1) Number of consignees notified of the recall, and date and method of notification.

(2) Number of consignees responding to the recall communication and quantity of products
on hand at the time it was received.

(3) Number of consignees that did not respond (if needed, the identity of nonresponding
consignees may be requested by the Food and Drug Administration).

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(4) Number of products returned or corrected by each consignee contacted and the quantity of
products accounted for.

(5) Number and results of effectiveness checks that were made.

(6) Estimated time frames for completion of the recall.

(c) Recall status reports are to be discontinued when the recall is terminated by the Food and Drug
Administration.

§ 7.55 Termination of a recall.

(a) A recall will be terminated when the Food and Drug Administration determines that all reasonable
efforts have been made to remove or correct the product in accordance with the recall strategy, and
when it is reasonable to assume that the product subject to the recall has been removed and proper
disposition or correction has been made commensurate with the degree of hazard of the recalled
product. Written notification that a recall is terminated will be issued by the appropriate Food and
Drug Administration district office to the recalling firm.

(b) A recalling firm may request termination of its recall by submitting a written request to the
appropriate Food and Drug Administration district office stating that the recall is effective in
accordance with the criteria set forth in paragraph (a) of this section, and by accompanying the
request with the most current recall status report and a description of the disposition of the recalled
product.

§ 7.59 General industry guidance.

A recall can be disruptive of a firm's operation and business, but there are several steps a prudent firm can
take in advance to minimize this disruptive effect. Notwithstanding similar specific requirements for
certain products in other parts of this chapter, the following is provided by the Food and Drug
Administration as guidance for a firm's consideration:

(a) Prepare and maintain a current written contingency plan for use in initiating and effecting a recall
in accordance with §§ 7.40 through 7.49, 7.53, and 7.55.

(b) Use sufficient coding of regulated products to make possible positive lot identification and to
facilitate effective recall of all violative lots.

(c) Maintain such product distribution records as are necessary to facilitate location of products that
are being recalled. Such records should be maintained for a period of time that exceeds the shelf life
and expected use of the product and is at least the length of time specified in other applicable
regulations concerning records retention.

Authority: 21 U.S.C. 321-393; 42 U.S.C. 241, 262, 263b-263n, 264.

Source: 42 FR 15567, Mar. 22, 1977, unless otherwise noted.

PART 101 - FOOD LABELING

Subpart A - General Provisions

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§ 101.1 Principal display panel of package form food.

§ 101.2 Information panel of package form food.
§ 101.3 Identity labeling of food in packaged form.
§ 101.4 Food; designation of ingredients.
§ 101.5 Food; name and place of business of manufacturer, packer, or distributor.
§ 101.8 Labeling of food with number of servings.
§ 101.9 Nutrition labeling of food.
§ 101.10 Nutrition labeling of restaurant foods.
§ 101.11 Saccharin and its salts; retail establishment notice.
§ 101.12 Reference amounts customarily consumed per eating occasion.
§ 101.13 Nutrient content claims-general principles.
§ 101.14 Health claims: general requirements.
§ 101.15 Food; prominence of required statements.
§ 101.17 Food labeling warning and notice statements.
§ 101.18 Misbranding of food.

Subpart B - Specific Food Labeling Requirements

§ 101.22 Foods; labeling of spices, flavorings, colorings and chemical preservatives.

§ 101.25 [Removed]
§ 101.29 Labeling of kosher and kosher-style foods.
§ 101.30 Percentage juice declaration for foods purporting to be beverages that contain fruit or vegetable
juice.
§ 101.33 Label declaration of D-erythro-ascorbic acid when it is an ingredient of a fabricated food.
§ 101.36 Nutrition labeling of dietary supplements of vitamins and minerals.

Subpart C - Specific Nutrition Labeling Requirements and Guidelines

§ 101.42 Nutrition labeling of raw fruit, vegetables, and fish.

§ 101.43 Substantial compliance of food retailers with the guidelines for the voluntary nutrition labeling
of raw fruit, vegetables, and fish.
§ 101.44 Identification of the 20 most frequently consumed raw fruit, vegetables, and fish in the United
States.
§ 101.45 Guidelines for the voluntary nutrition labeling of raw fruit, vegetables, and fish.

[58 FR 2413, Jan. 6, 1993; 58 FR 17343, Apr. 2, 1993]

Subpart D - Specific Requirements for Nutrient Content Claims

§ 101.54 Nutrient content claims for "good source," "high," and "more."
§ 101.56 Nutrient content claims for "light" or "lite."
§ 101.60 Nutrient content claims for the calorie content of foods.
§ 101.61 Nutrient content claims for the sodium content of foods.
§ 101.62 Nutrient content claims for fat, fatty acid, and cholesterol content of foods.
§ 101.65 Implied nutrient content claims and related label statements.
§ 101.69 Petitions for nutrient content claims.

Subpart E - Specific Requirements for Health Claims

§ 101.70 Petitions for health claims.

§ 101.71 Health claims: claims not authorized.
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§ 101.72 Health claims: calcium and osteoporosis.

§ 101.73 Health claims: dietary lipids and cancer.
§ 101.74 Health claims: sodium and hypertension.
§ 101.75 Health claims: dietary saturated fat and cholesterol and risk of coronary heart disease.
§ 101.76 Health claims: fiber-containing grain products, fruits, and vegetables and cancer.
§ 101.77 Health claims: fruits, vegetables, and grain products that contain fiber, particularly soluble fiber,
and risk of coronary heart disease.
§ 101.78 Health claims: fruits and vegetables and cancer.

Subpart F - Specific Requirements for Descriptive Claims that are neither Nutrient Content Claims
nor Health Claims

§ 101.95 "Fresh," "freshly frozen," "fresh frozen," "frozen fresh."

§ 101.100 Food; exemptions from labeling.
§ 101.103 Petitions requesting exemptions from or special requirements for label declaration of
ingredients.
§ 101.105 Declaration of net quantity of contents when exempt.
§ 101.108 Temporary exemptions for purposes of conducting authorized food labeling experiments.

Subpart A - General Provisions

§ 101.1 Principal display panel of package form food.

The term "principal display panel" as it applies to food in package form and as used in this part, means
the part of a label that is most likely to be displayed, presented, shown, or examined under customary
conditions of display for retail sale. The principal display panel shall be large enough to accommodate all
the mandatory label information required to be placed thereon by this part with clarity and
conspicuousness and without obscuring design, vignettes, or crowding. Where packages bear alternate
principal display panels, information required to be placed on the principal display panel shall be
duplicated on each principal display panel. For the purpose of obtaining uniform type size in declaring the
quantity of contents for all packages of substantially the same size, the term "area of the principal display
panel" means the area of the side or surface that bears the principal display panel, which area shall be:

(a) In the case of a rectangular package where one entire side properly can be considered to be the
principal display panel side, the product of the height times the width of that side;

(b) In the case of a cylindrical or nearly cylindrical container, 40 percent of the product of the height
of the container times the circumference;

(c) In the case of any otherwise shaped container, 40 percent of the total surface of the container:
Provided, however, that where such container presents an obvious "principal display panel"such as
the top of a triangular or circular package of cheese, the area shall consist of the entire top surface. In
determining the area of the principal display panel, exclude tops, bottoms, flanges at tops and bottoms
of cans, and shoulders and necks of bottles or jars. In the case of cylindrical or nearly cylindrical
containers, information required by this part to appear on the principal display panel shall appear
within that 40 percent of the circumference which is most likely to be displayed, presented, shown, or
examined under customary conditions of display for retail sale.

§ 101.2 Information panel of package form food.

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(a) The term "information panel"as it applies to packaged food means that part of the label
immediately contiguous and to the right of the principal display panel as observed by an individual
facing the principal display panel with the following exceptions:

(1) If the part of the label immediately contiguous and to the right of the principal display
panel is too small to accommodate the necessary information or is otherwise unusable label
space, e.g., folded flaps or can ends, the panel immediately contiguous and to the right of this
part of the label may be used.

(2) If the package has one or more alternate principal display panels, the information panel is
immediately contiguous and to the right of any principal display panel.

(3) If the top of the container is the principal display panel and the package has no alternate
principal display panel, the information panel is any panel adjacent to the principal display
panel.

(b) All information required to appear on the label of any package of food pursuant to §§ 101.4,
101.5, 101.8, 101.9, 101.13, 101.17, 101.36, subpart D of part 101 and Part 105 of this chapter shall
appear either on the principal display panel or on the information panel, unless otherwise specified by
regulations in this chapter.

(c) All information appearing on the principal display panel or the information panel pursuant to this
section shall appear prominently and conspicuously, but in no case may the letters and/or numbers be
less than one-sixteenth inch in height unless an exemption pursuant to paragraph (f) of this section is
established. The requirements for conspicuousness and legibility shall include the specifications of
§§ 101.105(h) (1) and (2) and 101.15.

(1)(i) Soft drinks packaged in bottles manufactured before October 31, 1975 shall be exempt
from the requirements prescribed by this section to the extent that information which is
blown, lithographed, or formed onto the surface of the bottle is exempt from the size and
placement requirements of this section.

(ii) Soft drinks packaged in bottles shall be exempt from the size and placement
requirements prescribed by this section if all of the following conditions are met:

(a) If the soft drink is packaged in a bottle bearing a paper, plastic foam jacket, or foil
label, or is packaged in a non-reusable bottle bearing a label lithographed onto the
surface of the bottle or is packaged in metal cans, the product shall not be exempt
from any requirement of this section other than the exemptions created by
§ 1.24(a)(5) (ii) and (v) of this chapter and the label shall bear all required
information in the specified minimum type size, except the label will not be required
to bear the information required by § 101.5 if this information appears on the bottle
closure or on the lid of the can in a type size not less than one-sixteenth inch in
height, or if embossed on the lid of the can in a type size not less than one-eighth inch
in height.

(b) If the soft drink is packaged in a bottle which does not bear a paper, plastic foam
jacket or foil label, or is packaged in a reusable bottle bearing a label lithographed
onto the surface of the bottle:

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(1) Neither the bottle nor the closure is required to bear nutrition labeling in
compliance with § 101.9, except that any multiunit retail package in which it
is contained shall bear nutrition labeling if required by § 101.9; and any
vending machine in which it is contained shall bear nutrition labeling if
nutrition labeling is not present on the bottle or closure, if required by
§ 101.9.

(2) All other information pursuant to this section shall appear on the top of
the bottle closure prominently and conspicuously in letters and/or numbers
no less than one thirty-second inch in height, except that if the information
required by § 101.5 is placed on the side of the closure in accordance with §
1.24(a)(5)(ii) of this chapter, such information shall appear in letters and/or
numbers no less than one-sixteenth inch in height.

(3) Upon the petition of any interested person demonstrating that the bottle
closure is too small to accommodate this information, the Commissioner may
by regulation establish an alternative method of disseminating such
information. Information appearing on the closure shall appear in the
following priority:

(i) The statement of ingredients.

(ii) The name and address of the manufacturer, packer, or distributor.

(iii) The statement of identity.

(2) Individual serving-size packages of food served with meals in restaurants, institutions,
and on board passenger carriers, and not intended for sale at retail, are exempt from type-size
requirements of this paragraph, provided:

(i) The package has a total area of 3 square inches or less available to bear labeling;

(ii) There is insufficient area on the package available to print all required
information in a type size of 1/16 inch in height;

(iii) The information required by paragraph (b) of this section appears on the label in
accordance with the provisions of this paragraph, except that the type size is not less
than 1/32 inch in height.

(d)(1) Except as provided by § 101.9 (j) (13) and (j) (17) and 101.36 (i) (2) and (i) (5), all information
required to appear on the principal display panel or on the information panel under this section shall
appear on the same panel unless there is insufficient space. In determining the sufficiency of the
available space, except as provided by § 101.9 (j) (17) and 101.36 (i) (5), any vignettes, design, and
other non-mandatory label information shall not be considered. If there is insufficient space for all of
this information to appear on a single panel, it may be divided between these two panels except that
the information required under any given section or part shall all appear on the same panel. A food
whose label is required to bear the ingredient statement on the principal display panel may bear all
other information specified in paragraph (b) of this section on the information panel.

(2) Any food, not otherwise exempted in this section, if packaged in a container consisting of
a separate lid and body, and bearing nutrition labeling pursuant to § 101.9, and if the lid
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qualifies for and is designed to serve as a principal display panel, shall be exempt from the
placement requirements of this section in the following respects:

(i) The name and place of business information required by § 101.5 shall not be
required on the body of the container if this information appears on the lid in
accordance with this section.

(ii) The nutrition information required by § 101.9 shall not be required on the lid if
this information appears on the container body in accordance with this section.

(iii) The statement of ingredients required by § 101.4 shall not be required on the lid
if this information appears on the container body in accordance with this section.
Further, the statement of ingredients is not required on the container body if this
information appears on the lid in accordance with this section.

(e) All information appearing on the information panel pursuant to this section shall appear in one
place without other intervening material.

(f) If the label of any package of food is too small to accommodate all of the information required by
§ 101.4, 101.5, 101.8, 101.9, 101.13, 101.17, and 101.36, subpart D of part 101 and Part 105 of this
chapter, the Commissioner may establish by regulation an acceptable alternative method of
disseminating such information to the public, e.g., a type size smaller than one-sixteenth inch in
height, or labeling attached to or inserted in the package or available at the point of purchase. A
petition requesting such a regulation, as an amendment to this paragraph shall be submitted under Part
10 of this chapter.

[42 FR 14308, Mar. 15, 1977, as amended at 42 FR 15673, Mar. 22, 1977; 42 FR 45905, Sept. 13, 1977;
42 FR 47191, Sept. 20, 1977; 44 FR 16006, Mar. 16, 1979; 49 FR 13339, Apr. 4, 1984; 53 FR 16068,
May 5, 1988; 58 FR 44030, Aug. 18, 1993; 60 FR 17205, Apr. 5, 1995; 62 FR 43074, Aug. 12, 1997; 62
FR 49847, Sept. 23, 1997; 63 FR 14817, Mar. 27, 1998]

§ 101.3 Identity labeling of food in packaged form.

(a) The principal display panel of a food in package form shall bear as one of its principal features a
statement of the identity of the commodity.

(b) Such statement of identity shall be in terms of:

(1) The name now or hereafter specified in or required by any applicable Federal law or
regulation; or, in the absence thereof,

(2) The common or usual name of the food; or, in the absence thereof,

(3) An appropriately descriptive term, or when the nature of the food is obvious, a fanciful
name commonly used by the public for such food.

(c) Where a food is marketed in various optional forms (whole, slices, diced, etc.), the particular form
shall be considered to be a necessary part of the statement of identity and shall be declared in letters
of a type size bearing a reasonable relation to the size of the letters forming the other components of
the statement of identity; except that if the optional form is visible through the container or is depicted
by an appropriate vignette, the particular form need not be included in the statement. This
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specification does not affect the required declarations of identity under definitions and standards for
foods promulgated pursuant to section 401 of the act.

(d) This statement of identity shall be presented in bold type on the principal display panel, shall be in
a size reasonably related to the most prominent printed matter on such panel, and shall be in lines
generally parallel to the base on which the package rests as it is designed to be displayed.

(e) Under the provisions of section 403(c) of the Federal Food, Drug, and Cosmetic Act, a food shall
be deemed to be misbranded if it is an imitation of another food unless its label bears, in type of
uniform size and prominence, the word "imitation"and, immediately thereafter, the name of the food
imitated.

(1) A food shall be deemed to be an imitation and thus subject to the requirements of section
403(c) of the act if it is a substitute for and resembles another food but is nutritionally inferior
to that food.

(2) A food that is a substitute for and resembles another food shall not be deemed to be an
imitation provided it meets each of the following requirements:

(i) It is not nutritionally inferior to the food for which it substitutes and which it
resembles.

(ii) Its label bears a common or usual name that complies with the provisions of
§ 102.5 of this chapter and that is not false or misleading, or in the absence of an
existing common or usual name, an appropriately descriptive term that is not false or
misleading. The label may, in addition, bear a fanciful name which is not false or
misleading.

(3) A food for which a common or usual name is established by regulation (e.g., in a standard
of identity pursuant to section 401 of the act, in a common or usual name regulation pursuant
to Part 102 of this chapter, or in a regulation establishing a nutritional quality guideline
pursuant to Part 104 of this chapter), and which complies with all of the applicable
requirements of such regulation(s), shall not be deemed to be an imitation.

(4) Nutritional inferiority includes:

(i) Any reduction in the content of an essential nutrient that is present in a measurable
amount, but does not include a reduction in the caloric or fat content provided the
food is labeled pursuant to the provisions of § 101.9, and provided the labeling with
respect to any reduction in caloric content complies with the provisions applicable to
caloric content in Part 105 of this chapter.

(ii) For the purpose of this section, a measurable amount of an essential nutrient in a
food shall be considered to be 2 percent or more of the Daily Reference Value (DRV)
of protein listed under § 101.9(c)(7)(iii) and of potassium listed under § 101.9 (c) (9)
per reference amount customarily consumed and 2 percent or more of the Reference
Daily Intake (RDI) of any vitamin or mineral listed under § 101.9 (c) (8) (iv) per
reference amount customarily consumed, except that selenium, molybdenum,
chromium, and chloride need not be considered.

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(iii) If the Commissioner concludes that a food is a substitute for and resembles
another food but is inferior to the food imitated for reasons other than those set forth
in this paragraph, he may propose appropriate revisions to this regulation or he may
propose a separate regulation governing the particular food.

(f) A label may be required to bear the percentage(s) of a characterizing ingredient(s) or information
concerning the presence or absence of an ingredient(s) or the need to add an ingredient(s) as part of
the common or usual name of the food pursuant to Subpart B of Part 102 of this chapter.

(g) Dietary supplements shall be identified by the term “dietary supplement” as a part of the statement
of identity, except that the word “dietary” may be deleted and replaced by the name of the dietary
ingredients in the product (e.g., calcium supplement) or an appropriately descriptive term indicating
the type of dietary ingredients that are in the product (e.g., herbal supplement with vitamins).

[42 FR 14308, Mar. 15, 1977, as amended at 48 FR 10811, Mar. 15, 1983; 58 FR 2227, Jan. 6, 1993; 60
FR 67174, Dec. 28, 1995; 62 FR 49847, Sept. 23, 1997]

§ 101.4 Food; designation of ingredients.

(a)(1) Ingredients required to be declared on the label or labeling of a food, including foods that
comply with standards of identity, except those ingredients exempted by § 101.100, shall be listed by
common or usual name in descending order of predominance by weight on either the principal display
panel or the information panel in accordance with the provisions of § 101.2, except that ingredients in
dietary supplements that are listed in the nutrition label in accordance with § 101.36 need not be
repeated in the ingredient list. Paragraph (g) of this section describes the ingredient list on dietary
supplement products.

(2) The descending order of predominance requirements of paragraph (a)(1) of this section do
not apply to ingredients present in amounts of 2 percent or less by weight when a listing of
these ingredients is placed at the end of the ingredient statement following an appropriate
quantifying statement, e.g., "Contains ___ percent or less of ___,"or "Less than ___ percent
of ___."The blank percentage within the quantifying statement shall be filled in with a
threshold level of 2 percent, or, if desired, 1.5 percent, 1.0 percent, or 0.5 percent, as
appropriate. No ingredient to which the quantifying phrase applies may be present in an
amount greater than the stated threshold.

(b) The name of an ingredient shall be a specific name and not a collective (generic) name, except
that:

(1) Spices, flavorings, colorings and chemical preservatives shall be declared according to the
provisions of § 101.22.

(2) An ingredient which itself contains two or more ingredients and which has an established
common or usual name, conforms to a standard established pursuant to the Meat Inspection
or Poultry Products Inspection Acts by the U.S. Department of Agriculture, or conforms to a
definition and standard of identity established pursuant to section 401 of the Federal Food,
Drug, and Cosmetic Act, shall be designated in the statement of ingredients on the label of
such food by either of the following alternatives:

(i) By declaring the established common or usual name of the ingredient followed by
a parenthetical listing of all ingredients contained therein in descending order of
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predominance except that, if the ingredient is a food subject to a definition and

standard of identity established in this Subchapter B of this chapter that has specific
labeling provisions for optional ingredients, optional ingredients may be declared
within the parenthetical listing in accordance with those provisions.

(ii) By incorporating into the statement of ingredients in descending order of

predominance in the finished food, the common or usual name of every component
of the ingredient without listing the ingredient itself.

(3) Skim milk, concentrated skim milk, reconstituted skim milk, and nonfat dry milk may be
declared as "skim milk"or "nonfat milk".

(4) Milk, concentrated milk, reconstituted milk, and dry whole milk may be declared as
"milk".

(5) Bacterial cultures may be declared by the word "cultured"followed by the name of the
substrate, e.g., "made from cultured skim milk or cultured buttermilk".

(6) Sweet cream buttermilk, concentrated sweet cream buttermilk, reconstituted sweet cream
buttermilk, and dried sweet cream buttermilk may be declared as "buttermilk".

(7) Whey, concentrated whey, reconstituted whey, and dried whey may be declared as
"whey".

(8) Cream, reconstituted cream, dried cream, and plastic cream (sometimes known as
concentrated milk fat) may be declared as "cream".

(9) Butter oil and anhydrous butterfat may be declared as "butterfat".

(10) Dried whole eggs, frozen whole eggs, and liquid whole eggs may be declared as "eggs".

(11) Dried egg whites, frozen egg whites, and liquid egg whites may be declared as "egg
whites".

(12) Dried egg yolks, frozen egg yolks, and liquid egg yolks may be declared as "egg yolks".

(13) [Reserved]

(14) Each individual fat and/or oil ingredient of a food intended for human consumption shall
be declared by its specific common or usual name (e.g., "beef fat", "cottonseed oil") in its
order of predominance in the food except that blends of fats and/or oils may be designated in
their order of predominance in the foods as "- shortening"or "blend of - oils", the blank to be
filled in with the word "vegetable", "animal", "marine", with or without the terms "fat"or
"oils", or combination of these, whichever is applicable if, immediately following the term,
the common or usual name of each individual vegetable, animal, or marine fat or oil is given
in parentheses, e.g., "vegetable oil shortening (soybean and cotton-seed oil)". For products
that are blends of fats and/or oils and for foods in which fats and/or oils constitute the
predominant ingredient, i.e., in which the combined weight of all fat and/or oil ingredients
equals or exceeds the weight of the most predominant ingredient that is not a fat or oil, the
listing of the common or usual names of such fats and/or oils in parentheses shall be in
descending order of predominance. In all other foods in which a blend of fats and/or oils is
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used as an ingredient, the listing of the common or usual names in parentheses need not be in
descending order of predominance if the manufacturer, because of the use of varying
mixtures, is unable to adhere to a constant pattern of fats and/or oils in the product. If the fat
or oil is completely hydrogenated, the name shall include the term "hydrogenated", or if
partially hydrogenated, the name shall include the term "partially hydrogenated". If each fat
and/or oil in a blend or the blend is completely hydrogenated, the term "hydrogenated"may
precede the term(s) describing the blend, e.g., "hydrogenated vegetable oil (soybean,
cottonseed, and palm oils)", rather than preceding the name of each individual fat and/or oil;
if the blend of fats and/or oils is partially hydrogenated, the term "partially
hydrogenated"may be used in the same manner. Fat and/or oil ingredients not present in the
product may be listed if they may sometimes be used in the product. Such ingredients shall be
identified by words indicating that they may not be present, such as "or", "and/or", "contains
one or more of the following:", e.g., "vegetable oil shortening (contains one or more of the
following: cottonseed oil, palm oil, soybean oil)". No fat or oil ingredient shall be listed
unless actually present if the fats and/or oils constitute the predominant ingredient of the
product, as defined in this paragraph (b)(14).

