Abalone aquaculture biosecurity protocol audit guidelines
Fisheries Victoria Management Report Series
Management Report Series No. 52
January 2008
ISSN: 1448-1693
ISBN: 978-1-74199-631-9
Preferred way to cite this publication:
Department of Primary Industries (2008). Abalone aquaculture biosecurity protocol audit guidelines. Fisheries Victoria Management Report Series No. 52.
Introduction
Purpose
The purpose of the Abalone Aquaculture Biosecurity Protocol Audit Guidelines (the Guidelines) is:
- to provide guidance to the auditing of the implementation of biosecurity and translocation requirements specified in the Victorian Abalone Aquaculture Translocation Protocol (the Protocol); and
- to facilitate the adoption of best practice biosecurity and translocation procedures on abalone aquaculture sites in Victoria.
Background
The Victorian Abalone Aquaculture Translocation Protocol (the Protocol) was developed by the Department of Primary Industries to manage the risks associated with the translocation of abalone within and to Victorian abalone aquaculture sites. The Protocol documents the risk assessment process undertaken in relation to the translocation of abalone in Victoria and the subsequent controls recommended for translocation activities associated with the abalone aquaculture industry.
The Protocol and its supporting implementation mechanisms promote the adoption of best biosecurity practice in the abalone aquaculture industry and encourage awareness, commitment and accountability. It is recognised that best practice is evolving, and a continual improvement process is required to ensure that the protocols are effectively implemented and adapt to new information and practices.
It is a condition of abalone aquaculture licences that licence holders comply with the requirements of the Protocol as it may be changed from time to time.
Abalone aquaculture licence holders at their cost are required to submit to the DPI an annual audit report that details the extent of the licence holder's compliance with the Protocol. The Guidelines are intended to provide guidance to licence holders and approved contract auditors on the conduct of these audits.
Scope of the Guidelines
The scope of the Guidelines is the biosecurity and translocation controls specified in the Protocol.
Review
Best practice biosecurity evolves with changes in knowledge and experience. From time to time these Guidelines may be reviewed to ensure its currency and relevance to changes in technology, biosecurity and farming practices, and other matters.
Glossary
Audit: A systematic, independent and documented process for obtaining verifiable evidence and evaluating it objectively to determine the extent to which the Protocol controls have been met.
Auditor: A contractor independent of the licence holder who meets the auditor criteria provided in the Auditor qualifications section of the Guidelines and is approved by DPI to undertake the audit.
Non-conformance: The non-fulfilment of a requirement of the Protocol controls.
DPI: Department of Primary Industries, Victoria
Audit requirements
Scope of audit
The scope of the audit is constrained to the biosecurity controls specified in the Protocol and the area specified on the relevant abalone aquaculture licence and any associated inlet and outlet pipes.
Auditor qualifications
All audits must be conducted by a DPI approved independent auditor or audit team (the Auditor) with the following collective qualifications:
- Veterinarian experienced in aquatic health management; and
- Detailed understanding of current abalone aquaculture farming methods and biosecurity practices; and
- Experience in conducting system audits. Auditors must meet the qualification based on the requirements for management system auditors for certification under an accredited auditor competency recognition scheme, or be an experienced quality assurance food production auditor, or be trained by the DPI in undertaking audits in accordance with these audit guidelines.
Auditor approvals
Prior to the audit, licence holders must obtain approval of the Auditor from the DPI. The DPI should be provided with:
- The name(s) and contact details of the Auditor;
- Evidence of the Auditor's conformance with the qualification requirements; and
- A declaration of any actual or potential conflicts of interest and details of how these will be managed by the Auditor. Note, it is preferable that audits are undertaken by somebody other than the farm's nominated veterinarian.
Conducting the audit
The Auditor must undertake a systems audit of relevant control actions specified in the Protocol.
When undertaking the audit, the Auditor must:
- Visit the area specified on the aquaculture licence (the aquaculture facility or site);
- Interview relevant aquaculture staff;
- Review relevant written records;
- Observe relevant culture facilities (including relevant broodstock quarantine arrangements);
- Inspect relevant stock, aquaculture equipment, disinfection methods, wastewater outlets, channels and associated infrastructure;
- Use the audit checklists provided in the following sections as a guide to the type of audit evidence to be gathered for use in preparing the audit report and identification of conformance and any non-conformance; and
- Take account of any direction about the conduct of the audit on the licensed area issued by the Executive Director Fisheries Victoria.
Where possible corrective and or preventive actions are to be agreed with the licence holder during the audit. Any disagreement should be highlighted in the audit report.
Other requirements to be audited
The facilities and operations of each abalone farm vary considerably. In accordance with the Guidelines for assessing translocations of live aquatic organisms in Victoria, translocations may include conditions. Where a licence holder believes the farm is unable to comply with an audit requirement or a requirement of the Protocol, the licence holder may write to the Executive Director Fisheries Victoria to seek a variation to that requirement. Requirements specific to a licensed area may be imposed in writing by the Executive Director Fisheries Victoria. These requirements must be incorporated by the Auditor when undertaking an audit.
