Compliance and Assessment Guide for Schedule I and II of the Fish Inspection Regulations (Registered Establishments)
Chapter 1

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Introduction

This Compliance and Assessment Guide is intended to provide guidance to inspectors when determining the appropriate Schedule I and II compliance level for a registered establishment. This document is designed to work in conjunction with the Facility Inspection Worksheet.

For each section, the pertinent regulations, their intent and compliance guidance are listed. This is followed by each line item from the Facility Inspection Worksheet and three columns for Minor, Serious, or Critical deficiencies. In each column, with the two exceptions noted below, there are examples of deficiencies that would warrant the deficiency category of the column in which they are found. These are intended to be examples only and are not intended to be all inclusive lists. Deficiencies identified by an inspector which are not found specifically listed in the assessment guide should be compared to the examples in the assessment guide as to impact and similarity to determine the appropriate deficiency category.

If, for a particular line item, the column for a deficiency category indicates "do not use" this indicates that deficiency category is not appropriate for that line item. For example, if the minor column for a particular line item indicates "do not use" that would indicate that deficiencies for that line item should be rated more severely.

As this Assessment Guide cannot anticipate all possible scenarios or circumstances, deficiency categories which are considered "Not Generally Applicable" for some line items, should be taken as guidance only. In exceptional circumstances, when a deficiency has been identified by an inspector which, in their opinion, meets the definition of a more severe deficiency category, the deficiency should be assessed in that category.

The numbers in brackets following each deficiency example refer to the decision tree.

Compliance and Assessment Guide - Decision Tree
  1. Is there a condition or practice which results in the production of a product that is unwholesome? No = go to 2. Yes = Critical 1: Assess a deficiency here if it has directly resulted in the production of unwholesome product.
  2. Is there a condition or practice which presents a threat to the health and safety of the consumer? No = go to 3. Yes = Critical 2: Assess a deficiency here if it presents a health and safety threat such as unprotected bulbs, unapproved chemicals, bacterial contamination, unapproved water, loose nuts, bolts, staples, etc., which could fall into product.
  3. Is there a condition or practice which exposes product to sources of contamination? No = go to 4. Yes = Critical 3: Assess a deficiency here if it exposes product to sources of contamination such as ceiling leaking into product, sewer backup into process area, shedding of material into fish from overhead fixtures, toxic substances in process area, evidence of non insect pests in or on product or contact surfaces, etc.
  4. Is there a condition or practice which compromises the assurance that food is produced under sanitary conditions? No = go to 5. Yes = Critical 4: Assess a deficiency here if there are unsanitary conditions such as sewage backup, drains backed up, dirty walls, ceilings, floors, equipment, etc., evidence of non insect pests (i.e., droppings) in process areas.
  5. Is there a condition or practice which prevents proper plant sanitation? No = go to 6. Yes = Is the condition or practice occurring in a location where no fish or only packaged fish will be present and that is fixed to that location (i.e., floors, walls, ceilings) and which has no impact on other areas of the facility? If Yes = Minor 6; if No = Serious 5: Assess deficiencies here if they prevent proper plant sanitation (see definition of Sanitation Program in the Fish Inspection Regulations) such as unapproved or damaged materials in floors, walls, ceilings, equipment, etc. Utensils or equipment made of absorbent or uncleanable material such as wood or braided rope. Cracked floors, etc.
  6. Is there a condition or practice which may result in the production of tainted, decomposed or unwholesome product? No = go to 7. Yes = Serious 7: Assess a deficiency here that may result in the production of tainted, decomposed or unwholesome product such as poor employee hygiene practices, exterior floors, walls, ceilings, doors, windows, etc. do not prevent pest entry, cooler temperature, unprotected packaging, ingredients or ice, animals in plant.
  7. Is there a condition or practice that may inhibit general sanitation? No = go to 8. Yes = Minor 8: Assess deficiencies here if they may inhibit proper plant sanitation (see definition of Sanitation Program in the Fish Inspection Regulations) such as improperly installed lighting, damaged pallets, etc.
  8. Is there a condition or practice which does not comply with the requirements of Schedule I or II? No = Not a deficiency. Yes = Minor 9: Assess any deficiency which has not been captured above here.

1.1 Construction, Design, Plant, Surroundings

Regulations

Schedule I Section 2

1. The layout, design, construction and size of every establishment shall:

  1. permit adequate cleaning and disinfection of all areas;
  2. prevent the accumulation of dirt, fish being in contact with toxic materials and floor surfaces, the shedding of foreign particles into fish and the formation of condensation or mould on surfaces;
  3. permit good production practices, including protection against contamination and cross-contamination by fish, equipment, water, air or personnel and any other sources of contamination, including insect and animal pests;
  4. provide, if necessary, suitable temperature conditions that permit sanitary processing and storage of fish; and
  5. provide for the orderly and rapid movement of raw material and finished product into and out of the establishment.

2. Construction and packaging materials and non-food chemical products used in the construction and operation of establishments or in their equipment shall be suitable for the purpose for which they are to be used.

3. Saltfish, squid, stockfish and capelin may be dried outside an establishment if it is dried in a location away from traffic on grounds under the control of the operator of the establishment, on dryer flakes or other equipment that is raised at least 1 m above the ground or water and if the fish is handled to prevent the risk of contamination.

Schedule II, Section 13

1) The grounds under the control of an operator of an establishment in proximity to the establishment shall be kept clean, free from debris and unnecessary material and be maintained to minimize harbourages for insect and animal pests.

2) Areas where fish is loaded, unloaded or handled and other high traffic areas shall be paved with asphalt, covered with concrete or other impervious material and equipped with appropriate drains.