(15) When all the ingredients of a wheat flour are declared in an ingredient statement, the
principal ingredient of the flour shall be declared by the name(s) specified in §§ 137.105,
137.200, 137.220 and 137.225 of this chapter, i.e., the first ingredient designated in the
ingredient list of flour, or bromated flour, or enriched flour, or self-rising flour is "flour",
"white flour", "wheat flour", or "plain flour"; the first ingredient designated in the ingredient
list of durum flour is "durum flour"; the first ingredient designated in the ingredient list of
whole wheat flour, or bromated whole wheat flour is "whole wheat flour", "graham flour", or
"entire wheat flour"; and the first ingredient designated in the ingredient list of whole durum
wheat flour is "whole durum wheat flour".

(16) Ingredients that act as leavening agents in food may be declared in the ingredient
statement by stating the specific common or usual name of each individual leavening agent in
parentheses following the collective name "leavening", e.g., "leavening (baking soda,
monocalcium phosphate, and calcium carbonate)". The listing of the common or usual name
of each individual leavening agent in parentheses shall be in descending order of
predominance: Except, that if the manufacturer is unable to adhere to a constant pattern of
leavening agents in the product, the listing of individual leavening agents need not be in
descending order of predominance. Leavening agents not present in the product may be listed
if they are sometimes used in the product. Such ingredients shall be identified by words
indicating that they may not be present, such as "or", "and/or", "contains one or more of the
following:".

(17) Ingredients that act as yeast nutrients in foods may be declared in the ingredient
statement by stating the specific common or usual name of each individual yeast nutrient in
parentheses following the collective name "yeast nutrients", e.g., "yeast nutrients (calcium
sulfate and ammonium phosphate)". The listing of the common or usual name of each
individual yeast nutrient in parentheses shall be in descending order of predominance:
Except, That if the manufacturer is unable to adhere to a constant pattern of yeast nutrients in
the product, the listing of the common or usual names of individual yeast nutrients need not
be in descending order of predominance. Yeast nutrients not present in the product may be
listed if they are sometimes used in the product. Such ingredients shall be identified by words
indicating that they may not be present, such as "or", "and/or", or "contains one or more of
the following:".

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(18) Ingredients that act as dough conditioners may be declared in the ingredient statement by
stating the specific common or usual name of each individual dough conditioner in
parentheses following the collective name "dough conditioner", e.g., "dough conditioners (L-
cysteine, ammonium sulfate)". The listing of the common or usual name of each dough
conditioner in parentheses shall be in descending order of predominance: Except, That if the
manufacturer is unable to adhere to a constant pattern of dough conditioners in the product,
the listing of the common or usual names of individual dough conditioners need not be in
descending order of predominance. Dough conditioners not present in the product may be
listed if they are sometimes used in the product. Such ingredients shall be identified by words
indicating that they may not be present, such as "or", "and/or", or "contains one or more of
the following:".

(19) Ingredients that act as firming agents in food (e.g., salts of calcium and other safe and
suitable salts in canned vegetables) may be declared in the ingredient statement, in order of
predominance appropriate for the total of all firming agents in the food, by stating the specific
common or usual name of each individual firming agent in descending order of predominance
in parentheses following the collective name "firming agents". If the manufacturer is unable
to adhere to a constant pattern of firming agents in the food, the listing of the individual
firming agents need not be in descending order of predominance. Firming agents not present
in the product may be listed if they are sometimes used in the product. Such ingredients shall
be identified by words indicating that they may not be present, such as "or", "and/or",
"contains one or more of the following:"

(20) For purposes of ingredient labeling, the term sugar shall refer to sucrose, which is
obtained from sugar cane or sugar beets in accordance with the provisions of § 184.1854 of
this chapter.

(21) [Reserved]

(22) Wax and resin ingredients on fresh produce when such produce is held for retail sale, or
when held for other than retail sale by packers or repackers shall be declared collectively by
the phrase “coated with animal-based wax, to maintain freshness” or the phrase “coated with
food-grade vegetable-, petroleum-, beeswax-, and/or shellac-based wax or resin, to maintain
freshness” as appropriate. The terms “food-grade” and “to maintain freshness” are optional.
The term lac-resin may be substituted for the term shellac.

(23) When processed seafood products contain fish protein ingredients consisting primarily of
the myofibrillar protein fraction from one or more fish species and the manufacturer is unable
to adhere to a constant pattern of fish species in the fish protein ingredient, because of
seasonal or other limitations of species availability, the common or usual name of each
individual fish species need not be listed in descending order of predominance. Fish species
not present in the fish protein ingredient may be listed if they are sometimes used in the
product. Such ingredients must be identified by words indicating that they may not be
present, such as “or”, “and/or”, or “contains one or more of the following:” Fish protein
ingredients may be declared in the ingredient statement by stating the specific common or
usual name of each fish species that may be present in parentheses following the collective
name “fish protein”, e.g., “fish protein (contains one or more of the following: Pollock, cod,
and/or pacific whiting)”.

(c) When water is added to reconstitute, completely or partially, an ingredient permitted by paragraph
(b) of this section to be declared by a class name, the position of the ingredient class name in the
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ingredient statement shall be determined by the weight of the unreconstituted ingredient plus the
weight of the quantity of water added to reconstitute that ingredient, up to the amount of water needed
to reconstitute the ingredient to single strength. Any water added in excess of the amount of water
needed to reconstitute the ingredient to single strength shall be declared as "water"in the ingredient
statement.

(d) When foods characterized on the label as “nondairy” contain a caseinate ingredient, the caseinate
ingredient shall be followed by a parenthetical statement identifying its source. For example, if the
manufacturer uses the term “nondairy” on a creamer that contains sodium caseinate, it shall include a
parenthetical term such as “a milk derivative” after the listing of sodium caseinate in the ingredient
list.

(e) If the percentage of an ingredient is included in the statement of ingredients, it shall be shown in
parentheses following the name of the ingredient and expressed in terms of percent by weight.
Percentage declarations shall be expressed to the nearest 1 percent, except that where ingredients are
present at levels of 2 percent or less, they may be grouped together and expressed in accordance with
the quantifying guidance set forth in paragraph (a) (2) of this section.

(f) Except as provided in § 101.100, ingredients that must be declared on labeling because there is no
label for the food, including foods that comply with standards of identity, shall be listed prominently
and conspicuously by common or usual name in the manner prescribed by paragraph (b) of this
section.

(g) When present, the ingredient list on dietary supplement products shall be located immediately
below the nutrition label, or, if there is insufficient space below the nutrition label, immediately
contiguous and to the right of the nutrition label and shall be preceded by the word “Ingredients,”
unless some ingredients (i.e., sources) are identified within the nutrition label in accordance with §
101.36 (d), in which case the ingredients listed outside the nutrition label shall be in a list preceded by
the words “Other ingredients.” Ingredients in dietary supplements that are not dietary ingredients or
that do not contain dietary ingredients, such as excipients, fillers, artificial colors, artificial
sweeteners, flavors, or binders, shall be included in the ingredient list.

(h) The common or usual name of ingredients of dietary supplements that are botanicals (including
fungi and algae) shall be consistent with the names standardized in Herbs of Commerce, 1992 edition,
which is incorporated by reference in accordance with 5 U.S.C. 552 (a) and 1 CFR part 51. Copies
may be obtained from the American Herbal Products Association, 8484 Georgia Ave., suite 370,
Silver Spring, MD 20910, 301-588-1171, FAX 301-588-1174, ahpa@[Link] or may be examined at
the Center for Food Safety and Applied Nutrition's Library, 5100 Paint Branch Pkwy., College Park,
MD 20740, or at the Office of the Federal Register, 800 Capital St. NW., suite 700, Washington, DC.
The listing of these names on the label shall be followed by statements of:

(1) The part of the plant (e.g., root, leaves) from which the dietary ingredient is derived (e.g.,
“Garlic bulb” or “Garlic (bulb)”), except that this designation is not required for algae. The
name of the part of the plant shall be expressed in English (e.g., “flower” rather than “flos”);

(2) The Latin binomial name of the plant, in parentheses, except that this name is not required
when it is available in the reference entitled: Herbs of Commerce for the common or usual
name listed on the label, and, when required, the Latin binomial name may be listed before
the part of the plant. Any name in Latin form shall be in accordance with internationally
accepted rules on nomenclature, such as those found in the International Code of Botanical
Nomenclature and shall include the designation of the author or authors who published the
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Latin name, when a positive identification cannot be made in its absence. The International
Code of Botanical Nomenclature (Tokyo Code), 1994 edition, a publication of the
International Association for Plant Taxonomy, is incorporated by reference in accordance
with 5 U.S.C. 552 (a) and 1 CFR part 51. Copies of the International Code of Botanical
Nomenclature may be obtained from Koeltz Scientific Books, D-61453 Konigstein,
Germany, and University Bookstore, Southern Illinois University, Carbondale, IL 62901-
4422, 618-536-3321, FAX 618-453-5207, or may be examined at the Center for Food Safety
and Applied Nutrition's Library, 5100 Paint Branch Pkwy., College Park, MD 20740, or at
the Office of the Federal Register, 800 North Capitol St. NW., Suite 700, Washington DC.

(3) On labels of single-ingredient dietary supplements that do not include an ingredient list,
the identification of the Latin binomial name, when needed, and the part of the plant may be
prominently placed on the principal display panel or information panel, or included in the
nutrition label.

[42 FR 14308, Mar. 15, 1977, as amended at 43 FR 12858, Mar. 28, 1978; 43 FR 24519, June 6, 1978; 48
FR 8054, Feb. 25, 1983; 55 FR 17433, Apr. 25, 1990;58 FR 2875, Jan. 6, 1993; 62 FR 49847, Sept, 23,
1997; 62 FR 64634, Dec. 8, 1997; 64 FR 50448, Sept. 17, 1999; 66 FR 17358, Mar. 30, 2001; 66 FR
66742, Dec. 27, 2001; 68 FR 15355, Mar. 31, 2003]

§ 101.5 Food; name and place of business of manufacturer, packer, or distributor.

(a) The label of a food in packaged form shall specify conspicuously the name and place of business
of the manufacturer, packer, or distributor.

(b) The requirement for declaration of the name of the manufacturer, packer, or distributor shall be
deemed to be satisfied, in the case of a corporation, only by the actual corporate name, which may be
preceded or followed by the name of the particular division of the corporation. In the case of an
individual, partnership, or association, the name under which the business is conducted shall be used.

(c) Where the food is not manufactured by the person whose name appears on the label, the name
shall be qualified by a phrase that reveals the connection such person has with such food; such as
"Manufactured for -------", "Distributed by -------", or any other wording that expresses the facts.

(d) The statement of the place of business shall include the street address, city, State, and ZIP code;
however, the street address may be omitted if it is shown in a current city directory or telephone
directory. The requirement for inclusion of the ZIP code shall apply only to consumer commodity
labels developed or revised after the effective date of this section. In the case of non-consumer
packages, the ZIP code shall appear either on the label or the labeling (including invoice).

(e) If a person manufactures, packs, or distributes a food at a place other than his principal place of
business, the label may state the principal place of business in lieu of the actual place where such food
was manufactured or packed or is to be distributed, unless such statement would be misleading.

[Code of Federal Regulations]

[Title 21, Volume 2, Parts 100 to 169]
[Revised as of April 1, 1997]

From the U.S. Government Printing Office via GPO Access

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[CITE: 21CFR109.4]
[Page 192-193]

TITLE 21 - FOOD AND DRUGS

CHAPTER I - FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND
HUMAN SERVICES - CONTINUED

PART 109 - UNAVOIDABLE CONTAMINANTS IN FOOD FOR HUMAN CONSUMPTION AND

FOOD-PACKAGING MATERIAL - Table of Contents

Subpart A - General Provisions

Sec. 109.4 Establishment of tolerances, regulatory limits, and action levels.

(a) When appropriate under the criteria of Sec. 109.6, a tolerance for an added poisonous or
deleterious substance, which may be a food additive, may be established by regulation in subpart B of
this part under the provisions of section 406 of the act. A tolerance may prohibit any detectable
amount of the substance in food.

(b) When appropriate under the criteria of Sec. 109.6, and under section 402(a)(1) of the act, a
regulatory limit for an added poisonous or deleterious substance, which may be a food additive, may
be established by regulation in subpart C of this part under the provisions of sections 402(a)(1) and
701(a) of the act. A regulatory limit may prohibit any detectable amount of the substance in food. The
regulatory limit established represents the level at which food is adulterated within the meaning of
section 402(a)(1) of the act.

(c)(1) When appropriate under the criteria of Sec. 109.6, an action level for an added poisonous or
deleterious substance, which may be a food additive, may be established to define a level of
contamination at which a food may be regarded as adulterated.

(2) Whenever an action level is established or changed, a notice shall be published in the
Federal Register as soon as practicable thereafter. The notice shall call attention to the
material supporting the action level which shall be on file with the Dockets Management
Branch before the notice is published. The notice shall invite public comment on the action
level.

(d) A regulation may be established in subpart D of this part to identify a food containing a naturally
occurring poisonous or deleterious substance which will be deemed to be adulterated under section
402(a)(1) of the act. These regulations do not constitute a complete list of such foods.

[42 FR 52819, Sept. 30, 1977, as amended at 55 FR 20785, May 21, 1990]

[Code of Federal Regulations]

[Title 21, Volume 2, Parts 100 to 169]
[Revised as of April 1, 1997]

From the U.S. Government Printing Office via GPO Access

[CITE: 21CFR109.6]
[Page 193-194]

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TITLE 21 - FOOD AND DRUGS

CHAPTER I - FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND
HUMAN SERVICES - CONTINUED

PART 109 - UNAVOIDABLE CONTAMINANTS IN FOOD FOR HUMAN CONSUMPTION AND

FOOD-PACKAGING MATERIAL - Table of Contents

Subpart A - General Provisions

Sec. 109.6 Added poisonous or deleterious substances.

(a) Use of an added poisonous or deleterious substance, other than a pesticide chemical, that is also a
food additive, will be controlled by a regulation issued under section 409 of the act when possible.
When such a use cannot be approved under the criteria of section 409 of the act, or when the added
poisonous or deleterious substance is not a food additive, a tolerance, regulatory limit, or action level
may be established pursuant to the criteria in paragraphs (b), (c), or (d) of this section. Residues
resulting from the use of an added poisonous or deleterious substance that is also a pesticide chemical
will ordinarily be controlled by a tolerance established in a regulation issued under sections 406, 408,
or 409 of the act by the U.S. Environmental Protection Agency (EPA). When such a regulation has
not been issued, an action level for an added poisonous or deleterious substance that is also a
pesticide chemical may be established by the Food and Drug Administration. The Food and Drug
Administration will request EPA to recommend such an action level pursuant to the criteria
established in paragraph (d) of this section.

(b) A tolerance for an added poisonous or deleterious substance in any food may be established when
the following criteria are met:

(1) The substance cannot be avoided by good manufacturing practice.

(2) The tolerance established is sufficient for the protection of the public health, taking into
account the extent to which the presence of the substance cannot be avoided and the other
ways in which the consumer may be affected by the same or related poisonous or deleterious
substances.

(3) No technological or other changes are foreseeable in the near future that might affect the
appropriateness of the tolerance established. Examples of changes that might affect the
appropriateness of the tolerance include anticipated improvements in good manufacturing
practice that would change the extent to which use of the substance is unavoidable and
anticipated studies expected to provide significant new toxicological or use data.

(c) A regulatory limit for an added poisonous or deleterious substance in any food may be established
when each of the following criteria is met:

(1) The substance cannot be avoided by current good manufacturing practices.

(2) There is no tolerance established for the substance in the particular food under sections
406, 408, or 409 of the act.

(3) There is insufficient information by which a tolerance may be established for the
substance under section 406 of the act or technological changes appear reasonably possible

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that may affect the appropriateness of a tolerance. The regulatory limit established represents
the level at which food is adulterated within the meaning of section 402(a)(1) of the act.

(d) An action level for an added poisonous or deleterious substance in any food may be established
when the criteria in paragraph (b) of this section are met, except that technological or other changes
that might affect the appropriateness of the tolerance are foreseeable in the near future. An action
level for an added poisonous or deleterious substance in any food may be established at a level at
which the Food and Drug Administration may regard the food as adulterated within the meaning of
section 402(a)(1) of the act, without regard to the criteria in paragraph (b) of this section or in section
406 of the act. An action level will be withdrawn when a tolerance or regulatory limit for the same
substance and use has been established.

(e) Tolerances will be established under authority appropriate for action levels (sections 306, 402(a),
and 701(a) of the act, together with section 408 or 409 of the act, if appropriate) as well as under
authority appropriate for tolerances (sections 406 and 701 of the act). In the event the effectiveness
of a tolerance is stayed pursuant to section 701(e)(2) of the act by the filing of an objection, the order
establishing the tolerance shall be deemed to be an order establishing an action level until final action
is taken upon such objection.

[42 FR 52819, Sept. 30, 1977, as amended at 55 FR 20785, May 21, 1990]

PART 110 - CURRENT GOOD MANUFACTURING PRACTICE IN MANUFACTUR-ING,

PACKING, OR HOLDING HUMAN FOOD

Subpart A - General Provisions

§ 110.3 Definitions.
§ 110.5 Current good manufacturing practice.
§ 110.10 Personnel.
§ 110.19 Exclusions.

Subpart B - Buildings and Facilities

§ 110.20 Plant and grounds.

§ 110.35 Sanitary operations.
§ 110.37 Sanitary facilities and controls.

Subpart C - Equipment

§ 110.40 Equipment and utensils.

Subpart D - [Reserved]

Subpart E - Production and Process Controls

§ 110.80 Processes and controls.

§ 110.93 Warehousing and distribution.

Subpart F - [Reserved]

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Subpart G - Defect Action Levels

§ 110.110 Natural and unavoidable defects in food for human use that present no health hazard.

Authority: Secs. 402, 701, 704 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 342, 371, 374);
sec. 361 of the Public Health Service Act (42 U.S.C. 264).

Source: 51 FR 24475, June 19, 1986, unless otherwise noted.

Subpart A - General Provisions

§ 110.3 Definitions.

The definitions and interpretations of terms in section 201 of the Federal Food, Drug, and Cosmetic Act
(the act) are applicable to such terms when used in this part. The following definitions shall also apply:

(a) "Acid foods or acidified foods"means foods that have an equilibrium pH of 4.6 or below.

(b) "Adequate" means that which is needed to accomplish the intended purpose in keeping with good
public health practice.

(c) "Batter" means a semi fluid substance, usually composed of flour and other ingredients, into
which principal components of food are dipped or with which they are coated, or which may be used
directly to form bakery foods.

(d) "Blanching," except for tree nuts and peanuts, means a prepackaging heat treatment of foodstuffs
for a sufficient time and at a sufficient temperature to partially or completely inactivate the naturally
occurring enzymes and to effect other physical or biochemical changes in the food.

(e) "Critical control point" means a point in a food process where there is a high probability that
improper control may cause, allow, or contribute to a hazard or to filth in the final food or
decomposition of the final food.

(f) "Food" means food as defined in section 201(f) of the act and includes raw materials and
ingredients.

(g) "Food-contact surfaces" are those surfaces that contact human food and those surfaces from
which drainage onto the food or onto surfaces that contact the food ordinarily occurs during the
normal course of operations. "Food-contact surfaces"includes utensils and food-contact surfaces of
equipment.

(h) "Lot" means the food produced during a period of time indicated by a specific code.

(i) "Microorganisms" means yeasts, molds, bacteria, and viruses and includes, but is not limited to,
species having public health significance. The term "undesirable microorganisms" includes those
microorganisms that are of public health significance, that subject food to decomposition, that
indicate that food is contaminated with filth, or that otherwise may cause food to be adulterated
within the meaning of the act. Occasionally in these regulations, FDA used the adjective
"microbial"instead of using an adjectival phrase containing the word microorganism.

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(j) "Pest" refers to any objectionable animals or insects including, but not limited to, birds, rodents,
flies, and larvae.

(k) "Plant" means the building or facility or parts thereof, used for or in connection with the
manufacturing, packaging, labeling, or holding of human food.

(l) "Quality control operation" means a planned and systematic procedure for taking all actions
necessary to prevent food from being adulterated within the meaning of the act.

(m) "Rework" means clean, unadulterated food that has been removed from processing for reasons
other than unsanitary conditions or that has been successfully reconditioned by reprocessing and that
is suitable for use as food.

(n) "Safe-moisture level" is a level of moisture low enough to prevent the growth of undesirable
microorganisms in the finished product under the intended conditions of manufacturing, storage, and
distribution. The maximum safe moisture level for a food is based on its water activity (aw). An awwill
be considered safe for a food if adequate data are available that demonstrate that the food at or below
the given awwill not support the growth of undesirable microorganisms.

(o) "Sanitize" means to adequately treat food-contact surfaces by a process that is effective in
destroying vegetative cells of microorganisms of public health significance, and in substantially
reducing numbers of other undesirable microorganisms, but without adversely affecting the product
or its safety for the consumer.

(p) "Shall" is used to state mandatory requirements.

(q) "Should" is used to state recommended or advisory procedures or identify recommended

equipment.

(r) "Water activity"(aw) is a measure of the free moisture in a food and is the quotient of the water
vapor pressure of the substance divided by the vapor pressure of pure water at the same temperature.

§ 110.5 Current good manufacturing practice.

(a) The criteria and definitions in this part shall apply in determining whether a food is adulterated (1)
within the meaning of section 402(a)(3) of the act in that the food has been manufactured under such
conditions that it is unfit for food; or (2) within the meaning of section 402(a)(4) of the act in that the
food has been prepared, packed, or held under unsanitary conditions whereby it may have become
contaminated with filth, or whereby it may have been rendered injurious to health. The criteria and
definitions in this part also apply in determining whether a food is in violation of section 361 of the
Public Health Service Act (42 U.S.C. 264).

(b) Food covered by specific current good manufacturing practice regulations also is subject to the
requirements of those regulations.

§ 110.10 Personnel.

The plant management shall take all reasonable measures and precautions to ensure the following:

(a) Disease control. Any person who, by medical examination or supervisory observation, is shown to
have, or appears to have, an illness, open lesion, including boils, sores, or infected wounds, or any
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other abnormal source of microbial contamination by which there is a reasonable possibility of food,
food-contact surfaces, or food-packaging materials becoming contaminated, shall be excluded from
any operations which may be expected to result in such contamination until the condition is corrected.
Personnel shall be instructed to report such health conditions to their supervisors.

(b) Cleanliness. All persons working in direct contact with food, food-contact surfaces, and food-
packaging materials shall conform to hygienic practices while on duty to the extent necessary to
protect against contamination of food. The methods for maintaining cleanliness include, but are not
limited to:

(1) Wearing outer garments suitable to the operation in a manner that protects against the
contamination of food, food-contact surfaces, or food-packaging materials.

(2) Maintaining adequate personal cleanliness.

(3) Washing hands thoroughly (and sanitizing if necessary to protect against contamination
with undesirable microorganisms) in an adequate hand-washing facility before starting work,
after each absence from the work station, and at any other time when the hands may have
become soiled or contaminated.

(4) Removing all unsecured jewelry and other objects that might fall into food, equipment, or
containers, and removing hand jewelry that cannot be adequately sanitized during periods in
which food is manipulated by hand. If such hand jewelry cannot be removed, it may be
covered by material which can be maintained in an intact, clean, and sanitary condition and
which effectively protects against the contamination by these objects of the food, food-
contact surfaces, or food-packaging materials.

(5) Maintaining gloves, if they are used in food handling, in an intact, clean, and sanitary
condition. The gloves should be of an impermeable material.

(6) Wearing, where appropriate, in an effective manner, hairnets, headbands, caps, beard
covers, or other effective hair restraints.

(7) Storing clothing or other personal belongings in areas other than where food is exposed or
where equipment or utensils are washed.

(8) Confining the following to areas other than where food may be exposed or where
equipment or utensils are washed: eating food, chewing gum, drinking beverages, or using
tobacco.