Audit reporting framework
Audit report
The Auditor is required to provide to the licence holder a report of a systems audit of relevant control actions specified in the Protocol. The report must identify areas of conformance and any non-conformance and include other observations that may pose an increased risk to the environment.
The Auditor's report must be retained in good condition for a period of three years by the licence holder and be made available for inspection by future auditors and the DPI.
The Auditor's report is to include the following:
- An Audit summary report of the main findings and corrective and or preventive actions required.
- A description of the method and conduct of the audit including date(s) of facility inspection(s), staff interviewed and documents reviewed.
- A review of findings of the audit including all non-conformances and corrective and or preventive actions identified. Corrective and or preventive actions not agreed to with the licence holder should be highlighted.
- A description of the extent of conformance of the facility with the relevant controls of the Protocol.
- The relevant audit checklists for the site with a summary of the audit evidence generated.
Audit summary report
The Auditor's report provided to the licence holder includes an Audit Summary Report as provided in Appendix 1. The licence holder must complete and submit this Audit summary report to the DPI within 30 days of the receipt of the audit report. A copy of each Audit summary report must be retained in good condition for a period of three years by the licence holder and be made available for inspection by future auditors and the DPI. The Audit summary report must contain the information as provided for in Appendix 1.
Remedial action summary report
Following the identification of any nonconformance the licence holder must submit a Remedial action summary report to the DPI within 30 days of the completion date specified for each non-conformance category of remedial action required. The form of this report is provided in Appendix 2. A copy of the Remedial action summary report must be retained in good condition for a period of three years by the licence holder and be made available for inspection by future auditors and the DPI.
Timeframe for audits
Licence holders will be required to submit their first audit report within 12 months of the issue of their licence or by 31 March 2008 and annually thereafter or as requested by the Secretary, DPI or delegate.
Non-conformance categories
Where audit evidence identifies non-conformance with the requirements of the Victorian Abalone Aquaculture Translocation Protocol, the categories given in Table 1 will be used to identify the corresponding actions to be undertaken. Each control in the Protocol has been assigned a nonconformance category from 'A' to 'D' based on the action required to rectify the nonconformance.
Any non-conformance with a control that is classified as a category A non-conformance must be reported to DPI within 24 hours for consideration of an appropriate course of action.
Table 1: Audit non-conformance categories.
| Non-conformance Category | Definition | Required Action |
|---|---|---|
| Category A non-conformance (A) | Failure to meet a requirement of the Protocol that has or will result in a critical risk of the transfer of disease. | DPI to be notified within 24 hours. Corrective actions to be identified and implemented immediately. |
| Category B non-conformance (B) | Failure to meet a requirement of the Protocol that may result in a high risk of the transfer of disease or exotic marine organisms. | Corrective and or preventive action to be identified and agreed with the licence holder. Corrective and or preventive action to be completed within 30 days to the satisfaction of the auditor. |
| Category C non-conformance (C) | Failure to meet a requirement of the Protocol that could result in a significant risk of the transfer of disease or exotic marine organisms. | Corrective and or preventive action to be identified and agreed with the licence holder. Corrective and or preventive action to be completed within 180 days to the satisfaction of the auditor. |
| Category D non-conformance (D) | Failure to meet a requirement of the Protocol that is procedural in nature and likely to result in a low risk of transfer of disease or exotic marine organisms. | Corrective and or preventive action to be identified and agreed with the licence holder. Corrective and or preventive action to be completed by the time of the next annual audit and verified at that audit. |
| NA | Where a non-conformance | |
| category is not applicable to the control. |
User guide
Auditors should establish which translocation pathways are relevant at the site to be audited. Table 2 provides a matrix of translocation pathways and Protocol controls. The summary of the translocation pathways provided below should be read in conjunction with the Protocol.
Off-shore and land based licensees may use different translocation pathways and different combinations of pathways. The Auditor should refer to the Protocol and determine all the relevant pathways used by the licence holder.
| #1 | Translocation of wild broodstock from Victorian waters to licensed land-based aquaculture sites. |
| #2 | Not permitted under the protocol. |
| #3 | Translocation of domesticated broodstock between licensed Victorian land-based aquaculture sites. |
| #4a | Translocation of abalone (nonbroodstock) between licensed Victorian land-based aquaculture sites. |
| #4b | Translocation of abalone (nonbroodstock) from licensed Victorian land-based aquaculture sites to licensed Victorian offshore aquaculture site. |
| #5a | Translocation of abalone from licensed Victorian offshore aquaculture site to licensed Victorian land-based aquaculture site. |
| #5b | Translocation of abalone between licensed Victorian offshore aquaculture sites. |
| #6 | Inadvertent translocation of abalone (marine pests or disease agents) from licensed Victorian land-based aquaculture site to Victorian marine waters. |
| #7 | Inadvertent translocation of abalone (marine pests or disease agents) from licensed Victorian offshore aquaculture site to Victorian marine waters. |
| #8 | Not permitted under the protocol. |
| #9 | Not permitted under the protocol. |
| #10a | Translocation of domesticated abalone from licensed land-based interstate aquaculture site to licensed Victorian land-based aquaculture site. |
| #10b | Not permitted under the protocol. |
| #11a | Translocation of domesticated abalone |
| #11b | Not permitted under the protocol. |
The audit checklists in the next section are to be used as a guide to the type of audit evidence to be generated. Auditors are to conduct the audit so as to develop verifiable audit evidence to support findings for each of the controls for each relevant pathway. The checklists should not be used as a template for the audit but rather to guide the direction for the generation of audit evidence. Auditors may pursue audit trails as they see fit. Auditors may wish to obtain observational audit evidence during one facility inspection, and review records and interview relevant staff separate to the inspection.