Intent

A fish processing establishment must be designed, laid out and constructed in such a way that it will not become a potential source of contamination for food products. In addition, the establishment's surroundings must not become a potential source of contamination or provide shelter for insect or animal pests. Loading and handling areas must be designed so that they can be kept clean and not attract pests.

Compliance Guide

The fish processing establishment should be designed and laid out to provide suitable environmental conditions, permit adequate cleaning and sanitation, minimize contamination, prevent access by pests, provide adequate space for the performance of all operations, and prevent unnecessary delays during processing activities. Materials or coatings used for construction and equipment in an establishment must be applied such that they are smooth, durable and resistant to damage. "Smooth" shall be taken to mean a surface which can easily be cleaned and sanitized and is not necessarily a flat surface.

The flow of products being processed must be such that processing pathways for different products do not cross and the risk of cross-contamination is controlled. There must be separation of time or space between the handling of raw products and the handling of cooked or final products, to prevent possible contamination from one to the other.

Working spaces and aisles in the processing area must be unobstructed and wide enough to allow for the movement of people and materials.

Construction materials used for construction, renovation, and maintenance should be selected on the basis of chemical and physical suitability of the materials in relation to their intended use in a food processing facility. Where the suitability of construction materials is in question, the Reference Listing of Accepted Construction Materials, Packaging Materials and Non-Food Chemical Products(also called the Reference Listing) should be consulted.

In the case of packaging materials and non-food chemical products the Reference Listing of Accepted Construction Materials, Packaging Materials and Non-Food Chemical Products is a current list of materials and non-food chemicals that have been found by the CFIA to be acceptable for use in food processing establishments.

Establishments containing retail outlets or premises must be designed such that retail areas are separate and unauthorized persons are prevented from entering processing areas.

The grounds around the establishment must be free of debris and refuse and must not be in close proximity to potential sources of contamination for food products. Grass and other vegetation around the establishment must not be allowed to provide shelter for insect or animal pests. Unused equipment should be stored neatly, away from the sides of buildings, so that it does not become a potential source of contamination or shelter for insects and animal pests.

Loading and unloading areas and other high traffic areas must be surfaced with concrete, asphalt or other suitable surface, be properly sloped, and drain adequately so that water and other liquids do not collect or pool.

The frames and legs of outdoor racks that are used to dry saltfish may be constructed of wood, however they must be maintained in a reasonably clean and sound condition. The fish contact surfaces (including "hats" used to cover fish) must be made of acceptable materials which are maintained in a reasonably clean and sound condition. The racks must be designed such that the fish is at least 1 meter above the ground and must be located so that dust or debris from parking lots or roads will not contaminate the fish. Any grass under or near the drying racks must be kept short in order to minimize pest harbourages and lanes where forklifts, wagons or other fish transport devices are used must be maintained to minimize the risk of contamination of the fish from dust or splash from puddles of water. Forklifts, tractors, or other fish transport devices must be maintained in a reasonably clean and sound condition and must not themselves pose a risk of contaminating the fish (i.e. soot from a diesel tractor).

Although not specifically required for facilities constructed prior to April 1999, it is strongly recommended that direct access to processing areas be prevented through the use of ante rooms or some other similar construction layout. Facilities having processing areas that have direct access to the outside must take extra precautions to ensure that these areas do not become contaminated as a result. Some deficiencies which would normally be categorized as minor pose a greater risk to the processing area when there is direct access to/from the outside and so when that is the case, these deficiencies will be categorized as Serious (see Schedule II Table for this section).

Construction, Design, Plant Surroundings
Assessment Guide Table - Schedule I

Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Example situations
Worksheet Line Item Minor Serious Critical
1) Layout, design, construction, of facilities shall:

a) permit adequate cleaning and disinfection

Examples will be developed Examples will be developed Examples will be developed
Layout, design, construction, of facilities shall:

b) prevent accumulation of dirt, fish contact with floor, foreign particles into fish, condensation or mould on surfaces

dripping water or condensation in a location that could fall on packaged or fish for further processing (8)

If this occurs on a ceiling or overhead fixture assess under section 1.5
dripping water or condensation in a location that could fall on non RTE fish (5)

If this occurs on a ceiling or overhead fixture assess under section 1.5
dripping water or condensation in a location that could fall on RTE fish (2)

any large (water) leak that could affect product or packaging.

If this occurs on a ceiling or overhead fixture assess under section 1.5
Layout, design, construction, of facilities shall:

c) permit good production practices (i.e. protect against contamination and cross contamination)

Pooling water splashing into fish for further processing (9)

Drains or floors causing water to flow from support areas to areas where product is exposed.

Window panes with cracked glass in a process area
pooling water splashing into fish or packaging (non RTE) (7)

drains or floors causing water to flow from raw product or support areas into RTE or sanitary zones (7)

window panes that are broken (ie. missing glass) in support area (not including lunch rooms, washrooms, utility/boiler rooms, etc.) where product or packaging or ingredients cannot be directly exposed to risk (7) .