(9) Taking any other necessary precautions to protect against contamination of food, food-
contact surfaces, or food-packaging materials with microorganisms or foreign substances
including, but not limited to, perspiration, hair, cosmetics, tobacco, chemicals, and medicines
applied to the skin.

(c) Education and training. Personnel responsible for identifying sanitation failures or food
contamination should have a background of education or experience, or a combination thereof, to
provide a level of competency necessary for production of clean and safe food. Food handlers and
supervisors should receive appropriate training in proper food handling techniques and food-
protection principles and should be informed of the danger of poor personal hygiene and unsanitary
practices.
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(d) Supervision. Responsibility for assuring compliance by all personnel with all requirements of this
part shall be clearly assigned to competent supervisory personnel.

[51 FR 24475, June 19, 1986, as amended at 54 FR 24892, June 12, 1989]

§ 110.19 Exclusions.

(a) The following operations are not subject to this part: Establishments engaged solely in the
harvesting, storage, or distribution of one or more "raw agricultural commodities,"as defined in
section 201(r) of the act, which are ordinarily cleaned, prepared, treated, or otherwise processed
before being marketed to the consuming public.

(b) FDA, however, will issue special regulations if it is necessary to cover these excluded operations.

Authority: 21 U.S.C. 342, 371, 374; 42 U.S.C. 264.

Source: 51 FR 24475, June 19, 1986, unless otherwise noted.

Subpart B - Buildings and Facilities

§ 110.20 Plant and grounds.

(a) Grounds. The grounds about a food plant under the control of the operator shall be kept in a
condition that will protect against the contamination of food. The methods for adequate maintenance
of grounds include, but are not limited to:

(1) Properly storing equipment, removing litter and waste, and cutting weeds or grass within
the immediate vicinity of the plant buildings or structures that may constitute an attractant,
breeding place, or harborage for pests.

(2) Maintaining roads, yards, and parking lots so that they do not constitute a source of
contamination in areas where food is exposed.

(3) Adequately draining areas that may contribute contamination to food by seepage, foot-
borne filth, or providing a breeding place for pests.

(4) Operating systems for waste treatment and disposal in an adequate manner so that they do
not constitute a source of contamination in areas where food is exposed.

If the plant grounds are bordered by grounds not under the operator's control and not maintained
in the manner described in paragraph (a) (1) through (3) of this section, care shall be exercised in
the plant by inspection, extermination, or other means to exclude pests, dirt, and filth that may be
a source of food contamination.

(b) Plant construction and design. Plant buildings and structures shall be suitable in size,
construction, and design to facilitate maintenance and sanitary operations for food-manufacturing
purposes. The plant and facilities shall:

(1) Provide sufficient space for such placement of equipment and storage of materials as is
necessary for the maintenance of sanitary operations and the production of safe food.

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(2) Permit the taking of proper precautions to reduce the potential for contamination of food,
food-contact surfaces, or food-packaging materials with microorganisms, chemicals, filth, or
other extraneous material. The potential for contamination may be reduced by adequate food
safety controls and operating practices or effective design, including the separation of
operations in which contamination is likely to occur, by one or more of the following means:
location, time, partition, air flow, enclosed systems, or other effective means.

(3) Permit the taking of proper precautions to protect food in outdoor bulk fermentation
vessels by any effective means, including:

(i) Using protective coverings.

(ii) Controlling areas over and around the vessels to eliminate harborages for pests.

(iii) Checking on a regular basis for pests and pest infestation.

(iv) Skimming the fermentation vessels, as necessary.

(4) Be constructed in such a manner that floors, walls, and ceilings may be adequately
cleaned and kept clean and kept in good repair; that drip or condensate from fixtures, ducts
and pipes does not contaminate food, food-contact surfaces, or food-packaging materials; and
that aisles or working spaces are provided between equipment and walls and are adequately
unobstructed and of adequate width to permit employees to perform their duties and to
protect against contaminating food or food-contact surfaces with clothing or personal contact.

(5) Provide adequate lighting in hand-washing areas, dressing and locker rooms, and toilet
rooms and in all areas where food is examined, processed, or stored and where equipment or
utensils are cleaned; and provide safety-type light bulbs, fixtures, skylights, or other glass
suspended over exposed food in any step of preparation or otherwise protect against food
contamination in case of glass breakage.

(6) Provide adequate ventilation or control equipment to minimize odors and vapors
(including steam and noxious fumes) in areas where they may contaminate food; and locate
and operate fans and other air-blowing equipment in a manner that minimizes the potential
for contaminating food, food-packaging materials, and food-contact surfaces.

(7) Provide, where necessary, adequate screening or other protection against pests.

§ 110.35 Sanitary operations.

(a) General maintenance. Buildings, fixtures, and other physical facilities of the plant shall be
maintained in a sanitary condition and shall be kept in repair sufficient to prevent food from
becoming adulterated within the meaning of the act. Cleaning and sanitizing of utensils and
equipment shall be conducted in a manner that protects against contamination of food, food-contact
surfaces, or food-packaging materials.

(b) Substances used in cleaning and sanitizing; storage of toxic materials.

(1) Cleaning compounds and sanitizing agents used in cleaning and sanitizing procedures
shall be free from undesirable microorganisms and shall be safe and adequate under the
conditions of use. Compliance with this requirement may be verified by any effective means
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including purchase of these substances under a supplier's guarantee or certification, or

examination of these substances for contamination. Only the following toxic materials may
be used or stored in a plant where food is processed or exposed:

(i) Those required to maintain clean and sanitary conditions;

(ii) Those necessary for use in laboratory testing procedures;

(iii) Those necessary for plant and equipment maintenance and operation; and

(iv) Those necessary for use in the plant's operations.

(2) Toxic cleaning compounds, sanitizing agents, and pesticide chemicals shall be identified,
held, and stored in a manner that protects against contamination of food, food-contact
surfaces, or food-packaging materials. All relevant regulations promulgated by other Federal,
State, and local government agencies for the application, use, or holding of these products
should be followed.

(c) Pest control. No pests shall be allowed in any area of a food plant. Guard or guide dogs may be
allowed in some areas of a plant if the presence of the dogs is unlikely to result in contamination of
food, food-contact surfaces, or food-packaging materials. Effective measures shall be taken to
exclude pests from the processing areas and to protect against the contamination of food on the
premises by pests. The use of insecticides or rodenticides is permitted only under precautions and
restrictions that will protect against the contamination of food, food-contact surfaces, and food-
packaging materials.

(d) Sanitation of food-contact surfaces. All food-contact surfaces, including utensils and food-contact
surfaces of equipment, shall be cleaned as frequently as necessary to protect against contamination of
food.

(1) Food-contact surfaces used for manufacturing or holding low-moisture food shall be in a
dry, sanitary condition at the time of use. When the surfaces are wet-cleaned, they shall, when
necessary, be sanitized and thoroughly dried before subsequent use.

(2) In wet processing, when cleaning is necessary to protect against the introduction of
microorganisms into food, all food-contact surfaces shall be cleaned and sanitized before use
and after any interruption during which the food-contact surfaces may have become
contaminated. Where equipment and utensils are used in a continuous production operation,
the utensils and food-contact surfaces of the equipment shall be cleaned and sanitized as
necessary.

(3) Non-food-contact surfaces of equipment used in the operation of food plants should be
cleaned as frequently as necessary to protect against contamination of food.

(4) Single-service articles (such as utensils intended for one-time use, paper cups, and paper
towels) should be stored in appropriate containers and shall be handled, dispensed, used, and
disposed of in a manner that protects against contamination of food or food-contact surfaces.

(5) Sanitizing agents shall be adequate and safe under conditions of use. Any facility,
procedure, or machine is acceptable for cleaning and sanitizing equipment and utensils if it is

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established that the facility, procedure, or machine will routinely render equipment and
utensils clean and provide adequate cleaning and sanitizing treatment.

(e) Storage and handling of cleaned portable equipment and utensils. Cleaned and sanitized portable
equipment with food-contact surfaces and utensils should be stored in a location and manner that
protects food-contact surfaces from contamination.

[51 FR 24475, June 19, 1986, as amended at 54 FR 24892, June 12, 1989]

§ 110.37 Sanitary facilities and controls.

Each plant shall be equipped with adequate sanitary facilities and accommodations including, but not
limited to:

(a) Water supply. The water supply shall be sufficient for the operations intended and shall be derived
from an adequate source. Any water that contacts food or food-contact surfaces shall be safe and of
adequate sanitary quality. Running water at a suitable temperature, and under pressure as needed,
shall be provided in all areas where required for the processing of food, for the cleaning of equipment,
utensils, and food-packaging materials, or for employee sanitary facilities.

(b) Plumbing. Plumbing shall be of adequate size and design and adequately installed and maintained
to:

(1) Carry sufficient quantities of water to required locations throughout the plant.

(2) Properly convey sewage and liquid disposable waste from the plant.

(3) Avoid constituting a source of contamination to food, water supplies, equipment, or

utensils or creating an unsanitary condition.

(4) Provide adequate floor drainage in all areas where floors are subject to flooding-type
cleaning or where normal operations release or discharge water or other liquid waste on the
floor.

(5) Provide that there is not backflow from, or cross-connection between, piping systems that
discharge wastewater or sewage and piping systems that carry water for food or food
manufacturing.

(c) Sewage disposal. Sewage disposal shall be made into an adequate sewerage system or disposed of
through other adequate means.

(d) Toilet facilities. Each plant shall provide its employees with adequate, readily accessible toilet
facilities. Compliance with this requirement may be accomplished by:

(1) Maintaining the facilities in a sanitary condition.

(2) Keeping the facilities in good repair at all times.

(3) Providing self-closing doors.

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(4) Providing doors that do not open into areas where food is exposed to airborne
contamination, except where alternate means have been taken to protect against such
contamination (such as double doors or positive airflow systems).

(e) Hand-washing facilities. Hand-washing facilities shall be adequate and convenient and be
furnished with running water at a suitable temperature. Compliance with this requirement may be
accomplished by providing:

(1) Hand-washing and, where appropriate, hand-sanitizing facilities at each location in the
plant where good sanitary practices require employees to wash and/or sanitize their hands.

(2) Effective hand-cleaning and sanitizing preparations.

(3) Sanitary towel service or suitable drying devices.

(4) Devices or fixtures, such as water control valves, so designed and constructed to protect
against recontamination of clean, sanitized hands.

(5) Readily understandable signs directing employees handling unprotected food, unprotected
food-packaging materials, of food-contact surfaces to wash and, where appropriate, sanitize
their hands before they start work, after each absence from post of duty, and when their hands
may have become soiled or contaminated. These signs may be posted in the processing
room(s) and in all other areas where employees may handle such food, materials, or surfaces.

(6) Refuse receptacles that are constructed and maintained in a manner that protects against
contamination of food.

(f) Rubbish and offal disposal. Rubbish and any offal shall be so conveyed, stored, and disposed of as
to minimize the development of odor, minimize the potential for the waste becoming an attractant and
harborage or breeding place for pests, and protect against contamination of food, food-contact
surfaces, water supplies, and ground surfaces.

Subpart C - Equipment

§ 110.40 Equipment and utensils.

(a) All plant equipment and utensils shall be so designed and of such material and workmanship as to
be adequately cleanable, and shall be properly maintained. The design, construction, and use of
equipment and utensils shall preclude the adulteration of food with lubricants, fuel, metal fragments,
contaminated water, or any other contaminants. All equipment should be so installed and maintained
as to facilitate the cleaning of the equipment and of all adjacent spaces. Food-contact surfaces shall be
corrosion-resistant when in contact with food. They shall be made of nontoxic materials and designed
to withstand the environment of their intended use and the action of food, and, if applicable, cleaning
compounds and sanitizing agents. Food-contact surfaces shall be maintained to protect food from
being contaminated by any source, including unlawful indirect food additives.

(b) Seams on food-contact surfaces shall be smoothly bonded or maintained so as to minimize

accumulation of food particles, dirt, and organic matter and thus minimize the opportunity for growth
of microorganisms.

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(c) Equipment that is in the manufacturing or food-handling area and that does not come into contact
with food shall be so constructed that it can be kept in a clean condition.

(d) Holding, conveying, and manufacturing systems, including gravimetric, pneumatic, closed, and
automated systems, shall be of a design and construction that enables them to be maintained in an
appropriate sanitary condition.

(e) Each freezer and cold storage compartment used to store and hold food capable of supporting
growth of microorganisms shall be fitted with an indicating thermometer, temperature-measuring
device, or temperature-recording device so installed as to show the temperature accurately within the
compartment, and should be fitted with an automatic control for regulating temperature or with an
automatic alarm system to indicate a significant temperature change in a manual operation.

(f) Instruments and controls used for measuring, regulating, or recording temperatures, pH, acidity,
water activity, or other conditions that control or prevent the growth of undesirable microorganisms in
food shall be accurate and adequately maintained, and adequate in number for their designated uses.

(g) Compressed air or other gases mechanically introduced into food or used to clean food-contact
surfaces or equipment shall be treated in such a way that food is not contaminated with unlawful
indirect food additives.

Subpart D - [Reserved]

Subpart E - Production and Process Controls

§ 110.80 Processes and controls.

All operations in the receiving, inspecting, transporting, segregating, preparing, manufacturing,

packaging, and storing of food shall be conducted in accordance with adequate sanitation principles.
Appropriate quality control operations shall be employed to ensure that food is suitable for human
consumption and that food-packaging materials are safe and suitable. Overall sanitation of the plant shall
be under the supervision of one or more competent individuals assigned responsibility for this function.
All reasonable precautions shall be taken to ensure that production procedures do not contribute
contamination from any source. Chemical, microbial, or extraneous material testing procedures shall be
used where necessary to identify sanitation failures or possible food contamination. All food that has
become contaminated to the extent that it is adulterated within the meaning of the act shall be rejected, or
if permissible, treated or processed to eliminate the contamination.

(a) Raw materials and other ingredients.

(1) Raw materials and other ingredients shall be inspected and segregated or otherwise
handled as necessary to ascertain that they are clean and suitable for processing into food and
shall be stored under conditions that will protect against contamination and minimize
deterioration. Raw materials shall be washed or cleaned as necessary to remove soil or other
contamination. Water used for washing, rinsing, or conveying food shall be safe and of
adequate sanitary quality. Water may be reused for washing, rinsing, or conveying food if it
does not increase the level of contamination of the food. Containers and carriers of raw
materials should be inspected on receipt to ensure that their condition has not contributed to
the contamination or deterioration of food.

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(2) Raw materials and other ingredients shall either not contain levels of microorganisms that
may produce food poisoning or other disease in humans, or they shall be pasteurized or
otherwise treated during manufacturing operations so that they no longer contain levels that
would cause the product to be adulterated within the meaning of the act. Compliance with
this requirement may be verified by any effective means, including purchasing raw materials
and other ingredients under a supplier's guarantee or certification.

(3) Raw materials and other ingredients susceptible to contamination with aflatoxin or other
natural toxins shall comply with current Food and Drug Administration regulations, and
action levels for poisonous or deleterious substances before these materials or ingredients are
incorporated into finished food. Compliance with this requirement may be accomplished by
purchasing raw materials and other ingredients under a supplier's guarantee or certification,
or may be verified by analyzing these materials and ingredients for aflatoxins and other
natural toxins.

(4) Raw materials, other ingredients, and rework susceptible to contamination with pests,
undesirable microorganisms, or extraneous material shall comply with applicable Food and
Drug Administration regulations, and defect action levels for natural or unavoidable defects if
a manufacturer wishes to use the materials in manufacturing food. Compliance with this
requirement may be verified by any effective means, including purchasing the materials
under a supplier's guarantee or certification, or examination of these materials for
contamination.

(5) Raw materials, other ingredients, and rework shall be held in bulk, or in containers
designed and constructed so as to protect against contamination and shall be held at such
temperature and relative humidity and in such a manner as to prevent the food from becoming
adulterated within the meaning of the act. Material scheduled for rework shall be identified as
such.

(6) Frozen raw materials and other ingredients shall be kept frozen. If thawing is required
prior to use, it shall be done in a manner that prevents the raw materials and other ingredients
from becoming adulterated within the meaning of the act.

(7) Liquid or dry raw materials and other ingredients received and stored in bulk form shall
be held in a manner that protects against contamination.

(b) Manufacturing operations.

(1) Equipment and utensils and finished food containers shall be maintained in an acceptable
condition through appropriate cleaning and sanitizing, as necessary. Insofar as necessary,
equipment shall be taken apart for thorough cleaning.

(2) All food manufacturing, including packaging and storage, shall be conducted under such
conditions and controls as are necessary to minimize the potential for the growth of
microorganisms, or for the contamination of food. One way to comply with this requirement
is careful monitoring of physical factors such as time, temperature, humidity, aw, pH,
pressure, flow rate, and manufacturing operations such as freezing, dehydration, heat
processing, acidification, and refrigeration to ensure that mechanical breakdowns, time
delays, temperature fluctuations, and other factors do not contribute to the decomposition or
contamination of food.

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(3) Food that can support the rapid growth of undesirable microorganisms, particularly those
of public health significance, shall be held in a manner that prevents the food from becoming
adulterated within the meaning of the act. Compliance with this requirement may be
accomplished by any effective means, including:

(i) Maintaining refrigerated foods at 45 °F (7.2 °C) or below as appropriate for the
particular food involved.

(ii) Maintaining frozen foods in a frozen state.

(iii) Maintaining hot foods at 140 °F (60 °C) or above.

(iv) Heat treating acid or acidified foods to destroy mesophilic microorganisms when
those foods are to be held in hermetically sealed containers at ambient temperatures.

(4) Measures such as sterilizing, irradiating, pasteurizing, freezing, refrigerating, controlling

pH or controlling awthat are taken to destroy or prevent the growth of undesirable
microorganisms, particularly those of public health significance, shall be adequate under the
conditions of manufacture, handling, and distribution to prevent food from being adulterated
within the meaning of the act.

(5) Work-in-process shall be handled in a manner that protects against contamination.

(6) Effective measures shall be taken to protect finished food from contamination by raw
materials, other ingredients, or refuse. When raw materials, other ingredients, or refuse are
unprotected, they shall not be handled simultaneously in a receiving, loading, or shipping
area if that handling could result in contaminated food. Food transported by conveyor shall be
protected against contamination as necessary.

(7) Equipment, containers, and utensils used to convey, hold, or store raw materials, work-in-
process, rework, or food shall be constructed, handled, and maintained during manufacturing
or storage in a manner that protects against contamination.

(8) Effective measures shall be taken to protect against the inclusion of metal or other
extraneous material in food. Compliance with this requirement may be accomplished by
using sieves, traps, magnets, electronic metal detectors, or other suitable effective means.

(9) Food, raw materials, and other ingredients that are adulterated within the meaning of the
act shall be disposed of in a manner that protects against the contamination of other food. If
the adulterated food is capable of being reconditioned, it shall be reconditioned using a
method that has been proven to be effective or it shall be reexamined and found not to be
adulterated within the meaning of the act before being incorporated into other food.

(10) Mechanical manufacturing steps such as washing, peeling, trimming, cutting, sorting and
inspecting, mashing, dewatering, cooling, shredding, extruding, drying, whipping, defatting,
and forming shall be performed so as to protect food against contamination. Compliance with
this requirement may be accomplished by providing adequate physical protection of food
from contaminants that may drip, drain, or be drawn into the food. Protection may be
provided by adequate cleaning and sanitizing of all food-contact surfaces, and by using time
and temperature controls at and between each manufacturing step.

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(11) Heat blanching, when required in the preparation of food, should be effected by heating
the food to the required temperature, holding it at this temperature for the required time, and
then either rapidly cooling the food or passing it to subsequent manufacturing without delay.
Thermophilic growth and contamination in blanchers should be minimized by the use of
adequate operating temperatures and by periodic cleaning. Where the blanched food is
washed prior to filling, water used shall be safe and of adequate sanitary quality.

(12) Batters, breading, sauces, gravies, dressings, and other similar preparations shall be
treated or maintained in such a manner that they are protected against contamination.
Compliance with this requirement may be accomplished by any effective means, including
one or more of the following:

(i) Using ingredients free of contamination.

(ii) Employing adequate heat processes where applicable.

(iii) Using adequate time and temperature controls.

(iv) Providing adequate physical protection of components from contaminants that

may drip, drain, or be drawn into them.

(v) Cooling to an adequate temperature during manufacturing.

(vi) Disposing of batters at appropriate intervals to protect against the growth of

microorganisms.

(13) Filling, assembling, packaging, and other operations shall be performed in such a way
that the food is protected against contamination. Compliance with this requirement may be
accomplished by any effective means, including:

(i) Use of a quality control operation in which the critical control points are identified
and controlled during manufacturing.

(ii) Adequate cleaning and sanitizing of all food-contact surfaces and food containers.

(iii) Using materials for food containers and food-packaging materials that are safe
and suitable, as defined in § 130.3(d) of this chapter.

(iv) Providing physical protection from contamination, particularly airborne

contamination.

(v) Using sanitary handling procedures.

(14) Food such as, but not limited to, dry mixes, nuts, intermediate moisture food, and
dehydrated food, that relies on the control of awfor preventing the growth of undesirable
microorganisms shall be processed to and maintained at a safe moisture level. Compliance
with this requirement may be accomplished by any effective means, including employment of
one or more of the following practices:

(i) Monitoring the aw of food.

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(ii) Controlling the soluble solids-water ratio in finished food.

(iii) Protecting finished food from moisture pickup, by use of a moisture barrier or by
other means, so that the awof the food does not increase to an unsafe level.

(15) Food such as, but not limited to, acid and acidified food, that relies principally on the
control of pH for preventing the growth of undesirable microorganisms shall be monitored
and maintained at a pH of 4.6 or below. Compliance with this requirement may be
accomplished by any effective means, including employment of one or more of the following
practices:

(i) Monitoring the pH of raw materials, food in process, and finished food.

(ii) Controlling the amount of acid or acidified food added to low-acid food.

(16) When ice is used in contact with food, it shall be made from water that is safe and of
adequate sanitary quality, and shall be used only if it has been manufactured in accordance
with current good manufacturing practice as outlined in this part.

(17) Food-manufacturing areas and equipment used for manufacturing human food should
not be used to manufacture nonhuman food-grade animal feed or inedible products, unless
there is no reasonable possibility for the contamination of the human food.

[51 FR 24475, June 19, 1986, as amended at 65 FR 56479, Sept. 19, 2000]

§ 110.93 Warehousing and distribution.

Storage and transportation of finished food shall be under conditions that will protect food against
physical, chemical, and microbial contamination as well as against deterioration of the food and the
container.

Subpart F - [Reserved]

Subpart G - Defect Action Levels

§ 110.110 Natural or unavoidable defects in food for human use that present no health hazard.

(a) Some foods, even when produced under current good manufacturing practice, contain natural or
unavoidable defects that at low levels are not hazardous to health. The Food and Drug Administration
establishes maximum levels for these defects in foods produced under current good manufacturing
practice and uses these levels in deciding whether to recommend regulatory action.

(b) Defect action levels are established for foods whenever it is necessary and feasible to do so. These
levels are subject to change upon the development of new technology or the availability of new
information.

(c) Compliance with defect action levels does not excuse violation of the requirement in section
402(a)(4) of the act that food not be prepared, packed, or held under unsanitary conditions or the
requirements in this part that food manufacturers, distributors, and holders shall observe current good
manufacturing practice. Evidence indicating that such a violation exists causes the food to be
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adulterated within the meaning of the act, even though the amounts of natural or unavoidable defects
are lower than the currently established defect action levels. The manufacturer, distributor, and holder
of food shall at all times utilize quality control operations that reduce natural or unavoidable defects
to the lowest level currently feasible.

(d) The mixing of a food containing defects above the current defect action level with another lot of
food is not permitted and renders the final food adulterated within the meaning of the act, regardless
of the defect level of the final food.