Audits may involve a prescriptive list of questions; however rather than be prescriptive the Guidelines are outcome focused and provide guidance not prescription to the Auditor. The Auditor has no authority to interview. Should the farm not comply with the Auditors' requirements then the Auditor must record this in the reports or cease the audit. If the Auditor cannot source verifiable audit evidence then the audit is not complete and the licence holder may be in breach of a licence condition that requires them to abide by the Protocol.
Table 2: Translocation pathways and corresponding protocol controls.
Abalone Aquaculture Translocation Pathways
Y = indicates which protocol controls are required for each pathway.
Y* = indicates a choice of options for control.
| Protocol Control | Non-Conformance Category | 1 | 3 | 4a | 4b | 5a | 5b | 6 | 7 | 10a | 11a |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 1.1 | A | Y | |||||||||
| 1.2 | C | Y | |||||||||
| 1.3 | A | Y | |||||||||
| 1.4 | C | Y | |||||||||
| 1.4 | D | Y | |||||||||
| 1.6 | D | Y | |||||||||
| 1.7 | D | Y | |||||||||
| 1.8 | C | Y | |||||||||
| 1.9 | D | Y | |||||||||
| 1.10 | B | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 3.2 | C | Y | Y | Y | Y | Y | Y | Y | |||
| 3.3 | A | Y* | Y* | Y* | Y* | Y* | Y* | Y* | Y* | Y* | |
| 3.4 | B | Y* | Y* | Y* | Y* | Y* | Y* | Y* | Y* | Y* | |
| 3.5 | B | Y* | |||||||||
| 4.2 | A | Y | Y | ||||||||
| 4.4 | C | Y | Y | ||||||||
| 4.5 | D | Y | Y | ||||||||
| 6.2 | D | Y | Y | ||||||||
| 6.3 | C | Y | |||||||||
| 6.4 | D | Y | |||||||||
| 7.2 | B | Y | |||||||||
| 7.3 | C | Y | |||||||||
| 7.4 | C | Y | |||||||||
| A1 | B | Y | |||||||||
| A2 | D | Y | |||||||||
| A3 | D | Y | |||||||||
| A4 | D | Y | |||||||||
| A5 | B | Y | |||||||||
| A6 | C | Y | |||||||||
| A7 | C | Y | |||||||||
| A8 | D | Y | |||||||||
| A9 | D | Y | |||||||||
| A10 | C | Y | |||||||||
| A11 | D | Y | |||||||||
| A12 | D | Y | |||||||||
| B1 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B2 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B3 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B4 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B5 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B6 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B7 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B8 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B9 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B10 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B11 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B12 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B13 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B14 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B15 | D | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B16 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B17 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B18 | A | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B19 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| B20 | C | Y | Y | Y | Y | Y | Y | Y | Y | ||
| C1 | C | Y | Y | ||||||||
| C2 | D | Y | Y | ||||||||
| C3 | C | Y | Y | ||||||||
| C4 | C | Y | Y | ||||||||
| C5 | D | Y | Y | ||||||||
| C6 | D | Y | Y | ||||||||
| C7 | D | Y | Y | ||||||||
| C8 | D | Y | Y | ||||||||
| C9 | D | Y | Y | ||||||||
| C10 | C | Y | Y | ||||||||
| C11 | D | Y | Y | ||||||||
| C12 | C | Y | Y | ||||||||
| C13 | C | Y | Y | ||||||||
| C14 | A | Y | Y | ||||||||
| C15 | C | Y | Y | ||||||||
| C16 | C | Y | Y | ||||||||
| C17 | NA | Y | Y | ||||||||
| C18 | NA | Y | Y | ||||||||
| E1 | A | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| E2 | A | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| E3 | A | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| E4 | A | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| E5 | D | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| E6 | D | Y | Y | Y | Y | Y | Y | Y | Y | Y | |
| F1 | D | Y | Y | ||||||||
| F2 | D | Y | Y | ||||||||
| F3 | D | Y | Y | ||||||||
| F4 | D | Y | Y | ||||||||
| F5 | C | Y | Y | ||||||||
| F6 | D | Y | Y | ||||||||
| F7 | N/A | Y | Y | ||||||||
| F8 | C | Y | Y | ||||||||
| F9 | D | Y | Y |
Audit checklists
Checklist for core Protocol controls
Non-Audit questions/tasks Audit evidence conformance generated category comments
| Protocol control | Non-conformance category | Audit questions/tasks | Audit evidence generated comments |
|---|---|---|---|
| 1.1 Abalone broodstock for the purposes of aquaculture may only be harvested from the wild under the authorisation of a General Permit and in accordance with permit conditions. | A | Did the facility hold a General Permit that authorised the relevant collection of the broodstock? Obtain a copy of the Permit. Does the number of broodstock (alive or frozen) conform with the General permit requirements? | |
| 1.2 Prior to collection of abalone the permit holder must observe the health status of abalone on the reef and report any unusual mortalities, signs of mortalities or disease to DPI within 24 hours of observation. | C | Were any unusual mortalities, signs of mortalities or disease observed? Are there any records of health status observations being conducted immediately prior to collection? If yes, were these reported to DPI with in 24 hours? | |
1.3 Abalone must not becollected from reefs with an"infected status" as defined under the Livestock Disease Control Act 1994, or suspected infected status. | A | Identify from which reefs wild broodstock were collected. Were these areas defined as "infected status" or suspected infected under the Livestock Disease Control Act 1994 at that time? | |