Outdoor in-feed hopper or conveyor not covered or cover not in place
pooling water splashing into RTE fish or packaging (3)

drains overflowing back into plant affecting product

broken window pane (missing glass) in a process area (2,3)

broken window pane (missing glass) in a support area (not including lunch rooms, washrooms, utility/boiler rooms, etc.) which has not been assessed as Serious (2,3)
Layout, design, construction, of facilities shall:

d) provide suitable temperature for sanitary processing and storage of fish if necessary

Examples will be developed Examples will be developed Not Generally Applicable
Layout, design, construction, of facilities shall:

e) provide for orderly movement of raw material and finished product

delays in process flow such that product quality could be affected (9) Layout does not permit separation by time or space of post process product from pre process product Not Generally applicable
2) Construction materials approved Examples will be developed Examples will be developed materials in use not acceptable (2,3)
packaging/chemicals approved Do not use packaging/chemicals not on list (7) packaging/chemicals in use not acceptable (2,3)
3) outdoor salt fish racks or other equipment properly located, fish handled to prevent contamination do not use Examples will be developed Examples will be developed

Construction, Design, Plant Surroundings
Assessment Guide Table - Schedule II

Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Example situations
Worksheet Line Item Minor Serious Critical
grounds kept clean, free from debris and unnecessary material, maintained to minimize harbourages

pallets/totes/boxes etc. stored next to wall outside plant (8)

tall grass next to plant (8)

uncovered garbage on plant grounds (8)

Not Generally Applicable Not Generally Applicable

grounds kept clean, free from debris and unnecessary material, maintained to minimize harbourages

  • when no anteroom
do not use

pallets/totes/boxes etc. stored next to wall outside plant (7)

tall grass next to plant (7)

uncovered garbage on plant grounds (7)

direct entry into a high risk area that produces high risk products (7)

Not Generally Applicable
areas where fish is loaded, unloaded or handled and other high traffic areas paved, covered with concrete or other impervious material and equipped with proper drains no drain
good drainage (8)

no drain
poor drainage (5)

pad drains towards plant (5)

no pad (5)

Not Generally Applicable

1.2 Floors

Regulations

Schedule I, Section 3

Floors shall be constructed of smooth, impervious, non-absorbent and non-toxic materials, be sloped for drainage and be maintained in a sound condition for ease of cleaning and disinfection.

Schedule II, Section 1

Every Establishment shall implement and comply with its sanitation program.

Intent

Floors must not be allowed to become a potential source of contamination for food products.

Compliance Guide

Floors must be kept in good repair.

Floors in wet working areas (processing, receiving and holding areas) must be of waterproof, non-absorbent, washable, and non-toxic materials, and it is recommended that they be non-slip as well. Expansion joints in cement floors must be sealed. Floors in wet working areas (including coolers) must slope sufficiently for liquid to drain. A slope of 1 cm/metre (1/8 inch/linear foot) has been found to be adequate. If floors are ribbed or grooved to facilitate traction, any grooving of this nature should always run to the drainage channel. No water or waste should be allowed to collect or pool during processing.

Floors in ingredient, packaging, or chemical storage rooms or other support areas may be constructed of wood provided that they are maintained in a clean and sanitary condition. Water or other liquids must not be allowed to collect or pool on floors in these areas.

Floors must be thoroughly cleaned and disinfected at appropriate frequencies with consideration of production conditions.

Floors must be thoroughly cleaned and disinfected as often as required by operating conditions.

Floors
Assessment Guide Table - Schedule I

Wet Working Areas (includes dry process areas which are regularly cleaned and sanitized such as dried fish trimming/packing areas)
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
smooth, impervious, non-toxic, non absorbent do not use

wooden floors(5)

asphalt or other non impervious material(5)

Not Generally Applicable
properly sloped floor slopes away from drains (8)

Not Generally Applicable

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1

Not Generally Applicable

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1

maintained for ease of cleaning and disinfection

cement - small cracks (8)

slight pebbling/exposed aggregate (8)

cement - large cracks, broken, repairs which have not properly sealed (5)

severe wear or pebbling/exposed aggregate (5)

Not Generally Applicable
water does not collect or pool and coolers are properly drained

floor does not drain

no drainage in cooler containing protected/packaged product (8)

no drainage in cooler containing exposed product (7)

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1

Not Generally Applicable

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1

 

Dry Working Areas (areas which are never exposed to water, i.e., ingredient, packaging, chemical storage or support areas etc.) :Table of example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide

Worksheet Line Item Minor Serious Critical
properly constructed asphalt floor(6) Not Generally Applicable Not Generally Applicable
in good repair damage which impedes ability to keep floor swept clean and tidy (6) Not Generally Applicable Not Generally Applicable

Floors
Assessment Guide Table - Schedule II

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
floors (dry or wet)and drains maintained in clean and sanitary condition floors which are unsanitary but are located in areas that will not impact product or the general sanitation of the remainder of the facility and which do not meet the criteria for Serious or Critical (6) floors which are unsanitary to the degree that they may result in the production of unwholesome product (5) floors which are unsanitary to the degree that they expose product to contamination, compromise the assurance that food is processed under sanitary conditions or presents a threat to the health and safety of the consumer (2,3,4)

1.3 Drains

Regulations

Schedule I, Section 4

1) Drains shall be of a type and size sufficient to carry off any process effluent and water from processing and cleaning operations, be equipped with non-corrodible covers or grates and be constructed in a manner that prevents the entry of insect and animal pests, sewer gases or any other deleterious substance.

2) All drainage from an establishment shall be disposed of in a manner acceptable to the President or in accordance with local ordinances.

Intent

Drains must not be allowed to become a source of potential contamination or an avenue for the entry of pests into the establishment. The location, type and size of drainage systems is critical in the prevention of pooling and back-ups of process water which may cause unsanitary conditions.

Compliance Guide

Drains must be large enough to carry off any process effluent and water from processing and cleaning operations without danger of overflowing or becoming obstructed. Drains that are connected to a sewer line must be provided with a check (backwater) valve, and drains that are directly connected to a sewer must be provided with traps. Floor drains should have covers that are removable and are constructed of metal or other acceptable material (covers are not required where drains are located under processing equipment). Open drains, which pass through exterior walls or floors, must be designed so that insects and animal pests cannot enter the processing area.

