Aquaculture Facility Certification

Feed Manufacturing Facility Standard Issue 2.1 - 23-May-2017

Certification Application Form - Part 2
Application Revision 3 - 23-May-2017

To apply for certification in BAP's Aquaculture Facility Certification program, please complete the following information and return
the forms to the BAP office by Email to the appropriate Email address (new or recertifying) given below.

Best Aquaculture Practices

2 International Drive, Suite 105, Portsmouth, NH 03801 USA
Telephone: +1-603-317-5225
For Information: bap@bapcertification.org
Website: www.bapcertification.org

For a further explanation of BAP standards, refer to the BAP website (https://www.bapcertification.org/bap-standards/). Please take the time to
fully review these materials before contacting BAP for more information.

BAP Application Form Part 2. Self-Audit - Feed Manufacturing Facility

The GAA BAP standard does not allow exclusions in conducting assessments of any facilities against any of the standards. All
facilities seeking certification against any of the GAA BAP standards, and CBs performing assessments, must conduct a full
evaluation against all parts of the facility, and for all GAA BAP eligible aquacultured species, product forms and their by-products,
that the facility produces. Whether or not they are sold as BAP. For example, exclusion of particular rooms, lines, cooked versus
raw products, aquaculture species, ponds or cages is not permitted.

Facility must answer all questions in both Parts 1 and 2. Do not add rows or columns to make additional space - row height may
be expanded if space is needed.
Answering the questions will help assure that the facility will be prepared when an Auditor comes for the certification inspection. It
is recommended that all documents mentioned be organized in a manner to assure they can be easily retrieved during the facility
audit.
The applicant agrees to comply with the requirements for certification and to supply any information needed to complete the audit
process.
To be filled out by facility representative
Application Date:
Name of Feed Manufacturing Facility to be Certified:
Provide details below of feeds made (for which species, pelleted, extruded, floating, sinking, etc.):

Note - All applicants must answer all questions in this self-assessment portion of the application.
Standard Requirements:
1. Property Rights and Regulatory Compliance
Yes No N/A
1.1 Are documents available to prove legal land and water use by the applicant?
Details

1.2 Are documents available to prove all business and operating licenses have been acquired by the facility?
Details

1.3 Are documents available to prove compliance with applicable environmental regulations for construction and operation?
Details

2.0. Community Relations, Worker Safety and Employee Relations

Yes No N/A
2.1 Is evidence available that proves meetings, committees, correspondence, service projects, or other activities are held
that demonstrate commitment to regular interaction with the local community to avoid or resolve conflicts?

Details

2.2: Does the applicant meet or exceed the minimum wage rate, including benefits, required by local and national labor laws?
Details

2.3: Can the applicant show that they do not engage in or support the use of child labor? Does the applicant comply with national child
labor laws regarding minimum working age or ILO Minimum Age Convention 138, whichever is higher? ILO Minimum Age Convention
138 states the minimum age shall be 15, unless local law in developing nations is set at 14 – in accordance with developing nations
exceptions under this convention.
Details

2.4: If the applicant employs young workers above the minimum age but under 18 years old, is this done in compliance with local laws,
including required access to compulsory school attendance and any restrictions on hours and time of day?
Details

2.5: Does the applicant assure that young workers above the minimum age but under 18 years old are not subjected to hazardous work
that can compromise their health and safety?
Details

2.6.a. Does the applicant have policies in place to assure that all work, including overtime, is voluntary? 2.6.b. Does the applicant not
engage in any form of forced or bonded labor? This includes human trafficking, the holding of original identity papers, prohibiting
workers from leaving the premises after their shift or other coercion intended to force anyone to work. 2.6.c. Where the holding of
original identity papers is required by national law, are such papers immediately returned to employees upon request and readily
available to them at all times?
Details

2.7: Does the applicant abide by the national mandated work week where applicable?
Details

2.8: Does the applicant comply with national labor laws for pay, overtime and holiday compensation for hours worked beyond the
regular work day or week?
Details

2.9: Does the applicant NOT require the payment of deposits, deduction from wages or withholding of pay that is not part of a legal
contractual agreement with the employee and/or that is not provided for or permitted by national law?
Details

2.10: Does the applicant NOT make deductions from wages as part of a disciplinary process?
Details

2.11: Does the applicant only employ legally documented workers, whether nationals or migrants?
Details