| 1.4 Licence holders are required to comply with broodstock quarantine and biosecurity arrangements asspecified in Appendix A of the Protocol. | Refer to 'Checklist for Protocol controls in appendix A - Broodstock quarantine and biosecurity standards' on page 18 of these Guidelines. | ||
| 1.5 A wild broodstock batch isstock collected from the same reef code within a seven day period. Reef codes are geographically defined commercial abalone fishing areas available from DPI. | D | Identify the areas where wild broodstock were collected. Verify that batches of broodstock have been collected from the same reef code within a seven day period. Check records of wild broodstock collection. | |
| 1.6 All abalone broodstock must be inspected on arrival for the presence of attached marine exotic organisms by hatchery staff familiar with the marine pests listed in Appendix I. | C | Review inspection records. Were these undertaken in accordance with Appendix I of the Protocol. Verify that the staff that undertook the inspection have been trained to recognise the species listed in Appendix I of the Protocol. Review training records; interview staff. | |
| 1.7 In the event of a suspect marine exotic organism(Appendix I) the licence holder must inform DPI of the suspected marine exotic organism's presence within 24hours, remove the suspectmarine exotic(s) organism,preserve in formalin and make available on request to DPI for identification purposes. | D | Was a suspect marine exotic organism detected during the inspection? If so was it preserved and made available for inspection and was DPI notified within 24 hours? Inspect any preserved samples of any suspect marine exotic organisms. (Note specimens may have been removed by Fisheries Victoria staff for identification) | |
| 1.8 Wild broodstock may not be translocated from the original broodstock quarantine facility. | C | Review records of any broodstock translocated from the facility. Verify that these were not wild caught broodstock. | |
| 1.9 All wild caught abalone broodstock mortalities andnon-related broodstock must be bagged in lots of ten or less,frozen and labelled with the date and time of freezing and the number of abalone in the container, and retained on the premises for collection by a Fisheries Officer at an agreed time. | B | Inspect bagged specimens and verify that these are in lots of ten or less, frozen and labelled with the date and time of freezing and the number of abalone in the container. Compare the number and dates with the records of broodstock. | |
| 1.10 All licence holders undertaking abalone aquaculture are required to undertake an annual audit to detail the extent of compliance with the Protocol as specified in Appendix G of the Protocol | B | Review reports of previous audits, where relevant. Verify that any corrective and or preventive actions have been completed to the satisfaction of Fisheries Victoria. | |
| 3.2 Licence holders are required to comply with farm biosecurity standards asspecified in Appendix B. | Refer to 'Checklist for Protocol controls in appendix B - General land-based abalone farm biosecurity standards' on page 21 of these Guidelines. | ||
| 3.3 Prior to the translocation of domesticated abalone broodstock the licence holder is required to provide a certificate of conformance signed by a competent veterinary authority that declares the aquaculture facility is free of notifiable disease (Livestock DiseaseControl Act 1994) based on an on going stock health surveillance program described in relevant AQUAPLAN or WorldOrganisation for Animal Health manuals (refer Appendix D for surveillance guidelines); or | A | Review the certificate of compliance. Was it signed by a competent veterinary authority or approved veterinarian? Was the certificate current at the time of translocation? Note: Licence holder should be audited for compliance with either 3.3 or 3.4 or 3.5. | |
| 3.4 Prior to the translocation of broodstock abalone and in the absence of an approved surveillance program (refer Appendix D), the licence holder is required to demonstrate that the abalone population proposed for consignment are declared free of notifiable diseases and any unexplained disease outbreak(Livestock Disease Control Act 1994) by providing a certificate of stock health from a competent veterinary authority in accordance with requirements outlined in Appendix E; or | A | Review the certificate of stock health. Was it signed by a competent veterinary authority or approved veterinarian? Was the certificate current at the time of translocation? Note: Licence holder should be audited for compliance with either 3.3 or 3.4 or 3.5. | |
| 3.5 Licence holders are required to comply with broodstock quarantine and biosecurity arrangements as specified in Appendix A, and provide a declaration from the supplier stating that theb roodstock is free of any clinical signs of disease and has shown no unexplained mortality over the past 24 months. | B | Refer to 'Checklist for Protocol controls in appendix A - Broodstock quarantine and biosecurity standards' on page 18 of these Guidelines. Review the supplier declaration. Note: Licence holder should be audited for compliance with either 3.3 or 3.4 or 3.5. | |
| 4.2 Abalone larvae may only be translocated if the competent veterinarian authority declares the aquaculture facility (and relevant stock) is free of notifiable diseases inaccordance with a recognised health surveillance program(refer Appendix D). | C | Review the declaration from the competent veterinary authority and confirm it was current when stock translocated. | |
| 4.4 Licence holders arerequired to comply with farmbio-security standards asspecified in Appendix C. | Refer to 'Checklist for Protocol controls in appendix C - General offshore abalone farm biosecurity standards' on page 27 of these Guidelines. | ||