Drains in processing and support areas must be designed and installed so that they carry effluent away from the processing area. Drains must be kept in good repair and cleaned and disinfected as often as required by operating conditions.

Unless they are required as a direct part of the processing operation (e.g., systems designed to carry away waste products during processing) all catch basins, interceptors and other means of separating organic matter from plant effluent should be located outside the processing area.

Drains
Assessment Guide Table - Schedule I

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
sufficient capacity/non corrodible material rusty drain covers (8) insufficient capacity or obstructed such that water pools on floor (7)

If overflowing back into plant (3,4)

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1 (3, 4)

properly trapped and covered drains not covered where required (8) drain connected to sewer line not trapped or otherwise permits entry of gases (7) Not Generally Applicable
rodent and insect proof do not use

drains not equipped with tight fitting covers, flaps or devices to prevent entry of rodents and insects (7)

devices to prevent rodent and insect entry not in place when required (7)

Not Generally Applicable
equipped with check valve if necessary do not use drain connected to sewer line has no check valve when necessary (7) sewer backup (3,4)
coolers properly drained no drainage in cooler containing protected/packaged product (8) no drainage in cooler containing exposed product (7)

Not Generally Applicable

If the floor not draining or draining in the wrong direction causes cross contamination issues, assess under Section 1.1 (3, 4)

drainage disposed of in an approved manner do not use

process effluent disposed of in a manner which attracts pests to the facility (7)

process effluent which is disposed of in a manner which could impact the general sanitation of the facility (5)

sewage not disposed of in an approved manner (4)

1.4 Walls

Regulations

Schedule I, Section 5

Wall surfaces shall be constructed of smooth, non-absorbent, durable and non-toxic materials that are light-coloured and thoroughly washable, in such a manner that all joints are sealed and floor and wall junctions are coved or rounded, and shall be maintained in a sound condition for ease of cleaning and disinfection.

Schedule II, Section 1

Every Establishment shall implement and comply with its sanitation program.

Intent

Walls must be constructed and maintained in such a way that they will not become potential sources of contamination for food products or allow moisture to enter. Light colours, such as white, off-white or light pastels, allow cleanliness to be evaluated and increase the overall lighting levels in the facility.

Compliance Guide

Walls in wet working areas (processing, receiving and holding areas) must be non-absorbent, smooth and washable. Cement is an acceptable material provided that it has been finished such that it is smooth and washable (i.e. troweled). Poured cement or cement blocks are generally not considered to be sufficiently smooth and must be coated with a suitable material to allow for proper washing. Bare cement will be acceptable in tank rooms where live fish are being held.

Where plywood or similar panelling material is used in the construction of walls, all seams and joints must be made watertight and smooth. The use of painted gypsum-based wallboard, chip board or marine-waterproof wallboard is not permitted in wet working areas. Coolers and blast freezers must meet these requirements and for new registrations, cold storages must also meet these requirements.

Note: Blast freezers which, by the nature of their construction, can only be used for one purpose (i.e. as a blast freezer, or as a tunnel freezer) will be assessed as a piece of equipment under section 2.1 of this Guide. Blast freezers which, by the nature of their construction, could be used for more than one purpose should be assessed as for any other area of the plant under each appropriate section of this Guide (i.e. floors, walls, ceilings, etc). Examples of this are walk in or drive in blast freezers which could be used as processing or storage areas when not being used as a blast freezer.

Exposed rigid foam insulation will only be assessed once under either this section or under section 2.1 - Equipment depending upon the above.

Construction materials used for construction, renovation, and maintenance should be selected on the basis of chemical and physical suitability of the materials in relation to their intended use in a food processing facility. Where the suitability of construction materials is in question, the Reference Listing of Accepted Construction Materials, Packaging Materials and Non-Food Chemical Products(also called the Reference Listing) should be consulted.

In addition to the approved materials for wet working areas, walls in dry working areas may be constructed of wallboard or chip board.

Coving is desired but is not required for existing registrations with walls that have floor/wall joints that are easily cleanable and are effectively and durably sealed to prevent accumulation of water and fish. For new construction, the wall should be supported on a concrete curb rising from the floor where the junction between the curb and the wall does not allow water to enter. There should be coving where possible and the floor should slope away from the wall.

Partitions which form the perimeter of a room are considered walls for the purpose of these requirements.

Walls must be cleaned and disinfected as often as required by operating conditions.

Walls
Assessment Guide Table - Schedule I

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
light coloured not light colour (9) Not Generally Applicable Not Generally Applicable
constructed of approved material do not use

unpainted wood (5)

chipboard, cork (wet areas) (5)

unsealed cement blocks (5)

brick (5)

unfinished wall with exposed fiberglass insulation in process area or area where there is exposed fish or packaging material (3)
washable

rough surfaces (8)

cracked/scored (8)

tarp used as a permanent wall (8)

very rough painted wood (5)

very rough surfaces, cracked/scored (5)

textured surfaces (i.e. stucco) (5)

bare cement which has not been smoothly finished (5)

bare wood (8)

tarp in poor condition used as a permanent wall (8)

Not Generally Applicable
joints sealed, floor/wall joint sealed

wall joints not sealed (8)

floor/wall joint not sealed (8)

opening for service pipe leading to exterior through wall is not sealed (i.e. open to outside) (7)

floor/wall joint is not sealed and is causing accumulation of fish and/or water - assess under Schedule II (below)