2.12: Does the applicant maintain all relevant documents that verify any contracted/subcontracted workers, whether contracted through
a labor service or otherwise, are paid in compliance with all local wage, hour and overtime laws?
Details

2.13: Are all labor, recruiting or employment services used by the applicant licensed to operate by the local or national government as a
labor provider?
Details

2.14: Does the applicant maintain all relevant documents that verify piece workers (those paid a fixed “piece rate” for each unit
produced or action performed regardless of time) are paid in compliance with local law, including regulations regarding equivalence to or
exceeding minimum requirements for wages, hours, overtime and holiday pay?
Details

2.15.a: Does the applicant provide to all workers, whether hourly, salaried, piece-rate, temporary, seasonal or otherwise, prior to hire
and during employment, written and understandable information regarding the terms of employment, worker rights, benefits,
compensation, hours expected, details of wages for each pay period and applicant policies regarding disciplinary actions, grievance
procedures, authorized deductions from pay and similar labor-related issues? 2.15.b: Is this information provided in the prevalent
language of the majority of employees?
Details
2.16: Where contracted/subcontracted or temporary workers are hired through a labor or employment service, does the applicant
ensure that the labor or employment service provides the above information prior to and during hire, in appropriate languages, to ensure
workers are aware of their rights and conditions of employment as described above?
Details

2.17: Do workers have the right to terminate their employment after reasonable notice?
Details

2.18: Does the applicant appoint a management person responsible for ensuring worker health, safety and training?
Details

2.19: Do workers have the right to collective bargaining, or is at least one employee elected by the workers to represent them to
management?
Details

2.20: Is a written worker grievance process made available to all workers that allows for the anonymous reporting of grievances to
management without fear of retaliation?
Details

2.21: Does the applicant provide for equal opportunity with respect to recruitment, compensation, access to training, promotion,
termination and retirement?
Details

2.22: Does the applicant treat workers with respect and not engage in or permit physical, verbal or sexual abuse, bullying or
harassment?
Details

2.23: If provided, does employee housing meet local and national standards (e.g., water-tight structures, adequate space,
heating/ventilation/cooling), and is it free of accumulated trash and garbage?
Details

2.24: Is safe drinking water readily available to employees, and if meals are provided, are they wholesome and commensurate with
local eating customs?
Details

2.25: Are running water, toilets and hand-washing facilities readily available to employees?
Details

2.26.a: In the event of accidents or emergencies, does the applicant provide basic medical care, including access to or communication
with medical authorities? 2.26.b: Are first aid kits readily available to employees, and is any expired content replaced?
Details

2.27.a: Does the applicant provide training in general health, personal hygiene and safety, first aid and contamination risks to all
employees? 2.27.b: Are safety documents available in a language understood by the workforce?
Details

2.28: Has an emergency response plan been prepared for serious illnesses or accidents, including measures to be taken in case of
fire?
Details

2.29: Have select workers been made familiar with details in emergency plans and trained in the first aid of electrical shock, profuse
bleeding, drowning and other possible medical emergencies?
Details

2.30: Is protective gear and equipment in good working order provided for employees (e.g., eye protection for welding, gloves for shop
work, boots for wet areas, ear protection near hammermills and pulverizers)? Auditors must verify deployment.
Details

2.31: Does the applicant limit workers exposure to sound in excess of 85 dB to less than eight hours a day or are stricter national
standards applied?
Details

2.32: Are manuals that identify standard operating procedures written in the employees' main language?
Details

2.33: Are safe working practices documented for such dangers as feedmill fire hazards, “bridging, “, tramp iron, worn chains and belts?
Does machinery have proper driveshaft and/or drive belt safety guards?
Details

2.34.a: Has the applicant identified and eliminated or minimized any workplace health and safety hazards by conducting a thorough risk
assessment? 2.34.b: Does this include a requirement for accident investigation?
Details

2.35: Is there an employee safety committee that meets regularly to review work practices and (needs a space) do they maintain a log
of accidents?
Details

3. Fishmeal and Fish Oil Conservation

Yes No N/A

3.1. Does the applicant have declarations from suppliers on the species and fishery origins of each batch of fishmeal and fish oil?
Details

3.2. Does the applicant indicate a feed fish inclusion factor on product labels, packaging, shipping documents or invoices or in written
declarations for all feeds produced?
Details

3.3. Has the applicant developed and implemented a clear, written plan of action defining policies for responsibly sourcing fishmeal
and fish oil?
Details