| 4.5 The parentage of abalone,whose progeny is intended tobe grown in offshore aquaculture facilities, must be sourced from within the same embayment or from a location approved by Fisheries Victoria. | D | Determine the location from which parent abalone were sourced. Verify that this location was approved by Fisheries Victoria. | |
| 6.2 The licence holder (ornominee) is required tomonitor the health status of wild abalone (if present) and survey for marine exoticswithin a radius of 50 metres ofthe land-based waste water discharge or offshore aquaculture equipment on abiannual basis or during a period of significant mortality using approved diving practices (refer Appendix F). | D | Obtain documentation relating to monitoring. Was monitoring conducted biannually and during any periods of high mortality? Was the monitoring conducted within a 50 metre radius of landbased waste water discharge or offshore aquaculture equipment? Assess the diving practices against the requirements of Appendix F (Refer 'Checklist for Protocol controls in appendix F - Diving practices and disinfection protocols'). | |
| 6.3 The licence holder mustensure that all farm screens,barriers, nets, sluices or other equipment designed to contain abalone within the farm are securely fastened in place andare in proper working orderand of an appropriate size to prevent escape. | C | Inspect equipment designed to contain abalone. Is the equipment:
| |
| 6.4 Abalone must not be stocked or allowed to reside in the settlement tanks or ponds and outfall channels of land based premises. | D | Inspect the settlement tanks or ponds and the outfall channel(s)/drains. Are any abalone observed? | |
| 7.2 The licence holder is prohibited from the disposing of live, dead or moribundab alone into the marine environment. | A | Inspect disposal facilities for abalone? Verify that these facilities do not allow abalone to move to the marine environment. If possible inspect adjacent marine areas. Are there any signs that abalone have been disposed in these areas? | |
| 7.3 The licence holder isr equired to maintain all commercial aqua culture equipment to prevent escapement of abalone and ensure that it remains in seaworthy condition at all times. | C | Inspect the aquaculture equipment. Verify that the equipment prevents escapement of abalone and is seaworthy | |
| 7.4 The licence holder is required to comply with the Guidelines for Environmental Baseline Surveys and Ongoing Monitoring of Aquaculture Fisheries Reserves in Port Phillip and Western Port. | NA | Not for audit. This control is subject to a separate audit mechanism. |
Checklist for Protocol controls in appendix A - Broodstock quarantine andbiosecurity standards
|
Appendix control |
Nonconformance category | Audit questions/tasks |
Audit evidence generated comments |
|---|---|---|---|
| Broodstock holding facility | |||
| A1. All abalone broodstock batches received at the landbased aquaculture site must be held in a fully enclosed and secure broodstock holding facility (lockable and vermin proof). | B | Inspect the holding facilities for wild broodstock received at the land-based aquaculture site. Are these fully enclosed and secure? Are the facilities lockable and vermin proof? | |
| A2. Each abalone broodstock batch delivered to the broodstock holding facility must be retained in labelled separate culture vessel(s) without commingling with other stock. | B | Inspect the culture vessel(s). Are they labelled? Is wild abalone broodstock delivered to the facility commingling with other stock evident or likely? | |
| A3. Foot baths will be located at all entry and exit points so as to provide for effective disinfection of footwear at all times. | D | Inspect entry and exits points. Are foot baths provided? Are the foot baths appropriately sited? Is the disinfectant used appropriate? Check the Material Safety Data Sheets. Is the disinfectant changed at regular and appropriate intervals? | |
| A4. Hand washing basins will be located at main entry and exit points | D | Inspect the main entry and exit points. Are hand washing basins provided? | |
| Disinfection requirements | |||
| A5. There will be zero discharge of untreated liquid effluent from the enclosed broodstock facility to the marine environment. | B | Inspect effluent treatment facilities and outfall channels. Verify that untreated effluent cannot be discharged. | |
| A6. Liquid wastes, including water used to transport abalone, must be disinfected using methods listed in AQUAPLAN or World Organisation for Animal Health manuals. | B | Inspect liquid waste disinfection. Is the disinfection method listed in AQUAPLAN or World Organisation for Animal Health manuals? | |
| A7. All filtered residues, filters and other solid waste outputs will be disinfected in a manner listed in AQUAPLAN or World Organisation for Animal Health manuals. | C | Inspect the disinfection process of filtered residues, filters and other solid waste outputs. Is the disinfection method listed in AQUAPLAN or World Organisation for Animal Health manuals? | |
| A8. A record of all wastewater treatment (disinfection) processes must be maintained and made available to DPI staff on request. | D | Review records of disinfection processes. Do these records include all relevant information? Are the records readily identifiable? Are the records appropriately stored and maintained (readily retrievable and protected from damage). | |
| Staff movement | |||
| A9. All staff are required to disinfect hands and footwear prior to exiting the facility. | D | Establish how staff are informed of the requirement for disinfection of hands and footwear. Interview a sample of staff on their awareness of this requirement. | |
| Broodstock monitoring | |||
| A10. Staff must undertake daily monitoring of all broodstock for the presence of disease, morbidity and or any unusual behaviour which may indicate the presence of disease. | C | Review records of the dailymonitoring. | |