(e) A compilation of the current defect action levels for natural or unavoidable defects in food for
human use that present no health hazard may be obtained upon request from the Center for Food
Safety and Applied Nutrition, (HFS-565), Food and Drug Administration, 5100 Paint Branch Pkwy.,
College Park, MD 20740.

[51 FR 24475, June 19, 1986, as amended at 61 FR 14480, Apr. 2, 1996; 66 FR 56035, Nov. 6, 2001]

[Code of Federal Regulations]

[Title 21, Volume 2, Parts 100 to 169]
[Revised as of April 1, 1997]

From the U.S. Government Printing Office via GPO Access

[CITE: 21CFR123]
[Page 240-248]

TITLE 21 - FOOD AND DRUGS

CHAPTER I - FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND
HUMAN SERVICES - CONTINUEPART 123 - FISH AND FISHERY PRODUCTS

Subpart A - General Provisions

Sec.
123.3 Definitions.
123.5 Current good manufacturing practice.
123.6 Hazard Analysis and Hazard Analysis Critical Control Point (HACCP) plan.
123.7 Corrective actions.
123.8 Verification.
123.9 Records.
123.10 Training.
123.11 Sanitation control procedures.
123.12 Special requirements for imported products.
123.20 General.
123.28 Source controls.

Authority: Secs. 201, 402, 403, 406, 409, 701, 704, 721, 801, 903 of the Federal Food, Drug, and
Cosmetic Act (21 U.S.C. 321, 342, 343, 346, 348, 371, 374, 379e, 381, 393); secs. 301, 307, 361 of the
Public Health Service Act (42 U.S.C. 241, 242l, 264).

Subpart B - Smoked and Smoke-Flavored Fishery Products

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123.15 General.
123.16 123.16 Process controls.

Subpart C - Raw Molluscan Shellfish

Source: 60 FR 65197, Dec. 18, 1995, unless otherwise noted.

Effective Date Note: At 60 FR 65197, Dec. 18, 1995, part 123 was added, effective December 18, 1997.

Subpart A - General Provisions

Sec. 123.3 Definitions.

The definitions and interpretations of terms in section 201 of the Federal Food, Drug, and Cosmetic Act
(the act) and in part 110 of this chapter are applicable to such terms when used in this part, except where
they are herein redefined. The following definitions shall also apply:

(a) Certification number means a unique combination of letters and numbers assigned by a shellfish
control authority to a molluscan shellfish processor.

(b) Critical control point means a point, step, or procedure in a food process at which control can be
applied, and a food safety hazard can as a result be prevented, eliminated, or reduced to acceptable
levels.

(c) Critical limit means the maximum or minimum value to which a physical, biological, or chemical
parameter must be controlled at a critical control point to prevent, eliminate, or reduce to an
acceptable level the occurrence of the identified food safety hazard.

(d) Fish means fresh or saltwater finfish, crustaceans, other forms of aquatic animal life (including,
but not limited to, alligator, frog, aquatic turtle, jellyfish, sea cucumber, and sea urchin and the roe of
such animals) other than birds or mammals, and all mollusks, where such animal life is intended for
human consumption.

(e) Fishery product means any human food product in which fish is a characterizing ingredient.

(f) Food safety hazard means any biological, chemical, or physical property that may cause a food to
be unsafe for human consumption.

(g) Importer means either the U.S. owner or consignee at the time of entry into the United States, or
the U.S. agent or representative of the foreign owner or consignee at the time of entry into the United
States, who is responsible for ensuring that goods being offered for entry into the United States are in
compliance with all laws affecting the importation. For the purposes of this definition, ordinarily the
importer is not the custom house broker, the freight forwarder, the carrier, or the steamship
representative.

(h) Molluscan shellfish means any edible species of fresh or frozen oysters, clams, mussels, or
scallops, or edible portions of such species, except when the product consists entirely of the shucked
adductor muscle.

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(i) Preventive measure means physical, chemical, or other factors that can be used to control an
identified food safety hazard.

(j) Process-monitoring instrument means an instrument or device used to indicate conditions during
processing at a critical control point.

(k)(1) Processing means, with respect to fish or fishery products:

Handling, storing, preparing, heading, eviscerating, shucking, freezing, changing into different
market forms, manufacturing, preserving, packing, labeling, dockside unloading, or holding.

(2) The regulations in this part do not apply to:

(i) Harvesting or transporting fish or fishery products, without otherwise engaging in

processing.

(ii) Practices such as heading, eviscerating, or freezing intended solely to prepare a

fish for holding on board a harvest vessel.

(iii) The operation of a retail establishment.

(l) Processor means any person engaged in commercial, custom, or institutional processing of fish or
fishery products, either in the United States or in a foreign country. A processing includes any person
engaged in the production of foods that are to be used in market or consumer tests.

(m) Scombroid toxin-forming species means tuna, bluefish, mahi mahi, and other species, whether or
not in the family Scombridae, in which significant levels of histamine may be produced in the fish
flesh by decarboxylation of free histidine as a result of exposure of the fish after capture to
temperatures that permit the growth of mesophilic bacteria.

(n) Shall is used to state mandatory requirements.

(o) Shellfish control authority means a Federal, State, or foreign agency, or sovereign tribal
government, legally responsible for the administration of a program that includes activities such as
classification of molluscan shellfish growing areas, enforcement of molluscan shellfish harvesting
controls, and certification of molluscan shellfish processors.

(p) Shellstock means raw, in-shell molluscan shellfish.

(q) Should is used to state recommended or advisory procedures or to identify recommended

equipment.

(r) Shucked shellfish means molluscan shellfish that have one or both shells removed.

(s) Smoked or smoke-flavored fishery products means the finished food prepared by:

(1) Treating fish with salt (sodium chloride), and

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(2) Subjecting it to the direct action of smoke from burning wood, sawdust, or similar
material and/or imparting to it the flavor of smoke by a means such as immersing it in a
solution of wood smoke.

(t) Tag means a record of harvesting information attached to a container of shellstock by the harvester
or processor.

Sec. 123.5 Current good manufacturing practice.

(a) Part 110 of this chapter applies in determining whether the facilities, methods, practices, and
controls used to process fish and fishery products are safe, and whether these products have been
processed under sanitary conditions.

(b) The purpose of this part is to set forth requirements specific to the processing of fish and fishery
products.

Sec. 123.6 Hazard Analysis and Hazard Analysis Critical Control Point (HACCP) plan.

(a) Hazard analysis. Every processor shall conduct, or have conducted for it, a hazard analysis to
determine whether there are food safety hazards that are reasonably likely to occur for each kind of
fish and fishery product processed by that processor and to identify the preventive measures that the
processor can apply to control those hazards. Such food safety hazards can be introduced both within
and outside the processing plant environment, including food safety hazards that can occur before,
during, and after harvest. A food safety hazard that is reasonably likely to occur is one for which a
prudent processor would establish controls because experience, illness data, scientific reports, or other
information provide a basis to conclude that there is a reasonable possibility that it will occur in the
particular type of fish or fishery product being processed in the absence of those controls.

(b) The HACCP plan. Every processor shall have and implement a written HACCP plan whenever a
hazard analysis reveals one or more food safety hazards that are reasonably likely to occur, as
described in paragraph (a) of this section. A HACCP plan shall be specific to:

(1) Each location where fish and fishery products are processed by that processor; and

(2) Each kind of fish and fishery product processed by the processor. The plan may group
kinds of fish and fishery products together, or group kinds of production methods together, if
the food safety hazards, critical control points, critical limits, and procedures required to be
identified and performed in paragraph (c) of this section are identical for all fish and fishery
products so grouped or for all production methods so grouped.

(c) The contents of the HACCP plan. The HACCP plan shall, at a minimum:

(1) List the food safety hazards that are reasonably likely to occur, as identified in accordance
with paragraph (a) of this section, and that thus must be controlled for each fish and fishery
product. Consideration should be given to whether any food safety hazards are reasonably
likely to occur as a result of the following:

(i) Natural toxins;

(ii) Microbiological contamination;

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(iii) Chemical contamination;

(iv) Pesticides;

(v) Drug residues;

(vi) Decomposition in scombroid toxin-forming species or in any other species where

a food safety hazard has been associated with decomposition;

(vii) Parasites, where the processor has knowledge or has reason to know that the
parasite-containing fish or fishery product will be consumed without a process
sufficient to kill the parasites, or where the processor represents, labels, or intends for
the product to be so consumed;

(viii) Unapproved use of direct or indirect food or color additives; and

(ix) Physical hazards;

(2) List the critical control points for each of the identified food safety hazards, including as
appropriate:

(i) Critical control points designed to control food safety hazards that could be
introduced in the processing plant environment; and

(ii) Critical control points designed to control food safety hazards introduced outside
the processing plant environment, including food safety hazards that occur before,
during, and after harvest;

(3) List the critical limits that must be met at each of the critical control points;

(4) List the procedures, and frequency thereof, that will be used to monitor each of the critical
control points to ensure compliance with the critical limits;

(5) Include any corrective action plans that have been developed in accordance with Sec.
123.7(b), to be followed in response to deviations from critical limits at critical control
points;

(6) List the verification procedures, and frequency thereof, that the processor will use in
accordance with Sec. 123.8(a);

(7) Provide for a record keeping system that documents the monitoring of the critical control
points. The records shall contain the actual values and observations obtained during
monitoring.

(d) Signing and dating the HACCP plan.

(1) The HACCP plan shall be signed and dated, either by the most responsible individual
onsite at the processing facility or by a higher level official of the processor. This signature
shall signify that the HACCP plan has been accepted for implementation by the firm.

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(2) The HACCP plan shall be dated and signed:

(i) Upon initial acceptance;

(ii) Upon any modification; and

(iii) Upon verification of the plan in accordance with Sec. 123.8(a)(1).

(e) Products subject to other regulations. For fish and fishery products that are subject to the
requirements of part 113 or 114 of this chapter, the HACCP plan need not list the food safety hazard
associated with the formation of Clostridium botulinumtoxin in the finished, hermetically sealed
container, nor list the controls to prevent that food safety hazard. A HACCP plan for such fish and
fishery products shall address any other food safety hazards that are reasonably likely to occur.

(f) Sanitation. Sanitation controls may be included in the HACCP plan. However, to the extent that
they are monitored in accordance with Sec. 123.11(b) they need not be included in the HACCP plan,
and vice versa.

(g) Legal basis. Failure of a processor to have and implement a HACCP plan that complies with this
section whenever a HACCP plan is necessary, otherwise operate in accordance with the requirements
of this part, shall render the fish or fishery products of that processor adulterated under section
402(a)(4) of the act. Whether a processor's actions are consistent with ensuring the safety of food will
be determined through an evaluation of the processors overall implementation of its HACCP plan, if
one is required.

Sec. 123.7 Corrective actions.

(a) Whenever a deviation from a critical limit occurs, a processor shall take corrective action either
by:

(1) Following a corrective action plan that is appropriate for the particular deviation, or

(2) Following the procedures in paragraph (c) of this section.

(b) Processors may develop written corrective action plans, which become part of their HACCP plans
in accordance with Sec. 123.6(c)(5), by which they predetermine the corrective actions that they will
take whenever there is a deviation from a critical limit. A corrective action plan that is appropriate for
a particular deviation is one that describes the steps to be taken and assigns responsibility for taking
those steps, to ensure that:

(1) No product enters commerce that is either injurious to health or is otherwise adulterated as
a result of the deviation; and

(2) The cause of the deviation is corrected.

(c) When a deviation from a critical limit occurs and the processor does not have a corrective action
plan that is appropriate for that deviation, the processor shall:

(1) Segregate and hold the affected product, at least until the requirements of paragraphs
(c)(2) and (c)(3) of this section are met;
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(2) Perform or obtain a review to determine the acceptability of the affected product for
distribution. The review shall be performed by an individual or individuals who have
adequate training or experience to perform such a review. Adequate training may or may not
include training in accordance with Sec. 123.10;

(3) Take corrective action, when necessary, with respect to the affected product to ensure that
no product enters commerce that is either injurious to health or is otherwise adulterated as a
result of the deviation;

(4) Take corrective action, when necessary, to correct the cause of the deviation;

(5) Perform or obtain timely reassessment by an individual or individuals who have been
trained in accordance with Sec. 123.10, to determine whether the HACCP plan needs to be
modified to reduce the risk of recurrence of the deviation, and modify the HACCP plan as
necessary.

(d) All corrective actions taken in accordance with this section shall be fully documented in records
that are subject to verification in accordance with Sec. 123.8(a)(3)(ii) and the record keeping
requirements of Sec. 123.9.

Sec. 123.8 Verification.

(a) Overall verification. Every processor shall verify that the HACCP plan is adequate to control food
safety hazards that are reasonably likely to occur, and that the plan is being effectively implemented.
Verification shall include, at a minimum:

(1) Reassessment of the HACCP plan. A reassessment of the adequacy of the HACCP plan
whenever any changes occur that could affect the hazard analysis or alter the HACCP plan in
any way or at least annually. Such changes may include changes in the following: Raw
materials or source of raw materials, product formulation, processing methods or systems,
finished product distribution systems, or the intended use or consumers of the finished
product. The reassessment shall be performed by an individual or individuals who have been
trained in accordance with Sec. 123.10. The HACCP plan shall be modified immediately
whenever a reassessment reveals that the plan is no longer adequate to fully meet the
requirements of Sec. 123.6(c).

(2) Ongoing verification activities. Ongoing verification activities including:

(i) A review of any consumer complaints that have been received by the processor to
determine whether they relate to the performance of critical control points or reveal
the existence of unidentified critical control points;

(ii) The calibration of process-monitoring instruments; and,

(iii) At the option of the processor, the performing of periodic end product or in-
process testing.

(3) Records review. A review, including signing and dating, by an individual who has been
trained in accordance with Sec. 123.10, of the records that document:

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(i) The monitoring of critical control points. The purpose of this review shall be, at a
minimum, to ensure that the records are complete and to verify that they document
values that are within the critical limits. This review shall occur within 1 week of the
day that the records are made;

(ii) The taking of corrective actions. The purpose of this review shall be, at a
minimum, to ensure that the records are complete and to verify that appropriate
corrective actions were taken in accordance with Sec. 123.7. This review shall occur
within 1 week of the day that the records are made; and

(iii) The calibrating of any process control instruments used at critical control points
and the performing of any periodic end-product or in process testing that is part of the
processor's verification activities. The purpose of these reviews shall be, at a
minimum, to ensure that the records are complete, and that these activities occurred
in accordance with the processor's written procedures. These reviews shall occur
within a reasonable time after the records are made.

(b) Corrective actions. Processors shall immediately follow the procedures in Sec. 123.7 whenever
any verification procedure, including the review of a consumer complaint, reveals the need to take a
corrective action.

(c) Reassessment of the hazard analysis. Whenever a processor does not have a HACCP plan because
a hazard analysis has revealed no food safety hazards that are reasonably likely to occur, the
processor shall reassess the adequacy of that hazard analysis whenever there are any changes that
could reasonably affect whether a food safety hazard now exists. Such changes may include, but are
not limited to changes in: Raw materials or source of raw materials, product formulation, processing
methods or systems, finished product distribution systems, or the intended use or consumers of the
finished product. The reassessment shall be performed by an individual or individuals who have been
trained in accordance with Sec. 123.10.

(d) Record keeping. The calibration of process-monitoring instruments, and the performing of any
periodic end-product and in-process testing, in accordance with paragraphs (a)(2)(ii) through (iii) of
this section shall be documented in records that are subject to the record keeping requirements of Sec.
123.9.

Sec. 123.9 Records.

(a) General requirements. All records required by this part shall include:

(1) The name and location of the processor or importer;

(2) The date and time of the activity that the record reflects;

(3) The signature or initials of the person performing the operation; and

(4) Where appropriate, the identity of the product and the production code, if any. Processing
and other information shall be entered on records at the time that it is observed.

(b) Record retention.

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(1) All records required by this part shall be retained at the processing facility or importer's
place of business in the United States for at least 1 year after the date they were prepared in
the case of refrigerated products and for at least 2 years after the date they were prepared in
the case of frozen, preserved, or shelf-stable products.

(2) Records that relate to the general adequacy of equipment or processes being used by a
processor, including the results of scientific studies and evaluations, shall be retained at the
processing facility or the importer's place of business in the United States for at least 2 years
after their applicability to the product being produced at the facility.

(3) If the processing facility is closed for a prolonged period between seasonal packs, or if
record storage capacity is limited on a processing vessel or at a remote processing site, the
records may be transferred to some other reasonably accessible location at the end of the
seasonal pack but shall be immediately returned for official review upon demand.

(c) Official review. All records required by this part and all plans and procedures required by this part
shall be available for official review and copying at reasonable times.

(d) Public disclosure.

(1) Subject to the limitations in paragraph (d)(2) of this section, all plans and records required
by this part are not available for public disclosure unless they have been previously disclosed
to the public as defined in Sec. 20.81 of this chapter or they relate to a product or ingredient
that has been abandoned and they no longer represent a trade secret or confidential
commercial or financial information as defined in Sec. 20.61 of this chapter.

(2) However, these records and plans may be subject to disclosure to the extent that they are
otherwise publicly available, or that disclosure could not reasonably be expected to cause a
competitive hardship, such as generic-type HACCP plans that reflect standard industry
practices.

(e) Tags. Tags as defined in Sec. 123.3(t) are not subject to the requirements of this section unless
they are used to fulfill the requirements of Sec. 123.28(c).

(f) Records maintained on computers. The maintenance of records on computers is acceptable,

provided that appropriate controls are implemented to ensure the integrity of the electronic data and
signatures.

Sec. 123.10 Training.

At a minimum, the following functions shall be performed by an individual who has successfully
completed training in the application of HACCP principles to fish and fishery product processing at least
equivalent to that received under standardized curriculum recognized as adequate by the U.S. Food and
Drug Administration or who is otherwise qualified through job experience to perform these functions. Job
experience will qualify an individual to perform these functions if it has provided knowledge at least
equivalent to that provided through the standardized curriculum.

(a) Developing a HACCP plan, which could include adapting a model or generic-type HACCP plan,
that is appropriate for a specific processor, in order to meet the requirements of Sec. 123.6(b);

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(b) Reassessing and modifying the HACCP plan in accordance with the corrective action procedures
specified in Sec. 123.7(c)(5), the HACCP plan in accordance with the verification activities specified
in Sec. 123.8(a)(1), and the hazard analysis in accordance with the verification activities specified in
Sec. 123.8(c); and

(c) Performing the record review required by Sec. 123.8(a)(3); The trained individual need not be an
employee of the processor.

Sec. 123.11 Sanitation control procedures.

(a) Sanitation SOP. Each processor should have and implement a written sanitation standard
operating procedure (herein referred to as SSOP) or similar document that is specific to each location
where fish and fishery products are produced. The SSOP should specify how the processor will meet
those sanitation conditions and practices that are to be monitored in accordance with paragraph (b) of
this section.

(b) Sanitation monitoring. Each processor shall monitor the conditions and practices during
processing with sufficient frequency to ensure, at a minimum, conformance with those conditions and
practices specified in part 110 of this chapter that are both appropriate to the plant and the food being
processed and relate to the following:

(1) Safety of the water that comes into contact with food or food contact surfaces, or is used
in the manufacture of ice;

(2) Condition and cleanliness of food contact surfaces, including utensils, gloves, and outer
garments;

(3) Prevention of cross-contamination from unsanitary objects to food, food packaging

material, and other food contact surfaces, including utensils, gloves, and outer garments, and
from raw product to cooked product;

(4) Maintenance of hand washing, hand sanitizing, and toilet facilities;

(5) Protection of food, food packaging material, and food contact surfaces from adulteration
with lubricants, fuel, pesticides, cleaning compounds, sanitizing agents, condensate, and other
chemical, physical, and biological contaminants;

(6) Proper labeling, storage, and use of toxic compounds;

(7) Control of employee health conditions that could result in the microbiological
contamination of food, food packaging materials, and food contact surfaces; and

(8) Exclusion of pests from the food plant. The processor shall correct in a timely manner,
those conditions and practices that are not met.

(c) Sanitation control records. Each processor shall maintain sanitation control records that, at a
minimum, document the monitoring and corrections prescribed by paragraph (b) of this section.
These records are subject to the requirements of Sec. 123.9.

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(d) Relationship to HACCP plan. Sanitation controls may be included in the HACCP plan, required
by Sec. 123.6(b). However, to the extent that they are monitored in accordance with paragraph (b) of
this section they need not be included in the HACCP plan, and vice versa.

Sec. 123.12 Special requirements for imported products.

This section sets forth specific requirements for imported fish and fishery products.

(a) Importer verification. Every importer of fish or fishery products shall either:

(1) Obtain the fish or fishery product from a country that has an active memorandum of
understanding (MOU) or similar agreement with the Food and Drug Administration, that
covers the fish or fishery product and documents the equivalency or compliance of the
inspection system of the foreign country with the U.S. system, accurately reflects the current
situation between the signing parties, and is functioning and enforceable in its entirety; or

(2) Have and implement written verification procedures for ensuring that the fish and fishery
products that they offer for import into the United States were processed in accordance with
the requirements of this part. The procedures shall list at a minimum:

(i) Product specifications that are designed to ensure that the product is not
adulterated under section 402 of the Federal Food, Drug and Cosmetic Act because it
may be injurious to health or have been processed under unsanitary conditions, and,

(ii) Affirmative steps that may include any of the following:

(A) Obtaining from the foreign processor the HACCP and sanitation
monitoring records required by this part that relate to the specific lot of fish
or fishery products being offered for import;

(B) Obtaining either a continuing or lot-by-lot certificate from an appropriate

foreign government inspection authority or competent third party certifying
that the imported fish or fishery product is or was processed in accordance
with the requirements of this part;

(C) Regularly inspecting the foreign processor's facilities to ensure that the
imported fish or fishery product is being processed in accordance with the
requirements of this part;

(D) Maintaining on file a copy, in English, of the foreign processor's HACCP

plan, and a written guarantee from the foreign processor that the imported
fish or fishery product is processed in accordance with the requirements of
the part;

(E) Periodically testing the imported fish or fishery product, and maintaining
on file a copy, in English, of a written guarantee from the foreign processor
that the imported fish or fishery product is processed in accordance with the
requirements of this part or,

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(F) Other such verification measures as appropriate that provide an

equivalent level of assurance of compliance with the requirements of this
part.

(b) Competent third party. An importer may hire a competent third party to assist with or perform any
or all of the verification activities specified in paragraph (a)(2) of this section, including writing the
importer's verification procedures on the importer's behalf.

(c) Records. The importer shall maintain records, in English, that document the performance and
results of the affirmative steps specified in paragraph (a)(2)(ii) of this section. These records shall be
subject to the applicable provisions of Sec. 123.9.

(d) Determination of compliance. There must be evidence that all fish and fishery products offered for
entry into the United States have been processed under conditions that comply with this part. If
assurances do not exist that the imported fish or fishery product has been processed under conditions
that are equivalent to those required of domestic processors under this part, the product will appear to
be adulterated and will be denied entry.

Authority: 21 U.S.C. 321, 342, 343, 346, 348, 371, 374, 379e, 381, 393; 42 U.S.C. 241, 2411, 264.
Source: 60 FR 65197, Dec. 18, 1995, unless otherwise noted.

Subpart B - Smoked and Smoke-Flavored Fishery Products

Sec. 123.15 General.

This subpart augments subpart A of this part by setting forth specific requirements for processing smoked
and smoke-flavored fishery products.

Sec. 123.16 Process controls.

In order to meet the requirements of subpart A of this part, processors of smoked and smoke-flavored
fishery products, except those subject to the requirements of part 113 or 114 of this chapter, shall include
in their HACCP plans how they are controlling the food safety hazard associated with the formation of
toxin by Clostridium botulinum for at least as long as the shelf life of the product under normal and
moderate abuse conditions.

Authority: 21 U.S.C. 321, 342, 343, 346, 348, 371, 374, 379e, 381, 393; 42 U.S.C. 241, 2411, 264.
Source: 60 FR 65197, Dec. 18, 1995, unless otherwise noted.