Not Generally Applicable
maintained for ease of cleaning and disinfection

flaking paint, mould or rust in a location not likely to affect product or packaging (6)

joints separated in "dry" process areas (6)

damage to wall that will impede cleaning (6)

rusty wall panel screws (6)

flaking paint, mould or rust of a degree and in a location that could fall on fish or into packaging (non RTE) (7)

joints separated such that water can get into wall in "wet" areas (5)

significant damage to wall that will impede cleaning (5)

flaking paint, mould or rust of a degree and in a location that could fall on RTE fish or into packaging. (2,3)

flaking paint, mould or rust that does fall on fish or into packaging

Walls
Assessment Guide Table - Schedule II

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
maintained in a clean and sanitary condition walls which are unsanitary but are located in areas that will not impact product or the general sanitation of the remainder of the facility and which do not meet the criteria for Serious or Critical (6)

walls which are unsanitary to the degree that they may result in the production of unwholesome product (5)

unclean tarp used as a permanent wall (dried blood, protein, scales, offal, dirt, etc)

walls which are unsanitary to the degree that they expose product to contamination, compromise the assurance that food is processed under sanitary conditions or presents a threat to the health and safety of the consumer (2,3,4)

1.5 Ceilings and Overhead Fixtures

Regulations

Schedule I Section 6

Ceilings shall be constructed of smooth, non-absorbent, durable and non-toxic materials that are light-coloured, washable, of a height acceptable to the President of the Agency and maintained in a sound condition for ease of cleaning and disinfection.

Schedule I Section 7

Heating units, water feed lines, piping, lighting, public address or radio systems or other overhead fixtures shall be designed, constructed, installed and finished to prevent the accumulation of dirt and to reduce condensation, the growth of moulds and the shedding of foreign particles into fish being processed beneath and, if the purpose of each is not readily evident, shall be labelled in such a manner that this purpose is readily discernable by an inspector.

Schedule II Section 1

Every establishment shall implement and comply with its sanitation program.

Intent

Ceilings and overhead fittings must not be allowed to become sources of falling debris, dust, condensation or moulds that could contaminate work surfaces or food products. Light-coloured ceilings allow cleanliness to be evaluated and increase the overall lighting levels in the facility.

Compliance Guide

Ceilings in processing, receiving and holding areas must be constructed of durable, smooth, waterproof and light-coloured materials and must be well maintained. Ceilings may be constructed of wood if they are coated with an acceptable material that will prevent moisture from entering the wood. All surfaces must be constructed so as to facilitate cleaning and disinfecting, and joints sealed to prevent the entry of moisture. Suspended ceilings are acceptable provided that the tiles are well fitted and washable (i.e. smooth, non-absorbent, non-toxic). Tiles should be cut and fitted as close as possible to pipes or fixtures which pass through them.

Ceilings must be of sufficient height to allow the sanitary operation of the equipment for the particular area. As a guideline, a minimum of 2.7 metres (9 feet) is appropriate.

Overhead fixtures must be designed, constructed, installed and finished such that they are:

  1. not located directly over fish processing operations (with the exception of lighting, or other fixtures specifically required by the nature of the processing operation);
  2. flush mounted to upper surfaces or ceilings;
  3. boxed in, where practical. Where it is impractical to encase or box overhead pipes and lines into the ceiling, they should be sheathed and insulated or otherwise treated such that surfaces are light colored, smooth and easily cleanable. For new registration, all heating units, water, feed lines, piping, lighting, public address or radio systems or other overhead fixtures and piping, should not be located over head except to the extent required by nature of processing. This requires flush mounting of fixtures such as lights and ventilation and that pipes and lines be in the ceiling where they run above where fish is processed and only drop through where required for processing.
  4. labelled, if necessary, so that their purpose can be easily identified by an inspector.

Supply lines to processing equipment (eg., water, electricity, steam) should feed to the equipment by the shortest route possible. If overhead monorails are used, precautions must be taken to ensure that hydraulic fluids or lubricants do not leak or drip onto production surfaces or food products.

Ceilings and Overhead Fixtures
Assessment Guide Table - Schedule I

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
constructed of approved material exposed rigid foam insulation in a cooler where only packaged/protected fish will be stored (8)

unpainted wood (5)

porous material (i.e., pressed wood, cork, etc.) (5)

exposed rigid foam insulation in a cooler where open processed fish will be stored (7)

unfinished ceiling with exposed fiberglass insulation in process area or area where there is exposed fish or packaging material (3)
light coloured not a light colour (9) Not Generally Applicable Not Generally Applicable
washable

rough surfaces (8)

cracked/scored (8)

tape used to secure cables or pipes (8)

very rough painted wood(5)

very rough surfaces, cracked/scored (5)

textured surfaces (e.g., stucco) (5)

bare wood (8)

Not Generally Applicable
acceptable height insufficient height for operations (9) Not Generally Applicable Not Generally Applicable
maintained for ease of cleaning and disinfection

flaking paint, mould or rust of a degree and in a location not likely to affect product or packaging(6)

damage to ceiling that will impede cleaning (6)

overhead fixtures not sheathed, insulated or otherwise treated such that surfaces are light coloured, smooth and easily cleanable

flaking paint, mould or rust of a degree and in a location that could fall on fish or into packaging (non RTE) (7)

joints separated such that water can get into ceiling in wet areas (5)

significant damage to ceiling that will impede cleaning (5)

flaking paint, mould or rust of a degree and in a location that could fall on RTE fish or into packaging (2,3)

flaking paint, mould or rust that does fall on non RTE fish or into packaging

overhead fixtures designed, constructed, installed, and finished to prevent accumulation of dirt, reduce condensation, moulds, and shedding of materials into fish. Fixtures to be labelled as to purpose if necessary

permits accumulation of condensation, moulds in areas where product or packaging may be exposed and can not be easily cleaned (8)

no labels where necessary (9)

condensate from cooler unit or other refrigeration/freezing equipment not piped to a drain (6)

condensate from cooler unit dripping on or splashing into processed (non RTE) fish (7)

overhead fixtures that are not clean are assessed below (Schedule II).