| A11. Daily monitoring must berecorded in a bound book withnumbered pages. | D | Verify that the monitoring recordsare maintained in a bound bookwith numbered pages. | |
| A12. Record books must be kept for a period of 3 years after the date of the last entry. | D | Verify that records books are kept for a period of 3 years after the date of the last entry. |
Checklist for Protocol controls in appendix B - General land-based abalone farm biosecurity standards
|
Appendix control |
Nonconformance category | Audit questions/tasks |
Audit evidence generated comments |
|---|---|---|---|
| Disinfection/hygiene practices | |||
| B1. All culture unit(s) used to hold abalone must bemaintained to ensure that any build up of organic matter suchas faeces, un eaten feed,mortalities and fouling organisms does not compromise the health of the abalone and contribute to an increased risk of disease. | C | Inspect culture units and verify there is no build up of organic matter or dead abalone. Review any maintenance records. | |
| B2. Culture units used to holdabalone must be exposed to fallowing, drying and disinfection between consignments of stock. | D | Inspect maintenance records for culture units and verify the units are exposed to fallowing, drying outand disinfection between consignments of stock. Interview relevant staff and verifyt hese practices are undertaken. | |
| B3. All waste water outlet channels and pipes must be regularly inspected, cleaned and where possible disinfected. | D | Review any records of the inspection and maintenance of waste water outlet channels and pipes. Interview relevant staff and verify these practices are undertaken. | |
| B4. Foot baths must be provided at key locations and maintained to provide effective disinfection of footwear at all times. | D | Inspect the facility and verify that footbaths are provided at key locations. Are the foot baths appropriately sited?Is the disinfectant used appropriate? Check the Material Safety Data Sheets. Is the disinfectant changed at regular and appropriate intervals? | |
| B5. All dead and moribund abalone must be removed from the culture units as soon as practical but at least daily. | C | Inspect the culture units and interview relevant staff to verify that dead and moribund abalone are removed at least daily. Review maintenance records for the culture units and verify that these are inspected daily for dead and moribund abalone, and the relevant abalone removed. | |
| B6. All mortalities must be disposed of in a manner approved by the Victorian Environment Protection Authority. | B | Review the procedure for disposing of mortalities. Inspect any disposal facilities. Verify that the Victorian Environment Protection Authority approves the disposal method. | |
| B7. Any equipment, protectiveclothing or footwear broughton to the aquaculture site thatwill come into contact withabalone or water used to hold abalone must be cleaned priorto use. | B | Review any documented procedures relating to disinfection of equipment, protective clothing or footwear brought on to the aquaculture site. Is the procedure adequate? Interview a sample of relevant staff.Verify that the procedure is implemented. | |
| B8. Any equipment, protective clothing or footwear used on the aquaculture site must not be used on another aquaculture site unless it is cleaned and disinfected priorto use. | B | Review any documented procedures relating to disinfection of equipment, protective clothing or footwear to be used on another aquaculture site. Is the procedure adequate? Interview a sample of relevant staff.Verify that the procedure is implemented. | |
| B9. Use dedicated equipmentand or protective clothing forspecific areas (e.g. broodstockfacility, nursery, growout etc.)of the aquaculture site. | C | Review any documented procedures relating to the use of dedicated equipment and or protective clothing for specific areas. Is the procedure adequate? Interview a sample of relevant staff. Verify that the procedure is implemented. | |
| B10. Restrict staff movement toonly those areas where they undertake regular duties. | D | Review any documented procedures relating to staff movement around the facility.Is the procedure adequate? Are there signs around the facility or other mechanisms to restrict staff movement? | |
| B11. Restrict public access and movement throughout the aquaculture site. | C | Identify how public access iscontrolled (e.g. sign-in procedures,use of escorts). | |
| Stock monitoring | |||
| B12. Undertake daily inspections of all abalone stock for the presence of disease,morbidity or any unusual behaviour which may indicatethe presence of disease. | C | Identify how public access iscontrolled (e.g. sign-in procedures,use of escorts). | |
| Record keeping | |||
| B13. Retain accurate records of all inspections. Records will include the number (and species) of abalone held in each culture vessel, stocking rates, mortalities, incidence of significant stressors and other fish health observations. | C | Review records of inspections. Verify that the requirements are met. | |
| B14. Maintain an accurate record of all translocation movements onto and off the aquaculture site including the location and contact details of the supplier or receiver, date of supply and the numbers and species of abalone translocated. | C | Review records of inspections. Verify that the requirements are met. | |
| B15. Record books must bekept for a period of 3 years after the date of the last entry | D | Verify that records books are keptfor a period of 3 years after the dateof the last entry | |
| Monitoring of marine exotic organisms | |||