Subpart C - Raw Molluscan Shellfish

Sec. 123.20 General.

This subpart augments subpart A of this part by setting forth specific requirements for processing fresh or
frozen molluscan shellfish, where such processing does not include a treatment that ensures the
destruction of vegetative cells of microorganisms of public health concern.

Sec. 123.28 Source controls.

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(a) In order to meet the requirements of subpart A of this part as they apply to microbiological
contamination, chemical contamination, natural toxins, and related food safety hazards, processors
shall include in their HACCP plans how they are controlling the origin of the molluscan shellfish they
process to ensure that the conditions of paragraphs (b), (c), and (d) of this section are met.

(b) Processors shall only process molluscan shellfish harvested from growing waters approved for
harvesting by a shellfish control authority. In the case of molluscan shellfish harvested from U.S.
Federal waters, the requirements of this paragraph will be met so long as the shellfish have not been
harvested from waters that have been closed to harvesting by an agency of the Federal government.

(c) To meet the requirements of paragraph (b) of this section, processors who receive shellstock shall
accept only shellstock from a harvester that is in compliance with such licensor requirements as may
apply to the harvesting of molluscan shellfish or from a processor that is certified by a shellfish
control authority, and that has a tag affixed to each container of shellstock. The tag shall bear, at a
minimum, the information required in Sec. 1240.60(b) of this chapter. In place of the tag, bulk
shellstock shipments may be accompanied by a bill of lading or similar shipping document that
contains the information required in Sec. 1240.60(b) of this chapter. Processors shall maintain records
that document that all shellstock have met the requirements of this section. These records shall
document:

(1) The date of harvest;

(2) The location of harvest by State and site;

(3) The quantity and type of shellfish;

(4) The date of receipt by the processor; and

(5) The name of the harvester, the name or registration number of the harvester's vessel, or an
identification number issued to the harvester by the shellfish control authority.

(d) To meet the requirements of paragraph (b) of this section, processors who receive shucked
molluscan shellfish shall accept only containers of shucked molluscan shellfish that bear a label that
complies with Sec. 1240.60(c) of this chapter. Processors shall maintain records that document that
all shucked molluscan shellfish have met the requirements of this section. These records shall
document:

(1) The date of receipt;

(2) The quantity and type of shellfish; and

(3) The name and certification number of the packer or repacker of the product.

Authority: 21 U.S.C. 321, 342, 343, 346, 348, 371, 374, 379e, 381, 393; 42 U.S.C. 241, 2411, 264.
Source: 60 FR 65197, Dec. 18, 1995, unless otherwise noted.

PART 161 - FISH AND SHELLFISH

Subpart A - General Provisions

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161.170 Canned Pacific salmon.

161.173 Canned wet packed shrimp in transparent or nontransparent containers.
161.175 Frozen raw breaded shrimp.
161.176 Frozen raw lightly breaded shrimp.
161.190 Canned tuna.
161.130 Oysters.
161.30 Declaration of quantity of contents on labels for canned oysters.
161.136 Olympia oysters.
161.145 Canned oysters

Authority: Secs. 201, 401, 403, 409, 701, 706 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C.
321, 341, 343, 348, 371, 376).

Source: 42 FR 14464, Mar. 15, 1977, unless otherwise noted.

Subpart A - General Provisions

§ 161.30 Declaration of quantity of contents on labels for canned oysters.

(a) For many years packers of canned oysters in the Gulf area of the United States have labeled their
output with a declaration of the drained weight of oysters in the containers. Packers in other areas
have marketed canned oysters with a declaration of the total weight of the contents of the container.
Investigation reveals that under present day practice consumers generally do not discard the liquid
packing medium, but use it as a part of the food. Section 403(e)(2) of the Federal Food, Drug, and
Cosmetic Act and the regulations there under require food in package form to bear an accurate label
statement of the quantity of food in the container.

(b) It is concluded that compliance with the label declaration of quantity of contents requirement will
be met by an accurate declaration of the total weight of the contents of the can. The requirements of
§ 161.145(c), establishing a standard of fill of container for canned oysters and specifying the
statement of substandard fill for those canned oysters failing to meet that standard remain unaffected
by this interpretation.

Authority: 21 U.S.C. 321, 341, 343, 348, 371, 379e.

Source: 42 FR 14464, Mar. 15, 1977, unless otherwise noted.

Subpart B - Requirements for Specific Standardized Fish and Shellfish

§ 161.130 Oysters.

(a) Oysters, raw oysters, shucked oysters, are the class of foods each of which is obtained by shucking
shell oysters and preparing them in accordance with the procedure prescribed in paragraph (b) of this
section. The name of each such food is the name specified in the applicable definition and standard of
identity prescribed in § 161.131 to 161.140, inclusive.

(b) If water, or salt water containing less than 0.75 percent salt, is used in any vessel into which the
oysters are shucked the combined volume of oysters and liquid when such oysters are emptied from
such vessel is not less than four times the volume of such water or salt water. Any liquid accumulated
with the oysters is removed. The oysters are washed, by blowing or otherwise, in water or salt water,
or both. The total time that the oysters are in contact with water or salt water after leaving the
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shucker, including the time of washing, rinsing, and any other contact with water or salt water is not
more than 30 minutes. In computing the time of contact with water or salt water, the length of time
that oysters are in contact with water or salt water that is agitated by blowing or otherwise, shall be
calculated at twice its actual length. Any period of time that oysters are in contact with salt water
containing not less than 0.75 percent salt before contact with oysters, shall not be included in
computing the time that the oysters are in contact with water or salt water. Before packing into the
containers for shipment or other delivery for consumption the oysters are thoroughly drained and are
packed without any added substance.

(c) For the purposes of this section:

(1) "Shell oysters" means live oysters of any of the species, Ostrea virginica, Ostrea gigas,
Ostrea lurida, in the shell, which, after removal from their beds, have not been floated or
otherwise held under conditions which result in the addition of water.

(2) "Thoroughly drained" means one of the following:

(i) The oysters are drained on a strainer or skimmer which has an area of not less than
300 square inches per gallon of oysters, drained, and has perforations of at least 1/4
of an inch in diameter and not more than 1 1/4 inches apart, or perforations of
equivalent areas and distribution. The oysters are distributed evenly over the draining
surface of the skimmer and drained for not less than 5 minutes; or

(ii) The oysters are drained by any method other than that prescribed by paragraph
(c)(2)(i) of this section whereby liquid from the oysters is removed so that when the
oysters are tested within 15 minutes after packing by draining a representative gallon
of oysters on a skimmer of the dimensions and in the manner described in paragraph
(c)(2)(i) of this section for 2 minutes, not more than 5 percent of liquid by weight is
removed by such draining.

§ 161.136 Olympia oysters.

Olympia oysters, raw Olympia oysters, shucked Olympia oysters, are of the species Ostrea lurida and
conform to the definition and standard of identity prescribed for oysters in § 161.130.

§ 161.145 Canned oysters.

(a) Identity.

(1) Canned oysters is the food prepared from one or any mixture of two or all of the forms of
oysters specified in paragraph (a)(2) of this section, and a packing medium of water, or the
watery liquid draining from oysters before or during processing, or a mixture of such liquid
and water. The food may be seasoned with salt. It is sealed in containers and so processed by
heat as to prevent spoilage.

(2) The forms of oysters referred to in paragraph (a)(1) of this section are prepared from
oysters which have been removed from their shells and washed and which may be steamed
while in the shell or steamed or blanched or both after removal there from, and are as follows:

(i) Whole oysters with such broken pieces of oysters as normally occur in removing
oysters from their shells, washing, and packing.
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(ii) Pieces of oysters obtained by segregating pieces of oysters broken in shucking,

washing, or packing whole oysters.

(iii) Cut oysters obtained by cutting whole oysters.

(3)(i) When the form of oysters specified in paragraph (a)(2)(i) of this section is used, the
name of the food is "Oysters"or "Cove oysters", if of the species Ostrea virginica;
"Oysters"or "Pacific oysters", if of the species Ostrea gigas; "Oysters"or "Olympia oysters",
if of the species Ostrea lurida.

(ii) When the form of oysters specified in paragraph (a)(2)(ii) of this section is used,
the name of the food is "Pieces of ----", the blank being filled in with the name
"Oysters"or "Cove oysters", if of the species Ostrea virginica; "Oysters"or "Pacific
oysters", if of the species Ostrea gigas; "Oysters"or "Olympia oysters", if of the
species Ostrea lurida.

(iii) When the form of oysters specified in paragraph (a)(2)(iii) of this section is used,
the name of the food is "Cut --", the blank being filled in with the name "Oysters"or
"Cove oysters", if of the species Ostrea virginica; "Oysters"or "Pacific oysters", if of
the species Ostrea gigas; "Oysters"or "Olympia oysters", if of the species Ostrea
lurida.

(iv) In case a mixture of two or all such forms of oysters is used, the name is a
combination of the names specified in this paragraph (a)(3) of the forms of oysters
used, arranged in order of their predominance by weight.

(4) Label declaration. Each of the ingredients used in the food shall be declared on the label
as required by the applicable sections of parts 101 and 130 of this chapter.

(b) [Reserved]

(c) Fill of container.

(1) The standard of fill of container for canned oysters is a fill such that the drained weight of
oysters taken from each container is not less than 59 percent of the water capacity of the
container.

(2) Water capacity of containers is determined by the general method provided in § 130.12(a)
of this chapter.

(3) Drained weight is determined by the following method: Keep the un-opened canned
oyster container at a temperature of not less than 68° or more than 95° Fahrenheit for at least
12 hours immediately preceding the determination. After opening, tilt the container so as to
distribute its contents evenly over the meshes of a circular sieve which has been previously
weighed. The diameter of the sieve is 8 inches if the quantity of the contents of the container
is less than 3 pounds, and 12 inches if such quantity is 3 pounds or more. The bottom of the
sieve is woven-wire cloth that complies with the specifications for such cloth set forth under
"2.38 mm (No. 8)"in "Official Methods of Analysis of the Association of Official Analytical
Chemists,"13th Ed. (1980), Table 1, "Nominal Dimensions of Standard Test Sieves (U.S.A.
Standard Series),"under the heading "Definitions of Terms and Explanatory Notes,"which is
incorporated by reference. Copies may be obtained from the Association of Official
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Analytical Chemists International, 481 North Frederick Ave., suite 500, Gaithersburg, MD
20877-2504, or may be examined at the Office of the Federal Register, 800 North Capitol
Street, NW., suite 700, Washington, DC 20408. Without shifting the material on the sieve, so
incline the sieve as to facilitate drainage. Two minutes from the time drainage begins, weigh
the sieve and the drained oysters. The weight so found, less the weight of the sieve, shall be
considered to be the drained weight of the oysters.

(4) If canned oysters fall below the standard of fill of container prescribed in paragraph (a) of
this section, the label shall bear the general statement of substandard fill specified in
§ 130.14(b) of this chapter in the manner and form therein specified, followed by the
statement, "A can of this size should contain --- oz. of oysters. This can contains only --- oz.",
the blanks being filled in with the applicable figures.

[42 FR 14464, Mar. 15, 1977, as amended at 47 FR 11832, Mar. 19, 1982; 49 FR 101-02, Mar. 19, 1984;
54 FR 24895, June 12, 1989; 58 FR 2884, Jan 6, 1993; 63 FR 14035, Mar. 24, 1998]

[Code of Federal Regulations]

[Title 21, Volume 6, Parts 500 to 599]
[Revised as of April 1, 1997]

From the U.S. Government Printing Office via GPO Access

[CITE: 21CFR509.3]
[Page 33]

TITLE 21 - FOOD AND DRUGS

CHAPTER I - FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND
HUMAN SERVICES - (Continued)

PART 509 - UNAVOIDABLE CONTAMINANTS IN ANIMAL FOOD AND FOOD-PACKAGING

MATERIAL - Table of Contents

Subpart A - General Provisions

Sec. 509.3 Definitions and interpretations.

(a) Act means the Federal Food, Drug, and Cosmetic Act.

(b) The definitions of terms contained in section 201 of the act are applicable to such terms when
used in this part unless modified in this section.

(c) A naturally occurring poisonous or deleterious substance is a poisonous or deleterious substance

that is an inherent natural constituent of a food and is not the result of environmental, agricultural,
industrial, or other contamination.

(d) An added poisonous or deleterious substance is a poisonous or deleterious substance that is not a
naturally occurring poisonous or deleterious substance. When a naturally occurring poisonous or
deleterious substance is increased to abnormal levels through mishandling or other intervening acts, it
is an added poisonous or deleterious substance to the extent of such increase.

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(e) Food includes pet food, animal feed, and substances migrating to food from food-contact articles.

[Code of Federal Regulations]

[Title 21, Volume 6, Parts 500 to 599]
[Revised as of April 1, 1997]

From the U.S. Government Printing Office via GPO Access

[CITE: 21CFR509.4]
[Page 33-34]

TITLE 21 - FOOD AND DRUGS

CHAPTER I - FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND
HUMAN SERVICES - (Continued)

PART 509 - UNAVOIDABLE CONTAMINANTS IN ANIMAL FOOD AND FOOD-PACKAGING

MATERIAL - Table of Contents

Subpart A - General Provisions

Sec. 509.4 Establishment of tolerances, regulatory limits, and action levels.

(a) When appropriate under the criteria of Sec. 509.6, a tolerance for an added poisonous or
deleterious substance, which may be a food additive, may be established by regulation in subpart B of
this part under the provisions of section 406 of the act. A tolerance may prohibit any detectable
amount of the substance in food.

(b) When appropriate under the criteria of Sec. 509.6, and under section 402(a)(1) of the act, a
regulatory limit for an added poisonous or deleterious substance, which may be a food additive, may
be established by regulation in subpart C of this part under the provisions of sections 402(a)(1) and
701(a) of the act. A regulatory limit may prohibit any detectable amount of the substance in food. The
regulatory limit established represents the level at which food is adulterated within the meaning of
section 402(a)(1) of the act.

(c)(1) When appropriate under the criteria of Sec. 509.6, an action level for an added poisonous or
deleterious substance, which may be a food additive, may be established to define a level of
contamination at which a food may be regarded as adulterated.

(2) Whenever an action level is established or changed, a notice shall be published in the
Federal Register as soon as practicable thereafter. The notice shall call attention to the
material supporting the action level which shall be on file with the Dockets Management
Branch before the notice is published. The notice shall invite public comment on the action
level.

(d) A regulation may be established in subpart D of this part to identify a food containing a naturally
occurring poisonous or deleterious substance which will be deemed to be adulterated under section
402(a)(1) of the act. These regulations do not constitute a complete list of such foods.

[42 FR 52821, Sept. 30, 1977, as amended at 55 FR 20786, May 21, 1990]

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section VIII. FDA Manual of Interpretations Page 1 of 2

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Manual of Interpretations

Date: December 8, 2002

The Manual of Interpretation Codification System consists of nine subject areas. The nine areas are
Interpretation Number, Date, and National Shellfish Sanitation Program Guide for the Control of
Molluscan Shellfish, reference hereon known as "Model Ordinance Reference," Key Words,
Question, Interpretation Rationale, Other References, and Contact.

Interpretation Number: The interpretation number consists of four fields:

(1) primary
(2) secondary
(3) tertiary and
(4) quaternary.

Each identified field is related to a particular section of the Model Ordinance and a chronological number
is assigned for the interpretation. The following is an example:

For example: Interpretation Number: 05-III-@.02-100

05 - The primary field corresponds to the last published Guide for the Control of Molluscan Shellfish
revision date; in this case it is "2005."

III- The secondary field corresponds to a chapter in the Guide; in this case it is "Chapter III - Laboratory."
@.02- The tertiary field corresponds to the chronological numerical sequence for a subparagraph under a
particular section in a chapter.

100 - The quaternary field is a chronological number for each interpretation issued under a particular
section. Note: All interpretations issued for the first time for each Guide section will start with the number
100.

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Date: This is the actual date when the interpretation was issued.
Model This refers to the particular chapters, paragraphs and subparagraphs in the guide. For
Ordinance example "Chapter III, Section @.02A"
Reference
Keywords: These are words that serve to provide significant or memorable statements for systematic
index entry.
Question: This is the particular question of concern that needs to be interpreted.

Interpretation:The FDA written response to clarify the particular area of concern in a specific chapter or
section of the NSSP Guide for the Control of Molluscan Shellfish.

Rationale: This explains the reason for the interpretation. This area will cover existing policy,
regulations, laws, and public health reasons.

Other This includes other documents used to issue the interpretation such as laws, regulations,
References: model codes, scientific literature, etc.

Contact: This is the office responsible for issuing the interpretation. Any questions or comments
should be in writing and addressed to:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

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Interpretation Number: 09-I-@.02-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: July 15, 1994

Revised: December 8, 2002

Model Ordinance
Reference: Chapter I @.02 A. (1)
NSSP Guidance Document -
Shellfish Plant Inspection Standardization Procedures

Key Words: Standardization, Limited, Officers

Question: What procedures are to be used to standardize a State Shellfish Standardization Officer in
jurisdictions which have less than five (5) dealers to certify for the ICSSL?

Interpretation:

OPTIONS FOR STANDARDIZING STATE SHELLFISH STANDARDIZATION OFFICERS

WITHIN JURISDICTIONS WITH FEWER THAN 5 CERTIFIED DEALERS

1. Determine the number of intrastate shellfish dealers not listed on the ICSSL and include as many
as necessary to obtain the minimum 5 inspections. All certified dealers must be included in the
sample.
2. Arrange to conduct standardization inspections in another jurisdiction, using as many certified
dealers as necessary to complete the exercise. All certified dealers within the candidate's home
state must be included in the sample. This exercise must be conducted with an FDA
Standardization Officer.
3. If options 1 or 2 are possible, they must be selected before pursuing option 3. When the Regional
Shellfish Specialist agrees that option 1 or 2 cannot be utilized, the FDA Standardization Officer
and the State Candidate will inspect all interstate and intrastate dealers within the state. If this
number of dealers equals less than 5, the standardization exercise will be based upon the
inspection of the number of available plants. However, the Candidate must achieve 80%
agreement on EACH inspection. The FDA Standardization Officer shall review annually the
number of dealers available within the jurisdiction and standardize the State Shellfish Officer
using 5 dealers whenever they become available. The State Shellfish Officer shall make every
effort to achieve standardization using 5 dealers. If a State Shellfish Standardization Officer
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standardized under this option relocates to another state with five (5) or more dealers, that Officer
must be restandardized by the Regional FDA Shellfish Specialist through field standardization using
5 dealers.

IN ALL OF THE ABOVE OPTION CASES, THE STATE SHELLFISH STANDARDIZATION

OFFICER CANDIDATE MUST SUCCESSFULLY COMPLETE THE FDA CLASSROOM
TRAINING PORTION OF THE STANDARDIZATION PROCESS.

4. A state may choose to contract with another state which has a recognized State Standardization
Officer to conduct routine and pre-certification inspections.

Rationale:

NSSP Guidance Document - Shellfish Plant Inspection Standardization Procedures, in the Guide for the
Control of Molluscan Shellfish, establishes the procedures for measuring the training and performance of
an applicant to become a standardized State Shellfish Officer or Plant Inspector. NSSP Guidance
Document - Shellfish Plant Inspection Standardization Procedures requires that, during the plant
inspection phase of standardization, a minimum of 8 plants be jointly inspected by the FDA
Standardization Officer and the candidate for State Shellfish Officer. Three of the 8 plant inspections are
considered to be a review or warm-up inspections, and 5 inspections are counted as the official number of
inspections for the standardization process.

However, several states and foreign countries that participate in the ISSC and want to list firms on the
ICSSL have fewer than 5 plants within their jurisdiction. Therefore, they are unable to follow the
procedures set forth in NSSP Guidance Document - Shellfish Plant Inspection Standardization Procedures
to standardize a State official. NSSP Guidance Document - Shellfish Plant Inspection Standardization
Procedures addresses this issue vaguely, stating that, "For states that do not have 8 plants, all of the
available plants must be inspected with the Standard determining the appropriate review number."

To clarify this issue, FDA offers the above options. Election of any option will:

• Meet the intent of the standardization procedures;

• Maintain uniform requirements for Standardized State Officers; and
• Uphold the criteria for listing dealers on the ICSSL.

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Shellfish Sanitation Branch
Interstate Shellfish Sanitation Conference
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Interpretation Number: 09-I-@.02-101

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: November 5, 2004

Final: March 25, 2005

Interpretation Number: 09-I-@.02-101

Model Ordinance Reference: Chapter I@02.F (1)

Key Words: Inspections, unannounced, announced

Question:

The USFDA did not concur with ISSC adoption of Proposal 03-200. The FDA indicated that states
presently have the discretion to schedule inspections when unannounced visits are not successful. The
ISSC Executive Board and FDA agreed that resolution of the issue of unannounced inspections could be
accomplished by the development of an NSSP interpretation acknowledging state discretion.

Interpretation:

The Authority shall make unannounced inspections of the dealer's facilities unless extenuating
circumstances exist that would preclude this. Such extenuating circumstances are to be determined by the
Authority, at their discretion, as long as documentation detailing the extenuating circumstances is
maintained and the minimum inspection frequencies stipulated in §(1)(b) are met.

Rationale:

Unannounced inspections for HACCP and/or sanitation based food processing inspection programs
always offer the best evaluation of a firm's compliance with the rules and regulations that apply to a
process. For dealers regulated by the NSSP, the same reason for unannounced inspections applies to
shellfish facilities. The Authority should make every effort to conduct unannounced inspections at
shellfish facilities. It is recognized, however, that there are times when unannounced inspections may not
be feasible, or may create undo hardship on the Authority's shellfish inspection program. In all cases,
professional judgment should be used in determining when it is appropriate to announce an inspection,
and announced inspections should only be conducted when other options have been exhausted.

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Examples of instances where announced inspections should be considered include:

(A) When inspection staff members repeatedly have been unable to make contact with a facility
operator in order to conduct an inspection during operating hours (such as may occur with small
staffed operations that open intermittently, operations that open only seasonally, or facilities that are
open only during certain occasions);

(B) A dealer's facility is located a considerable distance from the inspector's office, such that
coordination is needed to ensure that the facility will be open and operating during an inspection visit,
thereby ensuring that the inspector can manage his/her workload and travel funds without wasting the
Authority's personnel time or budget.

Other References:

None

Contact:

U.S. Food and Drug Administration

Shellfish Safety Team, HFS-628
Division of Cooperative Programs
Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway
College Park, Maryland 20740-3834

Distribution:

FDA Regional Shellfish Specialists

FDA Regional Federal State and Cooperative Programs Managers
Division of Federal State Relations
FDA Office of Seafood
Interstate Shellfish Sanitation Conference
Shellfish MOU Authorities in Canada, Chile, Mexico, New Zealand, Korea

Date of Re-Issue:

April 25, 2006

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Interpretation Number: 09-III-@.02-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance
Date: October 8, 1997
Reissued: February 14, 2001
Revised: December 8, 2002
Revised: March 20, 2004
Reissued: September 1, 2004

Model Ordinance Reference: Chapter III @.02

NSSP Guide for the Control of Molluscan Shellfish, Guidance Document - Approved NSSP Laboratory
Tests
NSSP Guide for the Control of Molluscan Shellfish Guidance Document - Shellfish Laboratory
Evaluation Checklist - Microbiology

Key Words: Single Dilution, MPN, Adverse Pollution Condition Sampling, Seawater

Question: What are the options for use of a 12-tube single dilution most probable number (MPN) test for
growing area water samples?

Interpretation:

The 12-tube, single dilution MPN test may be used to survey shellfish growing waters in the Approved
classification in accordance with the conditions specified in this Interpretation. Table 1 is a summary of
the applicable criteria.