condensation that could fall into processed non RTE fish

hydraulic fluid, lubricants leaking into product (3)

shedding of toxic material into fish from overhead (ceiling fans, radiant heaters, pipes, etc.) (3)

condensate from cooler unit dripping on or splashing into processed RTE fish (2,3)

condensation that could fall into RTE fish

Ceilings and Overhead Fixtures
Assessment Guide Table - Schedule II

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
maintained in a clean and sanitary condition ceilings which are unsanitary but are located in areas that will not impact product or the general sanitation of the remainder of the facility and which do not meet the criteria for Serious or Critical (6)

ceilings which are unsanitary to the degree that they may result in the production of unwholesome product (5)

overhead fixtures in process area that are obviously dirty/dusty.

ceilings which are unsanitary to the degree that they expose product to contamination, compromise the assurance that food is processed under sanitary conditions or presents a threat to the health and safety of the consumer (2,3,4)

1.6 Windows, Doors and Ventilation

Regulations

Schedule I Section 8

Windows that are capable of being opened, and any other openings to the outside shall be constructed so as to prevent the accumulation of dirt and be fitted with non-corrodible insect-proof and animal-proof screens or other similar devices.

Schedule I Section 17

Natural and mechanical ventilation systems shall provide clean air, inhibit condensation and maintain conditions that are free from smoke, steam or foul odours, and any openings for the ventilation of the processing or support areas shall be fitted with non-corrodible insect-proof and animal-proof screens or other similar devices.

Schedule I Section 9

  1. Doors into and out of processing and support areas shall be constructed of smooth, non-absorbent and non-toxic materials that are washable, be properly fitted and hung and be maintained in a sound condition for ease of cleaning and disinfection.
  2. Doors in an establishment that is constructed after the coming into force of this Schedule shall:
    1. be located so that persons may not enter directly into a processing area, with the exception of holding rooms, from outside the establishment; and
    2. if the doors are emergency exits from a processing area, shall be clearly marked "Emergency Use Only" or with other similar wording and be equipped with emergency door opening devices, panic bars or similar devices that prevent entry from the exterior of the establishment.

Schedule II Section 1

Every Establishment shall implement and comply with its sanitation program

Schedule II Section 8

Doors into and out of an establishment shall be kept closed and may be opened only when necessary to allow personnel, fish, equipment and other materials to enter or leave the establishment unless air curtains or other devices as specified in the establishment's quality management program that prevent the entry of insect and animal pests are in operation.

Intent

Windows and doors must not be allowed to become potential sources of contamination or avenues for the entry of pests. Adequate ventilation is essential to prevent the accumulation of odours, humidity and condensation in a processing establishment. Condensation must be controlled to prevent contamination of walls, equipment and products from ceilings and overhead fixtures.

Compliance Guide

Window frames must be constructed of durable, smooth, waterproof and light-coloured materials. Window frames may be constructed of wood provided they are coated with an acceptable material that will prevent moisture from entering the wood. Window must be sealed to adjacent walls.

Windows that open must be screened, and interior windowsills should be sloped downward or bevelled for ease of cleaning and to prevent accumulation of extraneous material.

Ventilation systems must provide, when the exterior doors are closed, sufficient air exchange and treatment to prevent the buildup of smoke, undesirable odours or excessive heat and humidity, and inhibit condensation.

Air intakes must be located and operated in such a manner as to prevent the intake of contaminated air and the contamination of food products by airborne dust, bacteria or other contaminants. Windows must be kept in good condition and cleaned and disinfected as often as required by operating conditions.

Doors of processing, receiving and holding areas must be constructed of durable, smooth, waterproof and light- coloured materials. Doors may be constructed of wood provided they are coated with an acceptable material that will prevent moisture from entering the wood. Door frames must be sealed to adjacent walls and when closed, should have a close-fitting seal to door frames.

Establishments constructed after April, 1999, must not have doors allowing direct entry into processing areas (except holding rooms) from outside, with the exception of emergency exits. Holding areas or anterooms must be provided through which persons or equipment must pass to enter the processing areas. Holding rooms or ante rooms must be separated from processing areas by walls and doors i.e. (A painted line on the floor or a curtain would not suffice).

Doors must be kept in good condition and cleaned and disinfected as often as required by operating conditions.

Exterior doors must be kept closed when not in use (unless air curtains or other devices to prevent the entry of pests are installed), and cannot be used as a means of ventilating the processing establishment. Plastic strip curtains are not acceptable for exterior doors. If air curtains or other devices are used, they must be effective in preventing the entry of pests. Doors that are not required to be open for continuous movement of people and materials shall be closed whether they have these devices or not.

Although not specifically required for facilities constructed prior to April 1999, it is strongly recommended that direct access to processing areas be prevented through the use of ante rooms or some other similar construction layout. Facilities having processing areas that have direct access to the outside must take extra precautions to ensure that these areas do not become contaminated as a result. Some deficiencies which would normally be categorized as minor pose a greater risk to the processing area when there is direct access to/from the outside and so when that is the case, these deficiencies will be categorized as Serious (see Schedule II Table for this section).