| B16. A subset (maximum of 150 or 2% or whichever is lesser) of all abalone stock must be inspected on arrival at the aquaculture site for the presence of attached marine exotic organisms and the results of these inspections recorded in a log book. | C | Review records of the arrival of abalone stock. Verify that at least 150 or 2% of abalone stock have been inspected. Review the inspection log book | |
| B17. In the event of a suspected marine exotic organism the licence holder must inform DPI within 24 hours, removed the suspect marine exotic(s) organism, preserve in formalin and make available to DPI on request for identification purposes. | C | If a suspected marine exotic was detected review the records informing DPI. Inspect any preserved specimens. Verify preservation technique. | |
| Reporting requirements | |||
| B18. In the event of significantmortality or suspected diseasethe licence holder is required toinform DPI within 24 hours. | A | Establish whether a significantmortality or suspected disease has occurred. This may be established though interviews and/or review ofrecords. Verify that DPI was informedwithin 24 hours. | |
| B19. On request, make available to DPI the infected stock for the purpose of pathological examinations. | C | Establish whether DPI required infected stock samples for pathological examination. Where possible, verify that these samples were provided. | |
| Post translocation quarantine | |||
| B20. On arrival, all batches of translocated abalone must be quarantined from other farm stock for a minimum period of 6 weeks. Quarantine involves: separate sea water supply, feeding and cleaning system; effective spatial or physical barriers to reduce cross contamination by splashing; and, arrangements for controlling access by personnel. | B | Inspect quarantine facilities and verify that these have:
Review quarantine records and verify that quarantine was maintained for at least 6 weeks. |
Checklist for Protocol controls in appendix C - General offshore abalonefarm biosecurity standards
|
Appendix control | Non- conformance category | Audit questions/tasks | Audit evidence generated comments |
|---|---|---|---|
| Disinfection/hygiene practices | |||
| C1. All culture unit(s) used tohold abalone must be maintained to ensure that anybuild up of organic matter such as faeces, uneaten feed,mortalities and fouling organisms does not compromise the health of theabalone and contribute to an increased risk of disease. | C | Inspect culture units and verify there is no build up of organic matter. Review any maintenance records. | |
| C2. Culture units used to hold abalone must be exposed to fallowing, drying and disinfection between consignments of stock. | D | Inspect maintenance records forculture units and verify the units are exposed to fallowing, drying outand disinfection between consignments of stock.Interview relevant staff and verify these practices are undertaken. | |
| C3. All dead and moribund abalone must be removed from the culture units immediately on inspection or as soon as practical therafter on the day of inspection. | C | Insect the culture units and verify that dead and moribund abalone areabsent. Review maintenance records for the culture beds and verify that these are inspected regularly for dead and moribund abalone, and that these are removed. | |
| C4. All mortalities must be disposed of in a manner approved by the Victorian Environment Protection Authority. | B | Review the procedure for disposing of mortalities. Inspect any disposal facilities. Verify that the Victorian Environment Protection Authority approves the disposal method. | |
| Staff movements | |||
| C5. Any equipment, protectiveclothing or footwear broughton to the aquaculture site that will come into contact with abalone must be cleaned prior to use. | B | Review any documented procedures relating to disinfection of equipment, protective clothing or footwear brought on to the aquaculture site.Is the procedure adequate? Interview a sample of relevant staff.Verify that the procedure is implemented. | |
| C6. Any equipment, protective clothing or footwear used on the aquaculture site must not be used on another aquaculture site unless it is cleaned and disinfected prior to use. | B | Review any documented procedures relating to disinfection of equipment, protective clothing or footwear to be used on another aquaculture site.Is the procedure adequate? Interview a sample of relevant staff. Verify that the procedure is implemented. | |
| C7. Restrict public access and movement throughout the aquaculture site. | D | Identify how public access is controlled. | |
| Stock monitoring | |||
| C8. Undertake daily inspections (weatherpermitting) of all abalone stock for the presence of disease,morbidity or any unusual behaviour which may indicatethe presence of disease. | C | Review any records of daily inspections. If disease, morbidity or unusual behaviour was noted what was the response? | |
| Record keeping | |||
| C9. Retain accurate records ofall inspections. Records will include the number (andspecies) of abalone held in each culture vessel, stocking rates,mortalities, incidence of significant stressors and other fish health observations. | C | Review records of inspections. Verify that the requirements are met. | |
| C10. Maintain an accurate record of all translocation movements onto and off the aquaculture site including the location and contact details of the supplier or receiver, date ofsupply and the numbers and species of abalone translocated. | D | Review records of inspections. Verify that the requirements are met. | |
| C11. Record books must bekept for a period of 3 years after the date of the last entry. | D | Verify that records books are kept for a period of 3 years after the date of the last entry. | |
| Monitoring of marine exotic organisms | |||