Table 1 – Applicable Criteria for use of the 12-Tube, Single Dilution MPN Test
12-tube, single dilution MPN Test, Approved Areas
Total Coliforms Fecal Coliforms
Use For routine monitoring and survey For routine monitoring and survey
Sample inocula 1 ml per tube 5 ml per tube
Count range 9 to 248 MPN 2 to 50 MPN
Standard 70 MPN/100 ml 14 MPN/100 ml
90th percentile/upper 10% 140 MPN 28 MPN

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Background:

The use of a single dilution MPN test for sampling shellfish growing waters emerged from the 8th
National Shellfish Sanitation Workshop in 1974. At that Workshop, it was recognized that the single
dilution MPN test is a simpler approach than either the 5 or 3-tube, multiple dilution MPN test because it
requires fewer tubes than the 5-tube, multiple dilution MPN test, media of one strength, no diluent,
quicker inoculation, less incubator and/or waterbath space, fewer pipets; and, generally yields better data.
The conventional MPN procedure simply uses multiple dilutions to expand the range of determinate
counts that can be obtained by the single dilution test procedure.

In their deliberations, Workshop conferees agreed:

1. That the number of tubes in each dilution for the multiple tube test may vary from standard
published tables to suit the purpose of a particular sampling program provided the confidence
limits of the test shall not exceed the upper confidence limits of a 3-tube, decimal dilution MPN
test.
2. That a 12-tube, single dilution series can be used to routinely monitor closure lines.
3. That the volume inoculated in the 12-tube, single dilution test should be such that when half the
tubes are positive, the MPN value would correspond to the value of the microbiological standard.

Requirements for sample volumes inoculated and numbers of tubes

Although there is no limit to the number of tubes that could be used in a single dilution MPN test,
Workshop conferees agreed to the use of the 12-tube, single dilution test as an alternative to the 3 and 5-
tube, decimal dilution tests. Specific criteria for determining sample inoculum were developed to meet the
requirement to maintain the value for the microbiological standard at 70 MPN/100 ml for total coliform
organisms and 14 MPN/100 ml for fecal coliform organisms when 6 of the 12 tubes in the single dilution
series are positive. The inoculum volumes required for the 12-tube, single dilution test have been
calculated as 1 ml per tube and 5 ml per tube for total and fecal coliform organisms respectively. The
range of determinate values for each sample volume is shown in Table 2.

Table 2 – MPN Table 12-tube, single dilution

1 ml sample inoculum 5 ml sample inoculum
Number of Positive Tubes MPN/100 ml Number of Positive Tubes MPN /100 ml
0 <9 0 <2
1 9 1 2
2 18 2 4
3 29 3 6
4 41 4 8
5 54 5 11
6 70 6 14
7 88 7 18
8 110 8 22
9 139 9 28
10 179 10 36
11 248 11 50
12 >248 12 >50
Range 9 to 248 Range 2 to 50

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Similar calculations for the use of the 12-tube, single dilution MPN test to meet the Restricted area
classification result in sample inocula of 0.1 ml per tube for the total coliforms and 0.8 ml per tube for
fecal coliforms. The range of determinate values for each sample volume is shown in Table 3.

Table 3 – MPN Table 12-tube, single dilution

0.1 ml sample inoculum 0.8 ml sample inoculum
Number of Positive Tubes MPN/100 ml Number of Positive Tubes MPN/100 ml
0 <87 0 <11
1 87 1 11
2 182 2 23
3 288 3 36
4 406 4 51
5 539 5 67
6 700 6 88
7 875 7 109
8 1099 8 137
9 1386 9 173
10 1792 10 224
11 2485 11 311
12 >2485 12 >311
Range 87 to 2485 Range 11 to 311

Potential classification impact – NSSP variability criteria

The water quality criteria of the National Shellfish Sanitation Program (NSSP) consist of two parts: the
measure of central tendency (geometric mean) and a measure of variability (the 90th percentile or upper
10%). In using a single dilution, the geometric mean value for the classification standard was required to
remain at the level of both the 3 and 5-tube tests (70 MPN/100 ml for total coliforms and 14 MPN/100 ml
for fecal coliform organisms in the Approved classification). The variability of the water quality data,
however, depends on the sampling variability of the test itself and other factors related to changing
conditions in the water being sampled. The NSSP has addressed this by using the upper two-sided 95%
confidence limit for the value of the microbiological standard and designating it as the 90th
percentile/upper 10%.

For a 3-tube, decimal dilution MPN test, the upper two-sided 95% confidence limit for a value of 70
MPN/100ml is 330 MPN/100 ml; for a 5-tube, decimal dilution MPN test, the upper two-sided 95%
confidence limit for a value of 70 is 230 MPN/100 ml. For a 12-tube, single dilution test, the upper two-
sided 95% confidence limit for a value of 70 MPN/100 ml is 140 MPN/100 ml. For a value of 14
MPN/100 ml, the upper two-sided 95% confidence limits for 3 and 5-tube, decimal dilution tests are 49
MPN/100 ml and 43 MPN/100 ml respectively. For the 12-tube, single dilution test, the upper two-sided
95% confidence limit for a value of 14 MPN/100 ml is 28 MPN/100 ml. Hence, the water quality criteria
for the 12-tube, single dilution MPN test for total coliforms in the Approved classification is a geometric
mean value of 70 MPN/100 ml and a 90th percentile/upper 10% of 140 MPN/100 ml; for fecal coliforms,
the NSSP water quality criteria for the Approved classification is a geometric mean value of 14 MPN/100
ml and a 90th percentile/upper 10% of 28 MPN/100 ml.

The 5-tube, decimal dilution MPN test is more precise than the 3-tube, decimal dilution test and the
greater precision is reflected in the reduced value of the 90th percentile/upper 10%. Notwithstanding the
difference in numerical values, each of these water quality criteria represent an equal probability that the
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waters being sampled are of the same sanitary quality. Since the 12-tube, single dilution MPN test has
been found to be more precise than the 5-tube, decimal dilution test over two-thirds of its range (from 3 to
11 tubes positive), the difference in the magnitude of the 90th percentile/upper 10% values (28 versus 43)
between the 12-tube and 5-tube tests is merely a function of the relative precision of the two tests and
represents an equal probability that the waters being sampled are of the same sanitary quality. Thus, the
impact on the water sampling program from the use of the 12-tube, single dilution test should be
negligible if properly applied.

Restricted Areas

By extending the guidelines developed by Workshop conferees, the 12-tube, single dilution test MPN
table (Table 3) could be used with geometric means of 700 MPN/100 ml for total coliforms and 88
MPN/100 ml for fecal coliforms. For these 12-tube, single dilution tests, the 90th percentile/upper 10%
would be an MPN of 1386/100 ml for total coliforms and an MPN of 173/100 ml for fecal coliforms.

Statistical Considerations

This method limits the range of determinate values obtainable and indeterminate values must be treated
mathematically to ensure that they receive proper consideration. Thus, by convention, a total coliform
MPN of <9 would be rendered as 8.9 MPN/100 ml; a fecal coliform MPN of <2 would be given as 1.9
MPN/100 ml. For the restricted classification, a total coliform MPN of <87 would become an MPN of 86
per 100 ml and the fecal coliform MPN of <11 would assume a value of 10 MPN/100 ml. High
indeterminates would be treated in the same manner. A total coliform MPN of >248 would be rendered as
250 MPN/100 ml; the fecal coliform MPN of 50 would assume a value of 51 MPN/100 ml. In the
restricted classification, the total coliform MPN of >2485 would become an MPN of 2500/100 ml; and,
the fecal coliform MPN of >311 would assume a value of 320 MPN/100 ml.

Because of the limited count range of the single dilution MPN, the 12-tube, single dilution MPN test has
been found to be inappropriate for use with the Systematic Random Sampling monitoring strategy. See
Interpretation number 02-IV-02-102 for details.

Other References

U.S. DHEW/PHS/FDA Shellfish Sanitation Branch, Proceedings Eighth National Shellfish Sanitation
Workshop, January 16-18, 1974, New Orleans, LA.

Contact

U.S. Food and Drug Administration

Shellfish Safety Team
5100 Paint Branch Parkway, (HFS-626)
College Park, MD 20740

Distribution

Shellfish Specialists
Shellfish Safety Team
Office of Seafood
Division of Federal State Relations
Interstate Shellfish Sanitation Conference
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Canada
Chile
Republic of Korea
New Zealand
Mexico

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Interpretation Number: 09-IV-@.02-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance
Date: January 4, 1995
Reissued: January 19, 2001
Revised: December 8, 2002

Model Ordinance Chapter IV @.02 D. (3) (a)

Reference: Chapter IV @.02 E. (3) (a)

Key Words: Water Samples; Time Interval; Adverse Pollution Conditions; Remote Areas

Question: What is the acceptable time interval between water

quality samples collected from approved growing areas
when using adverse pollution condition monitoring (IV
@.02 E. (3) (a)), or an approved area designated as
remote (IV @.02 D. (3) (a))?

Interpretation:

In accordance with Chapter IV @.02 E. (3) (a) and Chapter IV @.02 F. (6) (a), approved areas monitored
under adverse pollution conditions shall have a minimum of five (5) samples collected annually from
each station in the growing area. Samples shall be collected at intervals, which distribute them over a
twelve (12) month period unless it can be demonstrated through data analysis that adverse pollution
conditions are represented by a shorter time period. In this case, sampling may be limited to the reduced
time period and shall include a minimum of five (5) samples representative of the adverse pollution
condition. Sample collection shall be timed to distribute samples over the entire reduced monitoring
period.

In accordance with Chapter IV @.02 D. (3) (a), approved areas designated as remote shall have a
minimum of two (2) samples collected annually from each station in the area. Ideally, sample collection
shall be timed to distribute samples over a twelve (12) month period. If the two-sample minimum is
incorporated by the SSCA, then sample collection shall occur at a frequency of one (1) sample every six
(6) months.

It is always the option of the SSCA to collect more than the minimum number of samples required by the
Model Ordinance. When the SSCA elects to collect more than the minimum requirement, it is
recommended that additional samples be distributed over a twelve (12) month period.
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The Model Ordinance neither intends nor implies that sample collection be performed in a manner which
results in multiple samples per sampling station visit or multiple samples over several consecutive days or
weeks.

Rationale:

Although the Model Ordinance is not specific concerning the time interval between sample collection for
adverse pollution condition monitoring in approved areas, or for approved areas designated as remote, it
is a basic premise of the NSSP to coordinate sample collection to provide data representative of water
quality over time. Collection of multiple samples on the same day or over brief time intervals negates the
intent of the Model Ordinance and the SSCA's ability to evaluate data associated with changing
environmental conditions.

Supportive documentation is found in Chapter IV @.03 C. (3) (b ) (ii), which states that for conditionally
approved areas, "monthly water samples are required when the growing area is in the open status of its
conditional classification." Here, emphasis is placed on the need to sample monthly, qualifying the Model
Ordinance intent to sample at discrete time intervals necessary to provide representative temporal data.
Chapter IV @.02 F. (6) (b) (iii), specifies the requirements for systematic random sampling, stating, "A
minimum of six (6) random water samples shall be collected annually from each sample station in the
growing area" and Chapter IV @.02 F. (6) (b) (ii) states that "Sample collection shall be scheduled
sufficiently far in advance to support random collection with respect to environmental conditions." By
design, this strategy provides for the sampling of an area over a twelve (12) month period to ensure
collection under varying environmental conditions.

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Shellfish Sanitation Group/ Office of Seafood
SPIB Northeast Technical Unit
Interstate Shellfish Sanitation Conference

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Interpretation Number: 09-IV-@.02-101

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance
Date: November 27, 2001
Final: May 17, 2002
Revised: August 13, 2004
Reissued: September 1, 2004

Model Ordinance Reference: Chapter IV @.02 D, E, F and G

Key Words: Weighted 90th Percentile, Adverse Pollution Condition, Systematic Random Sampling,
Estimated 90th Percentile

Question: What is the procedure for determining the value of the 90th percentile to be used in the analysis
of sample data derived in the transition to a different MPN procedure?

Interpretation: A weighted 90th percentile value is calculated for each set of samples derived in the
transition to a different MPN procedure.

Rationale: A number of states have availed themselves of the advantages afforded by the action of the 8th
National Shellfish Sanitation Workshop in allowing the use of a virtual limitless combination of tubes and
dilutions in MPN procedures used in support of the National Shellfish Sanitation Program (NSSP). A
change in the combination of tubes and/or dilutions from those traditionally used in the NSSP alters the
precision or variability of the test and thus its associated 90th percentile. When a change in MPN
procedures is instituted, new data with a different 90th percentile must be phased into the existing sample
database. During this phase-in period a "hybrid" 90th percentile value must be calculated and used as the
variability component of the bacteriological standard against which the variability of sample data is to be
compared. This "hybrid" 90th percentile value is calculated by weighting the relative contributions of each
MPN method to the sample database. The resulting value is known as the weighted 90th percentile.
Weighted 90th percentile values can be used equally effectively with either Adverse Pollution Condition
(APC) or Systematic Random Sampling (SRS) regimes.

Calculations: The value of the weighted 90th percentile from a data set derived in the transition to a
different MPN procedure is calculated in the following manner:

a. Convert the 90th percentile values for both MPN procedures to their respective base 10
logarithmic values.
b. Multiply the logarithmic values for each MPN procedure by the number of samples in the
database examined by that procedure.
c. Add these logarithmic values, then divide by the total number of samples examined.
d. Take the antilog of this value.
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e. Round off conventionally to the nearest whole number.

f. This value is the weighted 90th percentile against which sample data is compared.
g. Recalculate the weighted 90th percentile when new data is added to the database.
h. Once all accumulated data is from the same MPN procedure and the transition in methodologies
is complete, the corresponding 90th percentile value for this MPN procedure is then used for
comparing sample data.

Example 1

Data was gathered for a sampling station under the APC sampling regime. The growing area which
encompasses this sampling station is in the approved classification. The first ten samples in the database
were examined by the traditional 5-tube, decimal dilution MPN test for fecal coliforms. The remaining
five samples required under APC sampling were analyzed by the 12-tube, single dilution MPN test for
fecal coliforms. The 90th percentile value for the 5-tube, decimal dilution MPN test for fecal coliforms is
43. The 90th percentile value for the 12-tube, single dilution MPN test is 28. The weighted 90th percentile
value which results from this data will lie somewhere between the 90th percentile values of the MPN
procedures used. Its proximity to either method's 90th percentile value will depend on the relative number
of samples analyzed from each method. Since most of the samples in this example were derived from the
5-tube MPN test, the 90th percentile value calculated will be weighted toward 43.

To calculate the weighted 90th percentile for this data set:

a. The 90th percentile values of 43 for the 5-tube, decimal dilution MPN test and 28 for the 12-tube,
single dilution MPN test are converted to base 10 logarithms. This gives base 10 log values of
1.633 and 1.447 respectively.
b. The base 10 log values are then multiplied by the number of samples in the database examined by
each MPN procedure used. Ten of 15 samples were analyzed by the 5-tube, decimal dilution
MPN test. The remaining 5 of 15 were examined by the 12-tube, single dilution test. This gives
1.633 for the 5-tube test x 10 samples = 16.330 and 1.447 for the 12-tube, single dilution test x 5
samples = 7.235.
c. These values are added together and the resultant divided by the total number of samples in the
database being used. Thus, 16.330 + 7.235 = 23.565, 23.565/15 =1.571.
d. The antilog of this value is taken. In this example, the antilog of 1.571 is 37.239.
e. The antilog value is rounded off to the nearest whole number which in this example is 37.
f. The weighted 90th percentile for this data set is 37. Thirty-seven (37) is the 90th percentile value
which cannot be exceeded more than 10% of the time by the sample station data in this data set
under the APC sampling regime for this station to remain in the approved classification status.
When new data is added to the database of this sampling station, the value of the weighted 90th
percentile would have to be recalculated until the transition in methodologies is completed and all
the data from this sampling station is derived from the same MPN procedure. At this time, the
corresponding 90th percentile value of 28 for the 12-tube, single dilution MPN procedure in use
will be employed in comparisons with sample data.

Example 2

Data was derived from a sampling station under the SRS sampling regime. The growing area which
encompasses this sampling station is also in the approved classification for fecal coliforms. The first 18
of 30 samples were analyzed using the 5-tube, decimal dilution MPN test. The remaining 12 of 30
samples were examined using a 3-tube, decimal dilution MPN test. The 90th percentile values for the 5-
tube, decimal dilution test in the approved classification status is 43. That for the 3-tube, decimal dilution
MPN test is 49. Again the value for the weighted 90th percentile will be somewhere between the
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respective 90th percentile values of both MPN methods. Its proximity to either is a function of the number
of samples in the data set contributed by each MPN procedure. In this example, a somewhat greater
number of samples were derived from use of the 5-tube, decimal dilution MPN test; so that, the value of
the 90th percentile will be weighted in that direction also.

To calculate the weighted 90th percentile for this data set

a. The 90th percentile values of 43 for the 5-tube, decimal dilution MPN test for fecal coliforms and
49 for the 3-tube, decimal dilution MPN test for fecal coliforms are converted to base 10 logs.
This gives base 10 log values of 1.633 for the 5-tube, decimal dilution test and 1.690 for the 3-
tube, decimal dilution MPN test.
b. These base 10 log values are then multiplied by the number of samples in the database analyzed
by each MPN procedure. In this example, 18 of 30 samples were examined by the 5-tube, decimal
dilution MPN test: and, 12 of 30 samples were analyzed by the 3-tube, decimal dilution MPN
test. This gives 1.633 for the 5-tube, decimal dilution MPN test x 18 samples = 29.394 and 1.690
for the 3-tube, decimal dilution MPN test x 12 samples = 20.280.
c. These values are added together and the resultant divided by the total number of samples in the
database being used. Thus, 29.394 + 20.280 =49.674, 49.674/30 = 1.656
d. The antilog of this value is determined. In this example, the antilog of 1.656 is 45.269.
e. This antilog value is rounded to the nearest whole number which in this example is 45.
f. The weighted 90th percentile value for this data set is 45. Forty-five (45) is the value of the 90th
percentile which will be compared to the estimated 90th percentile calculated from the data in the
sample data set collected under the SRS sampling regime and examined using the two different
MPN methods. To remain in the approved status the estimated 90th percentile calculated from this
data set must be less than or equal to the value determined for the weighted 90th percentile of the
data set. Again the weighted 90th percentile will have to be recalculated as new data becomes
available. This recalculation must continue until the transition in methodologies is completed and
all the data from this sampling station has been derived from the same MPN procedure. At this
time, the corresponding 90th percentile of 49 for the 3-tube, decimal dilution MPN procedure in
use will be employed in comparisons to the estimated 90th percentiles calculated directly from the
sampling data.

Example 3

Data in this example was collected from a sampling station under the SRS sampling regime. This
sampling station is in an area classified as restricted. The first 24 of the 30 samples collected were
analyzed by the 5-tube, decimal dilution MPN test for fecal coliforms. The remaining 6 samples of the 30
collected were analyzed using a 5-tube, fivefold dilution MPN test for fecal coliforms. The 90th
percentile value for each of these MPN procedures is 260 and 190 respectively. The value of the weighted
90th percentile for this data set will be somewhere between 190 and 260. The proximity to either value
will depend on the respective number of samples analyzed by each MPN method. In this example, most
of the samples were derived from the 5-tube, decimal dilution MPN test. Consequently, the 90th percentile
value will be heavily weighted in that direction.

To calculate the weighted 90th percentile for this data set:

a. The 90th percentile values of 260 for the 5-tube, decimal dilution MPN test for fecal coliforms
and 190 for the 5-tube, fivefold dilution MPN test for fecal coliforms are converted to base 10
logs. This gives a base 10 logarithmic value of 2.415 for the 5-tube, decimal dilution MPN test
and 2.279 for the 5-tube, fivefold MPN test.

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b. These base 10 log values are then multiplied by the number of samples in the database analyzed
by each MPN procedure. In this example, the 5-tube, decimal dilution MPN was used in the
analysis of 24 of the 30 samples while the 5-tube, fivefold dilution MPN was used to test the
remaining 6 samples. Hence, 2.415, the log 90th percentile value for the 5-tube, decimal dilution
MPN test is multiplied by 24, the number of samples tested by this MPN procedure to give
57.960; and, 2.279, the log 90th percentile value for the 5-tube, fivefold dilution MPN test is
multiplied by 6, the number of samples obtained using this MPN procedure to give 13.674.
c. These values are added together and subsequently divided by the total number of samples
analyzed by both methods. In this example, 57.960 + 13.674 = 71.634, 71.634/30 = 2.388.
d. The antilog of this value is determined. In this example the antilog of 2.388 is 244.343.
e. This antilog is conventionally rounded to the nearest whole number which in this example is 244.
f. The weighted 90th percentile value for the data set is 244. Two hundred forty-four (244) is the
value of the 90th percentile which will be compared to the estimated 90th percentile calculated
from the data in the sample data set collected under the SRS sampling regime and examined using
the two MPN methods. To remain in the restricted classification, the estimated 90th percentile
calculated from the data set will have to be less than or equal to the value of the weighted 90th
percentile obtained from the data set. This weighted 90th percentile value will need to be
recalculated as more data becomes available and until such time as the transition in
methodologies is completed and all the samples have been derived from the same MPN
procedure. When this occurs, the corresponding 90th percentile of 190 for the 5-tube, fivefold
dilution MPN procedure in use will be employed in comparisons to the estimated 90th percentile
calculated directly from the sampling data.

Example 4

Data in this example was collected from a sampling station under the APC sampling regime. This
sampling station is in the approved classification and 5 of 15 samples in the database were tested by the 5-
tube, decimal dilution MPN test for total coliforms. The remaining 10 samples in the database were
analyzed by the 3-tube, decimal dilution MPN test for total coliforms. The 90th percentile value for each
of these MPN tests were 230 and 330 respectively. The value of the weighted 90th percentile will be
somewhere between 230 and 330. Its proximity to either value depends on the respective number of
samples analyzed by each MPN procedure. In this example, the preponderance of samples were tested by
the 3-tube MPN procedure. As a result, the value of the 90th percentile will be weighted more heavily
toward 330.

To calculate the weighted 90th percentile for this data:

a. The 90th percentile values of 230 for the 5-tube, decimal dilution MPN test for total coliforms
and 330 for the 3-tube, decimal dilution MPN test for total coliforms are converted to base 10
logarithms. This gives base 10 log values of 2.362 and 2.519 respectively.
b. These base 10 log values are then multiplied by the number of samples in the database analyzed
by each MPN procedure. In this example, 5 of 15 samples in the database were analyzed by the 5-
tube, decimal dilution MPN test. The remaining 10 of 15 samples were examined by the 3-tube,
decimal dilution test. Thus, the base 10 log value of 2.362, the 90th percentile of the 5-tube MPN
procedure for total coliforms is multiplied by the 5 samples tested by this MPN method to give
11.810. In addition, the base 10 log value of 2.519, the 90th percentile of the 3-tube MPN test for
total coliforms is multiplied by the 10 samples examined by this MPN procedure to give 25.190.
c. These values are added together and the resultant divided by the total number of samples in the
database being analyzed. In this example, 11.810 + 25.190 = 37.000, 37.000/15 = 2.467.
d. The antilog of this value is determined. For this example, the antilog of 2.467 is 293.089
e. This antilog is rounded off to the nearest whole number which in this case is 293.
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f. The weighted 90th percentile for this data set is 293. Two hundred ninety three (293) is the value
for the 90th percentile that cannot be exceeded more than 10% of the time by this sampling station
under APC for it to remain in approved classification status. The value for the weighted 90th
percentile must be recalculated as more data becomes available. This will continue until the
transition in methodologies is completed and all samples in the database have been analyzed
using the same MPN procedure. When this happens, the corresponding 90th percentile of 330 for
the 3-tube, decimal dilution MPN procedure in use will be employed in comparisons with the
sample data.