Windows, Doors and Ventilation
Assessment Guide Table - Schedule I

Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Ventilation - Example situations
Worksheet Line Item Minor Serious Critical
adequate ventilation

inadequate ventilation(8)

smoke steam or foul odours not adequately ventilated (9)

Not Generally Applicable Not Generally Applicable
prevents condensation condensation of a degree and in a location that could fall on packaged fish or fish for further processing (8) condensation of a degree and in a location that could fall on processed (non RTE) fish or packaging (5) condensation of a degree and in a location that could fall on processed RTE fish or packaging (2)
designed to prevent pest entry (e.g., screens) do not use

no screens or flaps (5)

holes/damage that allows entry of pests (5)

Not Generally Applicable
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Windows/Openings to Outside- Example situations
Worksheet Line Item Minor Serious Critical
constructed to prevent dirt accumulation window sill not sloped or otherwise designed to prevent dirt accumulation (8) Not Generally Applicable Not Generally Applicable
constructed to prevent entry of pests (e.g., screens) do not use

no screens or flaps (5)

holes/damage to allow entry of pests (5)

Not Generally Applicable

Windows, Doors and Ventilation
Assessment Guide Table - Schedule I

Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Doors (includes plastic strip curtains) - Example situations
Worksheet Line Item Minor Serious Critical
constructed of approved materials do not use

plastic strip curtain on exterior door (if no door) (5)

unapproved material (5)

Not Generally Applicable
washable

rough surfaces (8)

cracked/scored (8)

bare wood (5)

very rough surfaces (5)

very cracked/scored (5)

Not Generally Applicable
properly fitted and hung interior doors not properly fitted (9)

exterior doors not rodent and insect proof (7)

no door in doorway (exterior) (7)

Not Generally Applicable
maintained for ease of cleaning and disinfection

flaking paint, mould or rust in a location not likely to affect product or into packaging (6)

damage to door that will impede cleaning (6)

flaking paint, mould or rust of a degree and in a location that could fall on fish or into packaging (non RTE) (7)

significant damage to door that will impede cleaning (5)

flaking paint, mould or rust of a degree and in location that could fall on RTE fish or packaging (2,3)

flaking paint, mould or rust that does fall on fish or into packaging

Table Note 1doors located so persons may not enter directly into processing area from outside of plant exterior doors allow entry to process area(8) exterior doors allow entry to sanitary zone(7) Not Generally Applicable
Table Note 1emergency exits from processing area clearly marked as such. Cannot be opened from outside

exit not marked (9)

exit from process area to exterior of plant can be opened from outside (8)

exit from sanitary zone to exterior of plant can be opened from outside (7) Not Generally Applicable

Table Notes

Table Note 1

new construction only

Return to table note 1  referrer

Windows, Doors and Ventilation
Assessment Guide Table - Schedule II

Table Summery

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Windows/Openings to Outside - Example situations
Worksheet Line Item Minor Serious Critical
windows maintained in a clean and sanitary condition windows that are unsanitary but are located in areas that will not impact product or the general sanitation of the remainder of the facility and which do not meet the criteria for Serious or Critical (6) windows that are unsanitary to the degree that they may result in the production of unwholesome product (5) windows that are unsanitary to the degree that they expose product to contamination, compromise the assurance that food is processed under sanitary conditions or presents a threat to the health and safety of the consumer (2,3,4)
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Doors (includes plastic strip curtains) - Example situations
Worksheet Line Item Minor Serious Critical
doors maintained in a clean and sanitary condition doors that are unsanitary but are located in areas that will not impact product or the general sanitation of the remainder of the facility and which do not meet the criteria for Serious or Critical (6)

doors that are unsanitary to the degree that they may result in the production of unwholesome product (5)

dirty strip curtains

doors that are unsanitary to the degree that they expose product to contamination, compromise the assurance that food is processed under sanitary conditions or presents a threat to the health and safety of the consumer (2,3,4)

doors maintained in a clean and sanitary condition

  • when no anteroom
Do not use exterior door left open when not in use (unless air curtain or other device) (7) Not Generally Applicable
doors kept closed except to allow personnel, fish, equipment or other materials to enter or exit exterior door left open when not in use when no product, packaging or ingredients are exposed to risk of contamination by pests (unless air curtain or other device) (8) exterior door left open when not in use (unless air curtain or other device) (5) Not Generally Applicable

1.7 Lighting

Regulations

Schedule I Section 16

Natural or artificial lighting shall be provided at intensities adequate to ensure the effective delivery to the processing operation being conducted, and the light fixtures shall have appropriate covers and be installed for ease of cleaning and disinfection.

Intent

Adequate lighting increases efficiency in determining defects, allows easier monitoring of sanitation and reduces safety hazards. Lighting fixtures must have covers to prevent breakage and be designed to be easily cleaned and disinfected to prevent contamination of work surfaces and products.

Compliance Guide

At minimum, a light intensity of 215 lux (20 foot-candles) or more, as measured by a standard light meter, is required in all processing areas to facilitate cleaning. Surfaces where processing and packaging is conducted require stronger lighting; an intensity of 538 lux (50 foot-candles) or more is recommended. More intense lighting, equal to or greater than 1,075 lux (100 foot-candles), is for locations such as inspection stations is recommended. Other areas of the facility such as packaging storage rooms, chemical storage rooms and warehouses must have sufficient lighting to read labels and to properly function in the room.

Light bulbs and fixtures in, and regardless of their height above, all processing and support areas where there is exposed food, ingredients or packaging materials must be adequately covered or be coated with a shatterproof material to prevent contamination in case of breakage. Glass globes or metal/wire cages are not considered to be adequate protection. Emergency lighting can be exempted from this requirement provided that it's location does not pose a risk of contamination in case of breakage.