3.4: For fishmeal and fish oil derived from reduction fisheries, has the applicant obtained at least 50% from sources that are either MSC-
or IFFO RS-certified? Alternatively, where MSC- or IFFO RS-certified fishmeal and fish oil are not produced nationally, has the applicant
obtained the above minimum percentage from active, approved improvers programs as verified by IFFO, SFP or WWF?
Details

Applicable after June 30th, 2022

3.5 For soymeal and other soy derived ingredients, at least 50% shall come from sources that are certified to either ProTerra, RTRS, or
SSAP

Details

4. Storage and Disposal of Plant Supplies

Yes No N/A

4.1. Are fuel, lubricants and potentially dangerous or toxic chemicals stored and disposed of in a safe and responsible manner?
Details

4.2. Does the applicant assure that fuel, lubricants and potentially dangerous chemicals are not stored near feed ingredients, in
employee housing or in kitchen areas?
Details

4.3. Are fuel, lubricant and chemical storage areas marked with warning signs?
Details

4.4 Does the applicant take precautions to prevent spills, fires and explosions, and are procedures and supplies readily available to
manage chemical and fuel spills or leaks? Are designated staff trained to manage such spills and leaks?
Details

4.5. Does secondary fuel containment conform to BAP guidelines for fuel storage?
Details

5. Waste Management
Yes No N/A
5.1. Are expired ingredients and unwanted finished product kept in covered containers or storage areas, and disposed of frequently
and properly?
Details

5.2. Are waste ingredients and unwanted finished product recovered as feed only after confirmation that hazardous contamination is
not present?
Details

5.3: Are waste materials that contain hazardous levels of drugs or other contaminants disposed of properly?
Details

5.4: Are garbage and other solid waste disposed of in a manner that complies with local regulations and avoids environmental
contamination and odor problems (e.g., by recycling, burning, composting or placing in a landfill)?
Details

6. HACCP Process Controls, Good Manufacturing Practices

HACCP Process Controls
Yes No N/A
6.1: Does the applicant have a documented HACCP plan or equivalent feed safety plan available for inspection?
Details

6.2: Does the applicant have a quality management plan available for inspection?
Details

6.3: Does the HACCP plan or equivalent system include an organizational chart that depicts the management and employee authority
structure, including the quality control hierarchy?
Details

6.4: Does the HACCP plan or other system adequately address potential chemical, biological and other safety hazards with appropriate
preventative measures and monitoring, corrective actions and verification procedures?
Details

6.5: For producers of medicated feeds, does the HACCP plan or other system address the special risks of incorrect dosing or
mislabeling?
Details

6.6: Does the HACCP plan or equivalent system include flow charts on the feed production process that include process specifications
and depict critical control points?
Details

6.7: Does the applicant have process controls that identify preventative measures for each identified hazard at each critical control
point?
Details

6.8: Do the process controls identify monitoring procedures for each hazard at each critical control point that include frequency,
assignment of task, scientifically derived critical limits, and monitoring and record-keeping methods?
Details

6.9: Is the applicant able to demonstrate that process controls that identify corrective actions taken when a critical limit for an identified
hazard has been breached are implemented and monitored?
Details

6.10 Do process controls identify verification procedures for all monitoring, corrective actions and preventative measures to assure
safety of product and prevent adulteration?
Details

6.11: Are incoming ingredients inspected, and tags or labels checked for medications, trace minerals or other additives?
Details

6.12. Does the applicant maintain copies of supplier certificates that indicate incoming raw materials are free from banned chemicals or
antibiotics?
Details

6.13: Does the applicant periodically sample and analyze incoming ingredients for adulterants or toxins to comply with applicable
statutory standards for pathogens, mycotoxins, herbicides, pesticides and other contaminants?
Details

6.14: Does the applicant apply procedures that respect prohibitions of the refeeding of ingredients from like aquaculture organisms to
prevent transmission of disease?
Details

6.15: Does the applicant have process controls in place to incorporate periodic testing of finished products for hazards including chemical
contamination by such banned substances as antibiotics or pesticides?
Details

6.16: Are medicated feeds stored separately from all other feed materials, products and premixes, with access to the drug storage area
limited to authorized personnel?
Details

6.17: Are warnings and species-specific instructions clearly evident on labels and tags?
Details

6.18: Does the applicant maintain current, accurate records that detail monitoring, verification and corrective actions as required by the
HACCP plan or equivalent system?
Details