Other References:

1. Schaum's Outline Series Theory and Problems of Statistics, Second Edition, 1994, McGraw Hill,
Inc.
2. U.S. DHEW/PHS/FDA Shellfish Sanitation Branch, Proceedings 8th National Shellfish Sanitation
Workshop, January 16-18, 1974, New Orleans, LA.

Contact:

U.S. Food and Drug Administration

Shellfish Safety Team
5100 Paint Branch Parkway (HFS-626)
College Park, Maryland 20740-3835

Distribution:

Shellfish Specialists
Division of Federal State Relations
Shellfish Sanitation Group/Office of Seafood
Interstate Shellfish Sanitation Conference
Canada
Chile
Republic of Korea
New Zealand

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Section VIII. FDA Manual of Interpretations Page 1 of 2

Interpretation Number: 09-IV-@.02-102

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: April 4, 2003

Final Date: December 31, 2003

Model Ordinance Reference: Chapter IV @.02 F(5)

Guidance Documents, Systematic Random Sampling Monitoring Strategy

Key Words:

Systematic Random Sampling, Estimated 90th Percentile, Intermittent Nonpoint Pollution Events, 12-tube,
single dilution MPN

Question:

Is it acceptable to apply the formula currently used in Systematic Random Sampling to calculate the
estimated 90th percentile of data derived from a 12-tube, single dilution MPN test?

Interpretation:

It is not acceptable to apply the formula currently used in Systematic Random Sampling to calculate the
estimated 90th percentile of data derived from a 12-tube, single dilution MPN test.

Rationale:

The purpose of the estimated 90th percentile is to provide a tool to measure the impact of intermittent
nonpoint pollution events on growing area water quality under the Systematic Random Sampling
monitoring strategy. It does this by providing an estimate of the variability of the data. If water quality is
affected by intermittent nonpoint pollution events, the effect of these events will be reflected in the
variability of the data and through the use of suitable calculations this variability can be captured as the
estimated 90th percentile.

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Currently the procedure for calculating the estimated 90th percentile requires the use of at least 30
samples. With a data set of this size, a significant impact on the variability of the data and as a
consequence, its estimated 90th percentile from the effects of intermittent nonpoint pollution events can
only be detected by the occurrence of several high to very high bacterial counts in the data set. Therefore,
in order to use the estimated 90th percentile as intended, the method of bacterial enumeration must be
capable of operating over a wide range in counts.

A 5-tube, decimal dilution MPN test operates over a count range of <2 to >1,600. The 3-tube, decimal
dilution test operates over a count range of <3 to >1,100. Both of these MPN tests have a wide count
range and are capable of measuring the higher count levels necessary for the estimated 90th percentile to
function. The 12-tube, single dilution MPN test on the other hand, operates over a count range of <9 to
>248 for total coliforms and <2 to >50 for fecal coliforms. Both of these count ranges are quite limited
and obviously are not capable of measuring the higher counts necessary for the estimated 90th percentile
to function in the same manner as the 5 and 3-tube, decimal dilution MPN tests.

The Model Ordinance requires the use of at least 30 samples to calculate 90th percentile values when
using Systematic Random Sampling. With a data set of this size, it is impossible for the 12-tube, single
dilution MPN test with its limited count range to measure bacterial densities when they occur at the levels
necessary to demonstrate an impact from intermittent nonpoint pollution events. As a consequence, any
significant effect on water quality that may occur as a result of these intermittent nonpoint pollution
events is unlikely to be detected when using the 12-tube, single dilution MPN test for monitoring under
Systematic Random Sampling. Therefore, the 12-tube, single dilution MPN test is inappropriate for use
with the Systematic Random Sampling monitoring strategy. Only test procedures which generate a broad
range of counts should be used to monitor for the effects of intermittent nonpoint pollution events within
the context of the Systematic Random Sampling strategy. Currently these testing procedures are limited to
multiple dilution MPN tests and the mTEC membrane filter procedure when filtering multiple (half log)
dilutions.

Contact:

U.S. Food and Drug Administration

Shellfish Safety Team (HFS-626)
5100 Paint Branch Parkway
College Park, Maryland 20740-3835

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Office of Seafood
Interstate Shellfish Sanitation Conference

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Section VIII. FDA Manual of Interpretations Page 1 of 2

Interpretation Number: 09-VIII-.03-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: March 20, 1996

Revised: December 8, 2002

Model Ordinance Chapter VIII. 03

Reference:

Key Words: Vibrio vulnificus, matrix, AMMWT

Question: What is the procedure for calculating the average monthly

maximum water temperature (AMMWT) used in applying
the Vibrio vulnificus control matrix?

Interpretation:

The state shellfish control authority shall determine, for each shellfish growing area, the AMMWT for
each month using historical water temperature data for each of the previous five (5) years.

The procedure for calculating the AMMWT for each shellfish growing area is as follows:

1. List the maximum water temperature recorded for each day of the month.
2. Calculate the average maximum water temperature for the month using the daily water
temperatures listed in step 1. NOTE: If water temperature data are not available for each day of
the month, then use temperature data for those days it is available. These data shall be
representative of water temperatures observed throughout the month.
3. Perform steps 1 and 2 for each month for each of the previous five years.
4. Determine the AMMWT by calculating the mean of the five (5) average maximum water
temperatures from step 3 for each month.

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Rationale:

The procedure outlined above is consistent with the intent of the 1995 ISSC to calculate the AMMWT
using maximum daily water temperatures, not the single warmest water temperature recorded during the
month. This procedure is identical to that used to calculate average maximum monthly air temperatures
(AMMAT) required under Chapter VIII. 03.

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Division of Cooperative Programs
Interstate Shellfish Sanitation Conference

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Section VIII. FDA Manual of Interpretations Page 1 of 3

Interpretation Number: 09-XI-.01-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: October 26, 1998

Revised: December 8, 2002

Model Ordinance Chapter I @.02 H.(2)(c)-(e)

Reference: Chapter XI 01.B.(2) and 01.C and 01.D
Chapter XII 01.B and 01.C
Chapter XIII 01.B.(2)
Chapter XIV 01.B and 01.C

Key Words: Time/Temperature abuse, Enforcement Follow-up, Microbiological testing

Question: Is microbiological testing by the shellfish control

authority a suitable means of determining whether a
critical deficiency exists when a dealer fails to control
shellstock or shucked product time/temperature exposure
during storage or processing as specified in the above
referenced sections of Chapters XI, XII, XIII, and XIV.
If such a critical deficiency exists, is microbiological
testing (i.e. where the product may be released if no
microbiological contaminants are found at or above
levels of concern) a suitable enforcement follow-up?

Interpretation:

Failure to comply with the time/temperature exposure conditions specified in the referenced sections of
the Guide for the Control of Molluscan Shellfish Chapters XI, XII, XIII, and XIV constitutes a critical
deficiency. Chapter X. 0l. C. (2) and (3) states that, even if processors choose to select critical limits other
than those specified in these referenced sections, they must meet the conditions as components of good
manufacturing practice. Violation of the temperature control requirements is a critical deficiency. When a
critical deficiency is observed, product must be controlled to prevent contaminated or adulterated shellfish
from reaching consumers. Microbiological testing is not a suitable means of determining whether the
deficiency is a critical deficiency. There are no provisions in the NSSP for any rating other than critical
for such deficiencies.
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The referenced sections of Chapter I state that when a critical deficiency is detected during an inspection,
the dealer must correct the deficiency during the inspection and must cease production affected by the
deficiency until the deficiency is corrected. Failing that, the Shellfish Control Authority must immediately
begin certification suspension or revocation proceedings. Additionally the Authority is required to ensure
that contaminated or adulterated product does not reach the consumer.

A suitable correction for a time/temperature abused product is destruction or processing the product in
such a way that the microbiological hazard is eliminated (e.g. thermal processing) and modifying plant
operations in such a way that a reoccurrence of the deficiency is not likely (e.g. pre-chilling product,
reducing the size of the shucking or finished product containers, adding ice to the product during
processing, making adjustments to or repairs to mechanical cooling systems). If these kinds of corrections
are not enacted during the course of the inspection, the Shellfish Control Authority must immediately
initiate certification revocation or suspension proceedings.

Microbiological testing (i.e. where the product may be released if microbiological contaminants are not
found at or above levels of concern) is not a suitable means of ensuring that contaminated or adulterated
product does not reach the consumer. The sample size necessary to ensure that any one microbiological
contaminant is not present is prohibitively large, especially considering the low levels of organisms of
concern and the typically high variability of the lot. Additionally, microbiological analysis will only
provide information on the pathogen for which analysis was performed and low levels of indicator
organisms is not a reliable assurance that pathogens are not present in the product.

Where the dealer fails to take the appropriate corrective action as outlined above and required by I.@.02
H.(2)(c), the shellfish Control Authority must initiate decertification procedures, as required by I.@.02
H.(2)(d), and must ensure that the product is removed from commerce or is processed to eliminate the
hazard, consistent with I.@.02 H.(2)(e).

Rationale:

Shellfish is a potentially hazardous food, particularly since it is frequently consumed raw. Consequently,
controls must be in place to prevent the growth of naturally occurring pathogens as well as pathogens that
may be introduced into the product during processing. Rapid chilling and holding the product at
refrigeration temperature are two of the most practical and effective means of controlling the microbial
hazards in raw molluscan shellfish.

Naturally occurring Vibrio sp., such as Vibrio vulnificus and Vibrio parahaemolyticus, are human
pathogens found in shellfish. During periods of warm water temperature, the number of these organisms
may increase to high levels and further bioaccumulate in the shellfish during processing and storage.
These organisms grow rapidly at temperatures of 70 degrees F or above (one log increase in 2 hrs).
Conversely, little or no growth occurs at temperatures at or below 45 degrees F. Therefore, it is critical for
shellfish products to be rapidly chilled to and held at 45 degrees F or less. Further, enteric pathogens may
be introduced into the shellfish through improper handling during post harvest practices (e.g. use of
contaminated water for shellstock washing or wet storage) or during shucking and repacking operations.
Growth of these pathogenic organisms may also be prevented by rapidly chilling the product to 45
degrees F or less.

Other References:

1. 21 Code of Federal Regulations, Part 123 - Fish and Fishery Products, Government Printing
Office, Washington , DC
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2. 21 Code of Federal Regulations, Part 110 - Current Good manufacturing Practice in

Manufacturing, Packing, or Holding Human Food, Government Printing Office, Washington , DC

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Office of Seafood
Interstate Shellfish Sanitation Conference

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2009 NSSP Guide for the Control of Molluscan Shellfish

Section VIII. FDA Manual of Interpretations Page 1 of 3

Interpretation Number: 09-XI-.02-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance

Date: October 26, 1998

Revised: December 8, 2002

Model Ordinance
Reference: Chapter I.@.02H.(2) (c)-(e)
Chapter XI. 02. A. (2)
Chapter XI. 02. E. (4)

Key Words: Ice, sanitary quality, stored, protected, adulteration

Question: 1) What are the factors affecting the sanitary quality of ice and actions that should be taken
when ice is improperly stored, protected or subject to adulteration?

Interpretation:

Ice is a regulated food which is used or intended for use on molluscan shellfish either in-shell or shucked
for human consumption. Ice must be protected from adulteration as defined in the Food, Drug and
Cosmetic Act §402.

In accordance with the Guide for the Control of Molluscan Shellfish any ice used in the processing,
storage or transport of shellstock or shucked shellfish shall be made on-site from potable water in a
commercial machine; or received from a facility sanctioned by the appropriate regulatory authority. Ice
must be stored in a safe and sanitary manner to prevent its contamination.

The dealer shall use only equipment and utensils, including approved plastic ware which are: (1)
constructed in a manner and with materials that can be cleaned, sanitized, maintained or replaced in a
manner to prevent contamination of ice and shellfish products; and, (2) free from any exposed screws,
bolts, or rivet heads on food contact surfaces. The dealer shall assure that all joints on food contact
surfaces: (1) have smooth easily cleanable surfaces; and (2) for stainless steel, are welded. "Item 12 - Ice:
approved source, sanitary, protected" is designated as a Swing item and identified as either a Key or
Critical deficiency (NSSP Standardized Shellfish Processing Plant Inspection Form (ISSC Form 93-
01(A).)

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Key Deficiency: Applies when conditions may lead to adulteration of ice.

Critical Deficiency: Applies when the ice is visibly adulterated.

Key Conditions:

The following conditions are representative of Key deficiencies:

• Improperly constructed, maintained, cleaned, and sanitized walk-in coolers, insulated rooms, or
other storage containers;
• Improperly constructed, cleaned, sanitized and stored totes, scoops, shovels, or other utensils used
in handling ice;
• Ice making machines not maintained or protected (reservoir).

Corrective Actions:

Ice storage unit:

• Discontinue the use;

• Set a correction schedule for cleaning, repair, or replacement

Ice handling equipment:

• Discontinue use, clean and sanitize; or

• Replace with approved equipment

Ice machines:

• Shut down and initiate cleaning and/or repair.

Critical Conditions:

The following conditions are representative of Critical conditions:

• Dirt or other debris such as insulation, or paint chips observed in the ice;
• Ice is observed to be exposed to mold, slime, rust, condensate from cooler evaporator units, or
other sources of adulteration.
• Ice exposed to foot traffic and observed to be used in direct contact with product;
• Stored food items in the ice.

Critical deficiency corrective action:

1. Discard ice;
2. Repair or replace ice storage units and equipment which caused the ice to be adulterated, or
obtain ice from another source;
3. Destroy all product exposed to ice produced under conditions of adulteration

Where the dealer fails to take the appropriate corrective action as outlined above and required by Chapter
I. @02. H. (2) (a), the shellfish Control Authority must initiate decertification procedures, as required by
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Chapter I. @02. H. (2) (b), and must ensure that the product is removed from commerce or is processed to
eliminate the hazard, consistent with Chapter I. @02. H. (2) (c).

Rationale:

Ice is considered a food when used in direct contact with shellfish. As a food ice must be stored and
handled in the same sanitary manner as any other food product. No food product shall enter into
commerce that is either injurious to health or is otherwise adulterated. Contaminated ice used in direct
contact with shellfish will cause the shellfish to be adulterated. Each shellfish dealer must protect
molluscan bivalves and food contact surfaces from adulteration with lubricants, fuel, pesticides, cleaning
compounds, sanitizing agents, condensate and other chemical, physical and biological contaminants.

All materials used in equipment, utensils, walk in coolers, or rooms used to make or store ice must meet
food contact surface requirements. A preventive or corrective measure should be used to control an
identified food safety hazard to ensure that no product shall enter into commerce that is either injurious to
health or is otherwise adulterated.

Other References:

1. Food and Drug Administration, "Federal Food, Drug and Cosmetic Act", Government Printing
Office, Washington, DC
2. Food and Drug Administration, "1997 Food Code", Washington, DC.
3. 21 Code of Federal Regulations, Part 123 - Fish and Fishery Products, Government Printing
Office, Washington, DC
4. 21 Code of Federal Regulations, Part 110 - Current Good Manufacturing Practice in
Manufacturing, Packing, or Holding Human Food, Government Printing Office, Washington, DC

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Office of Seafood
Interstate Shellfish Sanitation Conference

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Section VIII. FDA Manual of Interpretations Page 1 of 3

Interpretation Number: 09-XI-.02-101

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance
Date: January 15, 1999
Revised: December 8, 2002

Model Ordinance Chapter XI. 02. B. (1)

Reference: Chapter XI. 02. B. (2)

Key Words: Food contact surfaces, cleaning, sanitizing, equipment construction

Question: 1) What is a food contact surface?

2) What constitutes effective cleaning and sanitizing of a food contact surface?
3) What constitutes acceptable construction of shellstock grinders and parts thereof are considered food
contact surfaces?

Interpretation:

1) A food contact surface means a surface of equipment or a utensil with which food normally
comes into contact; or a surface of equipment or a utensil from which food or liquid may drain, drip,
or splash into a food; or onto a surface normally in contact with food. Food contact surfaces include,
but are not limited to, equipment and utensils such as; shucking knives and handles, shucking
hammers and handles, shucking blocks, ice scoops and shovels, ice bins, skimmers, blower tanks,
shucking pails, shellstock grinders.

2) Food-contact surface shall be clean to sight and touch. Cleaning and sanitizing shall occur prior to
use each day and any time during use when contamination may have occurred. At a minimum, food
contact surfaces shall be cleaned and sanitized every four hours. More frequent cleaning may be
necessary depending on the characteristics of the equipment and its use and the amount of food
residue accumulation. At the end of each day, food contact equipment and utensils shall be washed
and rinsed.
Food contact surfaces shall be effectively washed to remove or completely loosen soils by manual or
mechanical means such as the application of detergents; hot water; brushes; or high pressure sprays.
If washing in sink compartments is impractical such as when equipment is fixed or utensils are too
large, washing shall be done using an alternative manual procedure. In such instances, washing shall
be facilitated by 1) disassembling equipment as necessary to allow access of the detergent solution to
all parts and equipment components and 2) utensils shall be scraped or rough cleaned to remove food
particle accumulation.
The cleaning of food contact surfaces shall occur prior to sanitizing in order for the sanitizer to be
effective in destroying vegetative bacteria. Sanitizers may be applied by immersion, spraying or
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Section VIII. FDA Manual of Interpretations
Interpretation Number: 09-XI-.02-101 Page 2 of 3

brushing. Sanitizer concentration shall be in accordance with the manufacturer's directions on the
label.

3) Parts of a shellstock grinder which are considered food contact surfaces include; the blade, the area
behind the blade including the motor shaft from the blade to the motor housing, and the inside surface
of the housing or cover surrounding the blade. These food contact parts shall be manufactured from
high impact materials that are easily cleanable and non-corrosive. The grinder must be constructed to
be easily disassembled and assembled to facilitate inspection, maintenance, cleaning, and sanitizing.

Guidelines for grinder construction:

1. The motor shaft should be of corrosion resistant material.

2. Juncture point where the motor shaft enters the blade chamber must be sealed to reduce dirt and
detritus deposition around the shaft.
3. The blade must be made from a single piece of high impact non-corrosive material. Blade teeth
must be an integral part of the blade, or if grinding surfaces are used instead of teeth, they must
be welded to the face of the blade with all welds ground smooth.
4. The housing around the blade assembly must be constructed of material that is corrosion resistant.
5. Bolts or screws must be constructed of corrosion resistant material to prevent rust and corrosion.
6. The inside surface of the blade housing must be smooth, and if welded ground smooth for easy
cleaning.
7. The blade housing must be designed with an easily removable cover that will open up the entire
blade assembly area to facilitate inspection, cleaning, sanitizing, and maintenance.

Rationale:

Each shellfish dealer is responsible for assuring that all food contact equipment and utensils meet the
design, construction, repair, and cleaning requirements of the NSSP, Guide for the Control of Molluscan
Shellfish. Food contact surfaces must be cleaned and sanitized at a minimum frequency and in accordance
with proper procedures to prevent contamination of shellfish by microbial pathogens and chemicals.
Consistent with the FDA Food Code, cleaning and sanitizing shall occur at least every four hours and
where necessary more often, depending on the accumulation of food debris or exposure to other
contaminants. Under the NSSP Guide for the Control of Molluscan Shellfish and 21 CFR, Part 123,
shellfish dealers are responsible for monitoring and maintaining records of the cleaning and sanitizing of
food contact surfaces.

Other References:

1. 21 Code of Federal Regulations, Part 110 - Current Good Manufacturing Practice in

Manufacturing, Packing, or Holding Human Food, U.S. Food and Drug Administration.
2. 21 Code of Federal Regulations, Part 123 - Fish and Fishery Products, U.S. Food and Drug
Administration.
3. 1997 Food Code, U.S. Food and Drug Administration.
4. Food Equipment American National Standard NSF International Standard ANSI/NSF, NSF
International, Ann Arbor, MI, 48113.

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
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5100 Paint Branch Parkway (HFS-628)

College Park, MD 20740

Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Office of Seafood
Interstate Shellfish Sanitation Conference
Laboratory Evaluations Officer
Canada / Chile / Republic of Korea / New Zealand

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National Shellfish Sanitation Program
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Section VIII. FDA Manual of Interpretations Page 1 of 3

Interpretation Number: 09-XV-.03-100

National Shellfish Sanitation Program

U.S. Food and Drug Administration
Shellfish Safety Team
Division of Cooperative Programs
Office of Compliance
Date: February 14, 2001
Revised: December 8, 2002

Model Ordinance Chapter XV. 03. L. (1) (c)

Reference: NSSP Guidance Documents
Approved NSSP Laboratory Tests

Key Words:

Sample Volume, Fecal Coliform Counts, MPN Table and Count Range

Question:

What sample volume is inoculated in the 12-tube, single dilution MPN test for end product depurated
shellfish samples?

How are fecal coliform counts determined using the 12-tube, single dilution MPN test for end product
depurated shellfish?

Interpretation:

Two (2) mls (1 gram) of a 1:1 dilution of shellfish homogenate is inoculated into each tube of single
strength lauryl tryptose presumptive broth in the 12-tube, single dilution MPN test for end product
depurated shellfish samples. Inoculated tubes are incubated in an air incubator at 35°C for 24 hours. Any
gas positive presumptive broth tubes are then subcultured to EC medium and incubated in a water bath at
44.5°C for 24 hours. The presence of any amount of gas or effervescence in the EC tubes constitutes a
positive test. Fecal coliform counts are read from the MPN Table below and reported as MPN/100 grams.

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MPN Table for End-product Depurated Shellfish Samples

Number of Positive Tubes MPN/100 grams

0 < 9.0
1 9.0
2 18
3 29
4 41
5 54
6 70
7 88
8 110
9 139
10 179
11 248
12 >248
Count range 9 to 248

Rationale:

The use of the 12-tube, single dilution MPN test for end-product depurated shellfish was established as an
acceptable method of analysis with the ISSC's adoption of the rewrite of Model Ordinance, Chapter XV,
the Depuration Chapter in 1998. However, no specific guidance was provided on sample volumes to be
examined or how fecal coliform counts were to be determined. Since the volume of sample inoculated in
a single dilution MPN test controls the range of counts that can be determined, it is essential that an
appropriate volume be inoculated to encompass the count range prescribed as the critical limits for
depuration plant performance listed for all shellfish species encountered.

The inoculation of two (2) ml (yielding 1 gram) of sample from an initial 1:1 dilution of shellfish
homogenate into each tube of the 12-tube, single dilution MPN produces a range of counts from 9 to 248.
This range is sufficient to cover the critical limits of performance of all shellfish types listed in Chapter
XV. 03. L (1) (c).

Remarks:

Comments received from the review of the draft version of Interpretation 03-XV-.03-100 indicated that
the content of the Interpretation was too broad to be dealt with effectively in a single Interpretation. For
this reason, this second Interpretation was developed from information presented in the first concerning
the correct application of the single dilution MPN test to end product depurated shellfish.

Contact:

U.S. Food and Drug Administration

Center for Food Safety and Applied Nutrition
5100 Paint Branch Parkway (HFS-628)
College Park, MD 20740
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Distribution:

Shellfish Specialists
Regional Federal State Program Managers
Division of Federal State Relations
Office of Seafood
Interstate Shellfish Sanitation Conference

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National Shellfish Sanitation Program
2009 NSSP Guide for the Control of Molluscan Shellfish

Section IX. History of The National Shellfish Sanitation Program Page 1 of 9

Introduction

The National Shellfish Sanitation Program (NSSP) was developed in 1925 when the U. S. Public Health
Service responded to a request for assistance from local and state public health officials in controlling
disease associated with the consumption of raw shellfish (oysters, clams, and mussels).

The public health control procedures established by the Public Health Service were dependent on the
cooperative and voluntary efforts of State regulatory agencies. These efforts were augmented by the
assistance and advice of the Public Health Service (now the Food and Drug Administration) and the
voluntary participation of the shellfish industry. These three parties combined to form a tripartite
cooperative program. The guidelines of the program have evolved into the NSSP Handbook which is
managed and updated by the Interstate Shellfish Sanitation Conference (ISSC).