Light fixtures must be designed to allow cleaning and disinfection and must be cleaned often enough to prevent the accumulation of dust and debris.

Assessment Guide Table - Schedule I

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
adequate lighting provided insufficient lighting to facilitate cleaning (8) Not Generally Applicable Not Generally Applicable
installed for ease of cleaning and disinfecting not installed for ease of cleaning and disinfecting (8) lights are obviously dirty or holding materials that could be shed on product (5) (rate under Schedule II in Section 1.5) shedding of material into fish from overhead (rate in Section 1.5 Ceilings and overhead fixtures)
protective covering

cracked lens cover (in process room) (8,9)

lens cover improperly installed (in process room) (8,9)

unprotected bulb in support area (not including lunch rooms, washrooms, utility/boiler rooms, etc.) where product or packaging or ingredients cannot be directly exposed to risk (a broken or missing lens cover is an unprotected bulb) (7)

unprotected bulb in a process area (2,3)

unprotected bulb in a support area (not including lunch rooms, washrooms, utility/boiler rooms, etc.) which has not been assessed as Serious (a broken or missing lens cover is an unprotected bulb) (2,3)

1.8 Refrigeration/Freezing Facilities

Regulations

Schedule I Section 18

  1. Refrigeration facilities shall be built in accordance with good engineering practices and with respect to freezing equipment shall:
    1. contact freeze a 25 mm-thick block of unpackaged fillets to -18°C in two hours or less; or
    2. air blast freeze fish at a rate that prevents deterioration of the fish, until the thickest section of the fish is at a temperature of -18°C
  2. Refrigeration facilities shall be operated in a manner that minimizes frost build-up.
  3. Cold storages shall be equipped with automatic temperature recording devices capable of recording the temperature at least once every 24 hours.
  4. In refrigeration facilities that are not equipped with automatic temperature recording devices, accurate thermometers must be installed and the temperature read and recorded at least once every 24 hours.
  5. An operator of a registered establishment shall keep a record of each temperature recorded there for a period of three years.

Schedule II Section 16

(2) Cold storages shall maintain the temperature of fish at -18 °C or colder.

(3) Coolers shall maintain fish at a temperature from 4 °C to -1 °C.

Intent

Facilities for temperature control during freezing, storage and refrigeration must be capable of maintaining adequate temperatures. Temperature recording is required for all refrigeration facilities to ensure that minimum temperatures are being met.

Compliance Guide

Refrigeration facilities used for fish and fish products must have the capability to provide and maintain adequate temperatures. This includes freezers (facilities and equipment used to freeze fish), cold storages (used to store frozen fish), and coolers (used to cool and store fish in an unfrozen state).

Freezers must be able to rapidly reduce the temperature of fish products to -18°C (0°F) or lower, to minimize adverse effects on the product being frozen.

Air blast freezers must have sufficient refrigeration capacity, air velocity and correct air circulation through the product being frozen to minimize adverse effects on the product. Experience has shown that evaporator temperatures of -30°C (-22°F) or lower and air velocity rates of 2 m/sec or more are sufficient to achieve adequate freezing rates.

Cold storages must maintain a temperature of -18°C (0°F) or colder. To maintain a high level of fish quality, it is strongly recommended that they be kept at a temperature of -26°C (-15°F). Cold storages must have temperature recording devices that can automatically record the temperature at least once a day, and the temperature recording devices must be sufficiently accurate to confirm that required temperatures are being met. Manual recording of the temperature is not sufficient for cold storages.

Coolers and other facilities and equipment used for the refrigeration of fresh or unfrozen fish products, cooked or chilled crustaceans and all molluscan shellfish products must maintain a temperature between -1 and 4°C (between 30 and 39°F). Allowances must be made for the fact that the temperature may vary slightly above this range due to operating conditions.

Specific processes, for example pre-depuration holding or post-cooking cooling, may require cooling to other temperature ranges, and holding rooms for such processes are not required to meet cooler requirements.

Coolers must have the temperature recorded daily (this includes days the establishment is not operating). However, this can either be done with automatic temperature recording devices, or the temperature can be recorded manually using an accurate thermometer.

Temperature records must be kept for a minimum of three years.

Refrigeration facilities must be maintained in good repair and cleaned and disinfected as required.

Refrigeration/Freezing Facilities
Assessment Guide Table - Schedule I

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
freezing equipment adequate (contact freeze 25mm fish to -18 °C in 2 hrs)   Not Generally Applicable Not Generally Applicable
air blast freeze to -18 °C at a rate that prevents deterioration of fish   Not Generally Applicable Not Generally Applicable
refrigeration facilities operated in a manner that prevents frost build up frost build up (9) Not Generally Applicable Not Generally Applicable
cold storage equipped with automatic temperature recorder no temperature recorder (9) Not Generally Applicable Not Generally Applicable
refrigeration facilities equipped with automatic temperature devices or temperature is recorded once every 24 hours   Not Generally Applicable Not Generally Applicable
temperature records kept for three (3) years

no records (9)

records not kept for three years (9)

Not Generally Applicable Not Generally Applicable

Refrigeration/Freezing Facilities
Assessment Guide Table - Schedule II

Example situations
Table Summary

This table contains the Construction, design, plants and surroundings, including the Worksheet Line Item, Minor and Serious Critical Assessment Guide.

Worksheet Line Item Minor Serious Critical
cold storages maintain fish at -18 °C or colder temperature of fish above -18 °C (9) Not Generally Applicable Not Generally Applicable
coolers maintain fish from 4 °C to -1 °C do not use cooler cannot maintain fish below 4 °C (7) Not Generally Applicable
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