6. HACCP Process Controls, Good Manufacturing Practices

Good Manufacturing Practices
Yes No N/A
6.19: Does the applicant have a documented manual of standard operating procedures based on good management practices?
Details

6.20: Do the GMPs identify effective methods for maintaining isolation between ingredients and between ingredients and finished
products?
Details

6.21: Do the GMPs identify how ingredients, feeds and feed contact surfaces are protected from adulteration with chemical and physical
contaminants?
Details

6.22: Is the applicant able to demonstrate the implementation of GMPs that exclude animal pests using approved pest control methods
by trained personnel or a licensed pest control service?
Details

6.23: Do GMPs identify how routine cleaning operations are conducted and monitored, and how containers and equipment are kept
clean?
Details

6.24: Is the applicant able to demonstrate the implementation of GMPs that manage bulk and bagged ingredients on a rotational, first-in-
first-out basis.?
Details

6.25: Is the applicant able to demonstrate the implementation of GMPs that check ingredient routings for incoming ingredients to avoid
cross-contamination?
Details

6.26: Is the applicant able to demonstrate the implementation of GMPs that segregate processed feeds from unprocessed ingredients
and misformulated, damaged or returned feeds?
Details

6.27: Does the applicant have GMPs in place that identify how labels are received, handled and stored to prevent mislabeling?
Details

6.28: Does the applicant have process controls in place that identify finished products and their presentations?
Details

6.29: Do tags and labels for finished products conform to legislation in the countries where the feed products are sold?
Details

6.30: Does the applicant have procedures in place that assure that products without labels are not stored or used?
Details

6.31: Do the tags and labels for medicated feeds used by the applicant conform to legislation in the countries where the feeds are sold?

Details

6.32: Does the applicant have recall procedures that are planned and documented, and are accurate shipping records maintained to
facilitate recalls?
Details

Traceability Requirement
Yes No N/A
7.1: Does the facility operate a record-keeping process that provides timely, organized, accurate entries, that is performed and overseen
by a designated trained person or team responsible for collecting the data, ensuring it is complete and accurate, and that traceability
requirements are met?
Details

7.2: Is a traceability system in place that allows accurate and timely forward and backward tracing of all ingredients used in feeds and all
finished product information, including date code and lot information for finished feed products, as well as shipping details?
Details

7.3: Are traceability records maintained for all incoming ingredients for each of the following parameters?
• ingredient type
• date received
• shipper’s name, address and contact details
• supplier’s name, address and contact details
• unloading assignment
• bulk quantity or number of bags
• bag size
• packaging type
• unique lot number
• quality comments
• receiver’s signature
• expiration date, if applicable.
Details

7.4: Are traceability records maintained for medicated feeds for each of the following parameters?
• drug name, including potency
• date received
• quantity
• supplier’s name
• supplier’s code for drug, if applicable
• supplier’s lot or code number
• return of any damaged or unacceptable drugs.
Details

7.5: Are traceability records maintained for finished feed products for each of the following parameters to allow tracing of feed back to
the inputs of origin:
• manufacturing date
• ingredient source(s) including all additives
• feed type mixed
• formulation details
• processing conditions
• unique lot number
• actual yield
• mixing personnel
• bin assignment
• drug inclusion(s)
• expiration date for medicated feed, if applicable
• sequencing and flushing
• dispatch date
• name, address and contact details for transporter
• name, address and contact details for destination/purchaser (including BAP certification number, if applicable)
• misformulated, damaged or returned feed status, especially for medicated feed.
Details

7.6: Have effective procedures been defined and implemented to ensure that batches of feed produced under the BAP program are
segregated from all other batches of feed?
Details

7.7: Where a facility’s traceability system consists of paper records and/or files, has this information been transferred to a computer
database or spreadsheet to allow transmission and verification of electronic data?
Details

7.8: If the facility uses an online system or computer database for traceability, do they keep copies of the documents or records that
were used to transfer data to the electronic system to allow verification of the information in the electronic system?
Details

7.9: Do facility procedures maintain lot separation during receipt, storage, handling and production of feeds? Is lot separation also
reflected in records?
Details

7.10: Are records of traceability retained for at least three years after the date of delivery of feed products?
Details

7:11: If the facility uses the BAP logo, do they have such use approved and registered in advance with BAP Management?
Details

7:12: Does the facility keep records of any customer complaints related to its products’ compliance with the BAP standards?
Details

7:13: Does the facility keep records of investigations of such complaints and actions taken to address/correct them?
Details