A Declaration of Principles

Oysters, clams and mussels are unique foods which have been enjoyed by consumers for many years. The
popularity of shellfish as a food can be traced through several centuries of American history. To early
settlers, the food resources of the sea were one of the most valuable and readily usable of the natural
resources, particularly from the estuaries. It is not surprising that shellfish were foremost among their
staple food items.

The value of these renewable natural resources to the early settlers was reflected in colonial legislation
designed to encourage their wise use. Over 300 years ago in 1658, the Dutch Council of New Amsterdam
passed an ordinance regulating the taking of oysters from the East River. Other early legislation,
including that of New York (1715), New Jersey (1730), and Rhode Island (1734), was designed to
regulate harvesting, presumably as conservation measures to guarantee a continuing supply.

Public health controls of shellfish became a national concern in the U.S. in the late nineteenth and early
twentieth century when public health authorities noted a large number of illnesses associated with
consuming raw oysters, clams, and mussels. These shellfish-associated outbreaks were also medically
recorded in other parts of the world, most notably in European countries. During the winter of 1924, there
occurred a widespread typhoid fever outbreak, with cases in New York, Chicago, and Washington, D.C.,
which was finally traced to sewage polluted oysters. Local and state public health officials, and the
shellfish industry became sufficiently alarmed over this outbreak to request that the Surgeon General of
the United States Public Health Service develop necessary control measures to ensure a safe shellfish
supply to the consuming public.

In accordance with this request, the Surgeon General called a conference of representatives from state and
municipal health authorities, state conservation commissions, the Public Health Service and its Bureau of
Chemistry (later to become the Food and Drug Administration), the Bureau of Commercial Fisheries
(now National Marine Fisheries Service) and the shellfish industry. This historic conference was held in
Washington, D.C. on February 19, 1925.

The members of the conference recommended eight resolutions for the sanitary control of the oyster
industry. These included:
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"The beds on which shellfish are grown must be determined, inspected, and controlled by some official
state agency and the U.S. Public Health Service."

"The plants in which shellfish are shucked or otherwise prepared or packed by the shipper must be
inspected and controlled by some official state agency and the U.S. Public Health Service."

"There must be such governmental supervision and such trade organization as will make plain the source
of shellfish and will prevent shellfish from one source being substituted for those from another source.
This will be chiefly a problem of the individual state."

"The methods of shipping must be supervised, inspected, controlled and approved by the proper official
federal and state agency."

"The product must conform to an established bacterial standard and must meet federal, state, and local
laws and regulations relative to salinity, water content, food proportion and conform to the Pure Food
Laws standards."

The conference also established a committee to develop further necessary guidelines to recommend
control practices for the sanitary control of the shellfish industry.

The basic concepts in formulating a program of national public health controls were reiterated by the
Surgeon General in his letter of August 12, 1925, to state health officers and all others concerned. This
letter set forth the following understandings:

1. The Public Health Service considers that the responsibility for the sanitary control of the shellfish
industry rests chiefly upon the individual states; and that the requisite coordination and
uniformity of control may best be achieved by mutual agreement among the states, with the
assistance and cooperation of the Public Health Service..."
2. In accordance with this principle, it is considered that each producing state is directly responsible
for the effective regulation of all production and handling of shellfish within its confines, not
merely for the protection of its own citizens, but equally for safeguarding such of its product as
goes to other states..."
3. In order that each state may have full information concerning the measures carried out in other
states, the Public Health Service will undertake systematic surveys of the machinery and
efficiency of sanitary control as actually established in each producing state, and will report
thereon for the information of the authorities of other states. It is believed that, in addition to
furnishing valuable information, these reports will have an important influence in stimulating the
development of better sanitary control and in promoting substantial uniformity on a higher
plane."
4. The officers of the Public Health Service assigned to this survey work will assist the state
agencies in determining their sanitary problems, in formulating plans for adequate sanitary
control, and in making actual sanitary surveys as far as practicable."
5. In addition to the above, the Public Health Service will continue to extend the services which it is
already rendering, especially in conducting scientific investigations of fundamental importance to
control, and in serving as a clearinghouse for the interchange of information and the discussion of
policies between state authorities."

To implement this program, the members of the 1925 conference agreed that the producing states would
issue "Certificates," i.e., a permit to operate, to shellfish shippers that meet agreed upon sanitary
standards. The Public Health Service would serve as a clearinghouse for information on the effectiveness
of the state control programs. This clearinghouse responsibility was met initially through issuance of a
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periodic "Progress Report on Shellfish Sanitation" describing the shellfish sanitation program in each
state. This procedure was subsequently abandoned in favor of a "program endorsement" concept. Under
this concept, the Public Health Service made a continuing appraisal of each state's shellfish sanitation
program to determine if the control measures were in substantial accord with the provisions of the current
"Manual of Recommended Practice for Sanitary Control of the Shellfish Industry." The Public Health
Service also published a list of all shellfish shippers certified by those states that maintained "satisfactory"
control programs.

The procedures used by the Public Health Service in fulfillment of its obligations under the Public Health
Service Act resulted from an understanding that implementation and enforcement of the necessary public
health controls could best be accomplished under state laws with federal technical support and industry
participation. The National Shellfish Sanitation Program, now the Interstate Shellfish Sanitation Program,
is dependent entirely upon the states adopting the recommended requirements and the cooperative and
voluntary efforts of state regulatory agencies and the shellfish industry.

NATIONAL SHELLFISH SANITATION PROGRAM

The National Shellfish Sanitation Program (NSSP) developed from public health principles and Program
controls formulated at the original conference on shellfish sanitation called by the Surgeon General of the
United States Public Health Service in 1925. These fundamental components were described in a
supplement to Public Health Reports, Report of Committee on Sanitary Control of the Shellfish
Industry in the United States (Frost, 1925)

The public health control procedures established by the Public Health Service were dependent on the
cooperative and voluntary efforts of state regulatory agencies. These efforts were augmented by the
assistance and advice of the Public Health Service (replaced by the Food and Drug Administration) and
the voluntary participation of the shellfish industry. These three parties combined to form a tripartite
cooperative program.

To carry out this cooperative control program, each partner accepted responsibility for certain procedures.

Each shellfish shipping state adopted adequate laws and regulations for sanitary control of the shellfish
industry, completed sanitary surveys of harvest areas, delineated and patrolled restricted areas, inspected
shellfish plants, and conducted such additional inspections, laboratory investigations, and control
measures as were necessary to insure that the shellfish reaching the consumer had been grown, harvested
and processed in a sanitary manner. The state annually issued numbered certificates to shellfish dealers
who complied with the agreed-upon sanitary standards, and forwarded copies of the interstate certificates
to the Food and Drug Administration (FDA).

The FDA made an annual review of each state shellfish control program including the inspection of a
representative number of shellfish processing plants. On the basis of the information thus obtained, the
FDA determined the degree of conformity the state control program had with the NSSP. For the
information of health authorities and others concerned, the FDA published a monthly list of valid
interstate shellfish shipper certificates.

The shellfish industry cooperated by obtaining shellfish from safe sources, by providing plants which met
the agreed upon sanitary standards, by maintaining sanitary operating conditions, by placing the proper
certificate number on each package of shellfish, and by keeping and making available to the control
authorities records which showed the origin and disposition of all shellfish.

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Although the basic public health principles of the NSSP have remained unchanged, program procedures
have been updated and improved upon at periodic intervals. The original 1925 "Report of Committee on
Sanitary Control of the Shellfish Industry in the United States" was revised and reissued in 1937 and
again in 1946. The document was then divided into two parts Part II entitled "Sanitation of Harvesting
and Processing of Shellfish" was issued in 1957 and in 1959, Part I, "Sanitation of Shellfish Growing
Areas." The need for a specialized program of this nature was reaffirmed by the cooperating members at
the First National Shellfish Sanitation Workshop held in Washington, D.C., (Jensen, 1954) and at
subsequent National Shellfish Sanitation Workshops (Jensen,1956, 1958, 1961; Houser, 1964). A more
complete summary of the history and evolution of the NSSP and its early approaches to resolution of
shellfish sanitation issues can be found in David Clem's historical overview (Clem, 1994).

In the 1940's, the NSSP moved beyond its original 1925 objective of insuring that shellfish shipped in
interstate commerce were safe for human consumption. Paralytic shellfish poison became a matter of
public health concern and requirements were added to address this public health hazard. In 1957, when it
was determined that shellfish could concentrate certain radionuclides, the procedures were revised to
include public health controls for the pollutant. In the 1960's and 1970's, the program was again revised to
address public health concern associated with heavy metals and pesticides.

Additional recommendations from the states and industry resulted in the 1965 revision of the shellfish
sanitation manual. This revision was prepared in cooperation with the shellfish control authorities in all
coastal states, food control authorities in the inland states, interested federal agencies, Canadian federal
departments, the Oyster Institute of North America, the Pacific Coast Oyster Growers Association, and
the Oyster Growers and Dealers Association of North America.

In 1968, the Sixth National Shellfish Sanitation Workshop was held (Morrison, 1969). Recommendations
for further revisions to the 1965 Manual were made and accepted by Workshop participants. This
Workshop was structured around 12 task forces that were assigned specific topics to examine and develop
recommendations for discussion by all workshop participants. This approach to examining and discussing
large numbers of issues was proved successful and was recommended for use in future Workshops.

The shellfish sanitation program responsibilities assigned to the Assistant Secretary for Health,
Department of Health, Education and Welfare were delegated to the Commissioner of Food and Drugs in
late 1968. The FDA continued to sponsor the National Shellfish Sanitation Workshops (Ratcliffe, 1971;
Wilt, 1974, 1975 and 1977) Proceedings from these Workshops contained additional recommendations
for revisions to the 1965 Manual of Operations.

On June 19, 1975, the FDA proposed National Shellfish Safety Program Regulations in the Federal
Register (FDA, 1975). There was considerable discussion at the 1975 and 1977 Workshops concerning
these proposed regulations. After evaluation of the comments received as a result of the proposed rules,
the FDA determined that promulgating federal regulations would not likely achieve NSSP goals.
Subsequently, FDA decided revision of the 1965 Manual of Operations was the best approach for
strengthening the NSSP. (See Federal Register of February 26, 1985, 50 F.R. 7797)

During this period, many state shellfish control agencies began questioning the uniformity and
effectiveness of shellfish programs in other states. These states and FDA began exploring methods for
strengthening the NSSP that would not involve federal regulations. In reviewing other approaches, it was
noted that since 1950 the National Conference of Interstate Milk Shippers (NCIMS), a successful
voluntary public health program, has been successful in assuring a nationwide safe and wholesome milk
supply. The NCIMS was consulted for direction and advice.

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The success of the NCIMS program prompted state shellfish control officials and FDA to select the
NCIMS program as a model for developing a shellfish organization. In 1982, a delegation of state
officials from 22 states met in Annapolis, Maryland and formed the Interstate Shellfish Sanitation
Conference (ISSC). The ISSC is composed of state shellfish regulatory officials, industry officials, FDA,
and other federal agencies.

The ISSC organization provides the forum for state regulatory officials to establish uniform national
guidelines and to exchange information regarding sources of safe shellfish. The first annual meeting was
held in New Orleans, Louisiana in August 1983. At this conference, the ISSC adopted the 1965 NSSP
Manuals of Operation, as well as formal procedures for adopting changes to the Manuals. These
documents provided the basis for an Interstate Shellfish Sanitation Program (ISSP). In March 1984, FDA
entered into a Memorandum of Understanding (MOU) with the ISSC. The MOU formalized the FDA's
relationship with the ISSC and established the ISSC as a federal-state-industry cooperative body. The
ISSP, acknowledged in the 1984 MOU, is a set of guidelines for the sanitary control of shellfish, adequate
to insure that shellfish will be safe and sanitary.

At its second annual meeting in Orlando, Florida in August 1984, the ISSC accepted for review a revision
of Part I of the 1965 NSSP Manual of Operations. At the third annual meeting in Cherry Hill, New Jersey,
in August, 1985, the ISSC adopted an updated Part I of the NSSP Manual of Operations (published in
1986), and accepted for review a revision of Part II of the 1965 NSSP Manual.
In preparing the draft revision of the 1965 NSSP Manual of Operations, FDA relied principally on the
following sources:

1. The draft revision of the Proposed National Shellfish Safety Program Regulations, Part 951;
2. The 1965 NSSP Manual of Operations, Part I, Sanitation of Growing Waters; Part II,
Sanitation of the Harvesting and Processing of Shellfish; and Part III, Appraisal of State
Shellfish Sanitation Programs, U.S. Department of Health, Education, and Welfare, Public
Health Service Publication No. 33;
3. The National Shellfish Sanitation Program Workshop Proceedings for 1968, 1971, 1973, 1974,
and 1977;
4. The Environmental Protection Agency rules and regulations (40 CFR Parts 400, et seq.)
concerning water pollution control and shellfish waters;
5. Other federal laws and regulations concerning quality of shellfish and shellfish growing areas;
6. Existing state rules and regulations concerning shellfish growing area control and water quality
criteria;
7. Analytical methods accepted by the American Public Health Association, Association of Official
Analytical Chemists, American Society of Testing Materials, and other voluntary standard-setting
organizations relating to shellfish and shellfish waters; and
8. Recommendations from the Interstate Shellfish Sanitation Conference.

Developing the updated Manual was a cooperative effort between FDA and the ISSC. Initial drafts were
prepared by FDA and presented to the ISSC and other interested parties for review and comment.
Comments were incorporated into drafts after consultation with the ISSC, and the final revision was
presented to the ISSC for formal endorsement in 1986. In updating the 1965 Manual, the harvesting and
the processing of shellfish continued to be recognized as two distinct phases of operation in the shellfish
industry. Therefore, the updated Manual was published in two parts; Part I: Sanitation of Shellfish
Growing Areas (1986); and Part II: Sanitation of the Harvesting, Processing and Distribution of
Shellfish (1987). Part I of the Manual continued as a guide for preparing state shellfish laws and
regulations pertaining to sanitary control of shellfish harvest area classification, laboratory procedures,
relaying, patrol operations and marine Biotoxin. Part II of the Manual continued as a guide for operating,
inspecting and certifying shellfish shippers, processors and depuration facilities; and for controlling

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interstate shipments of shellfish. Part III: Public Health Service Appraisal of State Shellfish Sanitation
Programs was discontinued by the FDA.

In addition to setting forth the principles and requirements for the sanitary control of shellfish produced
and shipped in interstate commerce in the U.S., the updated Manual was intended to be used by the states
to control the harvesting and handling of shellfish for recreational and intrastate commercial use. Most
coastal states believe that consumers residing in their state should be provided equal public health
protection, as are consumers in other states under the interstate certification program. To accomplish this,
states may apply the same water quality and harvesting restrictions on non-interstate shellfish activities as
on interstate activities. Having uniform intra and interstate programs also greatly facilitates the effective
implementation and regulation of all shellfish harvesting activities, and results in the most efficient
utilization of public health resources.

The updated Manual was also to be used by FDA as the basis for evaluating foreign shellfish sanitation
programs. To accomplish this, FDA seeks to establish international MOUs with official agencies in those
foreign countries that wish to export shellfish to the U.S. An MOU is established after the foreign
government demonstrates to FDA that the government has laws or regulations equivalent to those
published in the Manual, and that the foreign program was supported by trained personnel, laboratory
facilities, and other resources as may be necessary to exercise control over the export shellfish industry.
Once a country has an effective MOU, the shellfish control authority submits certificates of their certified
shellfish dealers to the FDA. The FDA publishes the names of these certified shellfish shippers in the
Interstate Certified Shellfish Shippers List as an approved source of shellfish.

In the years 1986 through 1995, under its 1984 Memorandum of Understanding with the Interstate
Shellfish Sanitation Conference (ISSC), the FDA published seven revisions of the Manual. Between 1995
and 2003, the ISSC/FDA has published two revisions of the NSSP Guide for the Control of Molluscan
Shellfish. The revisions were the result of the findings and recommendations from the annual meetings of
the ISSC and reflected mutual FDA and ISSC concurrence. A full listing of all editions of the Manual of
Operations for the National Shellfish Sanitation Program can be found in the reference portion of this
section.

The intent in establishing the ISSP Program was to modify the manuals into a model ordinance format
and include the ordinance with other shellfish related documents and procedures into an ISSP Handbook.

INTERSTATE SHELLFISH SANITATION PROGRAM

During development of the ISSC, FDA, state regulatory officials and the industry worked diligently to
establish uniform guidelines and to exchange reliable information on sources of safe shellfish, and to
provide revisions to the NSSP Manual as necessary through formal ISSC procedures. These efforts have
been conducted under the umbrella of the March 1984 Memorandum of Understanding (MOU) between
the FDA and the ISSC. The Memorandum formally established a FDA cooperative relationship with both
the states and shellfish industry. The ISSC continues to play an important role in assuring that uniform
shellfish control measures are adopted, and that those measures are enforced consistently by state
regulatory authorities.

One of the foremost goals of the ISSC has been the adoption of a Model Ordinance which would embody
the principles and requirements of the ISSP. Adoption of the Model Ordinance by each of the ISSC
participating states implies commitment by each state to provide the necessary legal authority and
resources to implement these regulatory requirements. Adoption also ensures uniformity across state
boundaries and enhances public confidence in shellfish product.

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Development of the Model Ordinance began in 1987 with the establishment of the ISSC Model
Ordinance Committee, which included representatives of the FDA, the states and the industry. The Model
Ordinance Committee worked to incorporate the NSSP Manual into the format of regulation and to
resolve inconsistencies within the Manual. The initial draft Ordinance was presented to and adopted by
the ISSC at its 1992 meeting. The FDA responded with comments and requested development of a
strategy for the transition from the NSSP Manual to the Model Ordinance as the basis for the National
Shellfish Sanitation Program and for use by FDA in reviewing state shellfish sanitation programs.

The ISSC recognized the importance of retaining many of the elements of the NSSP Manual that should
not be incorporated into an ordinance. To accomplish this, the Model Ordinance Committee
recommended development of the Interstate Shellfish Sanitation Program Handbook which would
include, in addition to the Model Ordinance, guidance documents concerning important components of
the NSSP, references, public health reasons for NSSP requirements, and procedures which support or are
used in the NSSP. The ISSC Constitution, By-laws and Procedures were revised to recognize an Interstate
Shellfish Sanitation Program (ISSP) and its Model Ordinance as replacing the NSSP on January 1, 1998
as the effective rules governing participation in the ISSC. However, further discussions by the ISSC
Executive Board and FDA regarding recognition and identify of the Program have resulted in retention of
the National Shellfish Sanitation Program title hereafter referred to as the National Shellfish Sanitation
Program (NSSP).

REFERENCES

• Clem, David. 1994. Historical Overview. In: Environmental Indicators and Shellfish Safety. eds.
C.R. Hackney and M.D. Pierson. Chapman and Hall, New York. pp. 1-29
• Food and Drug Administration. 1975. National Shellfish Safety Program; [Notice of proposed
rule making] Federal Register. 40 (119):25916-25935.
• Frost, W.H., Chairman. 1925. Report of Committee on Sanitary Control of the Shellfish Industry
in the United States. Supplement No. 53. Public Health Reports. Nov. 6. 17 pp.
• Interstate Shellfish Sanitation Conference. 1997. Evaluation Standards. In: Interstate Shellfish
Sanitation Program Handbook. Interstate Shellfish Sanitation Conference, 115 Atrium Way,
Suite 117, Columbia, South Carolina, 29223.
• Jensen, E.T. 1955. The 1954 National Conference On Shellfish Sanitation, [first national
workshop]. Public Health Reports. 79(9).
• Jensen, E.T., ed. 1956. Proceedings - 1956 Shellfish Sanitation Workshop, [second national
workshop] August 27-28. Washington, D.C. 143 p.
• Jensen, E.T., ed. 1958. Proceedings - 1958 Shellfish Sanitation Workshop [third national
workshop] August 26-27. Washington, D.C., 72 p.
• Jensen, E.T., ed. 1961. Proceedings - 1961 Shellfish Sanitation Workshop, [fourth national
workshop] November 28-30. Washington, D.C. 288 p.
• Houser, L.S., ed. 1964. Proceedings of Fifth National Shellfish Sanitation Workshop. Nov. 17-19.
Washington, D.C. 239 p.
• Morrison, G., ed. 1968. Proceeding of Sixth National Shellfish Sanitation Workshop. February 7-
9. Washington, D.C. 115 p.
• Ratcliffe, G., ed. 1971. Proceedings of Sixth National Shellfish Sanitation Workshop. October 20-
22. Washington, D.C. 412 p.
• Wilt, D.S., ed. 1974. Proceedings of Eighth National Shellfish Sanitation Workshop. January 16-
18; New Orleans, LA, 158 p.
• Wilt, D.S., ed. 1975. Proceedings of Ninth National Shellfish Sanitation Workshop, June 25-26.
Charleston, SC. 150 p.
• Wilt, D.S., ed. 1977. Proceedings of Tenth Shellfish Sanitation Workshop. June 29-30, Hunt
Valley, MD. 236 p.

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2009 NSSP Guide for the Control of Molluscan Shellfish
Section IX. History of The National Shellfish Sanitation Program Page 8 of 9

LIST OF PREVIOUS EDITIONS OF MANUAL OF OPERATIONS FOR NATIONAL

SHELLFISH SANITATION PROGRAM - NOW SUPERSEDED

• 1925. Supplement No. 53 to Public Health Reports November 6, 1925 "Report of Committee on
Sanitary Control of Shellfish Industry in the United States".
• 1937. U.S. Public Health Service Minimum Requirement for Approval of State Shellfish Control
Measures and Certification for Shippers in Interstate Commerce (Revised October 1937).
• 1946. Manual of Recommended Practice for Sanitary Control of the Shellfish Industry
Recommended by the U.S. Public Health Service (Public Health Bulletin No. 295).
• 1957. Manual of Recommended Practice for Sanitary Control of the Shellfish Industry (Part II:
Sanitation of the Harvesting and Processing of Shellfish). Printed as Part II of Public Health
Service Publication No. 33.
• 1959. Manual of Recommended Practice for Sanitary Control of the Shellfish Industry (Part I:
Sanitation of Shellfish Growing Areas). Printed as Part I of Public Health Service Publication No.
33.
• 1962. Cooperative Program for the Certification of Interstate Shellfish Shippers, Part II,
Sanitation of the Harvesting and Processing of Shellfish. (Printed as Part II of Public Health
Service Publication No. 33).
• 1962. Cooperative Program for the Certification of Interstate Shellfish Shippers, Part I, Sanitation
of Shellfish Growing Areas. (Printed as Part I of Public Health Service Publication No. 33).
• 1965. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, Public Health Service Publication No. 33, revised 1965.
• 1965. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting and Processing of Shellfish, Public Health Service Publication No. 33, revised 1965.
• 1965. National Shellfish Sanitation Program Manual of Operations Part III, Public Health Service
Appraisal of State Shellfish Sanitation Programs, Public Health Service Publication No. 33,
revised 1965.
• 1986. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1986.
• 1987. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1987.
• 1988. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1988.
• 1988. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1988.
• 1989. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1989.
• 1989. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1989.
• 1990. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1990.
• 1990. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1990.
• 1992. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1992.
• 1992. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1992.
• 1993. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1993.
• 1993. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1993.

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Section IX. History of The National Shellfish Sanitation Program Page 9 of 9

• 1995. National Shellfish Sanitation Program Manual of Operations Part I, Sanitation of Shellfish
Growing Areas, revised 1995.
• 1995. National Shellfish Sanitation Program Manual of Operations Part II, Sanitation of the
Harvesting, Processing, and Distribution of Shellfish, revised 1995.
• 1999. National Shellfish Sanitation Program Model Ordinance, revised 1999.
• 2000. National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish,
revised 2001.
• 2002. National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish.
revised 2003.
• 2003. National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish.
revised 2005.
• 2005. National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish.
revised 2007

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