| C12. A subset (maximum of150 or 2% or whichever islesser) of all abalone stock must be inspected on arrival at the aquaculture site for the presence of attached marineexotic organisms and the results of these inspections recorded in a log book | C | Review records of the arrival of abalone stock. Verify that at least 150 or 2% have been inspected. Review the inspection log book. | |
| C13. In the event of a suspected marine exotic organism the licence holder must inform DPI within 24 hours, removed the suspect marine exotic(s)organism, preserve in for malinand make available to DPI on request for identification purposes. | C | If a suspected marine exotic was detected review the records informing DPI.Inspect any preserved specimens. Verify preservation technique. | |
| Reporting requirements | |||
| C14. In the event of significantmortality or suspected disease the licence holder is required to inform DPI within 24 hours. | A | Establish whether a significant mortality or suspected disease has occurred. This may be established though interviews and/or review of records. Verify that DPI was informed within 24 hours. | |
| C15. On request make available to DPI the infected stock for the purpose of pathological examinations. | C | Establish whether DPI required infected stock samples for pathological examination. Verify that these samples were provided. | |
| Pre-translocation quarantine | |||
| C16. Prior to translocation of abalone to an offshore site,each batch must be quarantined for a minimum period of 6 weeks. Quarantine involves: separate sea watersupply, feeding and cleaning systems; effective spatial or physical barriers to reduce cross contamination by splashing; and, arrangements for controlling access by personal. | B | (If stock are translocated from the facility being audited.) Inspect quarantine facilities and verify that these have:
Review quarantine records and verify that quarantine was or is being maintained for at least 6 weeks. | |
| C17. In the event of a stock health certification being withdrawn by the approved veterinarian, the veterinarian may recommend to DPI an extension of the quarantine period or any other action to further assess the health status of quarantined abalone. | N/A | Has a stock health certificate been withdrawn? If so, was the stock further assessed and approved by DPI for translocation? Review any recommendations to DPI. Verify that these conditions were met. | |
| C18. The recommendations of the veterinarian in respect of C17, must be approved by DPI prior to the veterinarian issuing a new stock health certificate. | N/A | If any recommendations were made at C17, verify that DPI approved these prior to the veterinarian issuing a new stock health certificate. |
Checklist for Protocol controls in appendix E - Batch certificationrequirements for abalone stock
|
Appendix control | Non-conformance category | Audit questions/tasks | Audit evidence generatedcomments |
|---|---|---|---|
| E1. Provide a declaration issued by the supplier that there has been no notifiable diseases (Livestock Disease Control Act 1994) or unexplained disease outbreak or the past 24 months. | A | Review a sample of supplier declarations. | |
| E2. Provide a certificate of stock health from an approved veterinarian certifying that the proposed consignment of abalone(s) is free of notifiable diseases (Livestock DiseaseControl Act 1994). This certificate will be based on a visit to the premises by the approved veterinarian to inspect the health status of the stock for the presence of clinically abnormal abaloneand a review of farm recordsand farm biosecurity. | A | Review a sample of the certificatesof stock health. Verify that the certificate was basedon a visit by the approved veterinarian. Was the translocation approved by DPI? | |
| For interstate translocation: | |||
| E3. Provide a certificate from the competent veterinarian authority of that state or territory certifying that notifiable diseases of abalone has not been reported over the past 24 months from the regionin which the premises are located. | A | Review a sample of the certificates. | |
| Pre-consignment interstate hatchery accreditation: | |||
| E4. In addition to the above requirements, all abalone including larvae to be translocated from licensed interstate aquaculture sites must be accompanied by a statement of compliance. This statement must explain the steps undertaken by the site to eliminate non endemic abalone species from the proposed consignment and must besigned by the responsible licence holder or delegate. | A | Review a sample of the statements of compliance. | |
| E5. A copy of a certificate of stock health must be provided to the Aquaculture Section of Fisheries Victoria at least two business days prior to the translocation. | D | Verify that copies of the certificates of stock health were provided to the Aquaculture Section of Fisheries Victoria. Verify that the certificates were provided at least two days prior to translocation. | |
| E6. The certificate of stock health will be valid for a maximum period of two weeks after the date of issue. The certificate will be invalidated if there is evidence of disease,significant or unexplained mortality, commingling with other stock that may compromise the health statusof the batch or breach of quarantine. | D | Verify that translocations from interstate aquaculture sites occurred within 2 weeks of the issue of the certificate(s). |
Checklist for Protocol controls in appendix F - Diving practices and disinfection protocols
The following protocol applies to dive inspections of abalone on reef (natural or man-made) in closeproximity to both licensed abalone farm discharges and licensed abalone offshore aquaculture sites (referSection 6.2 of the Protocol).
|
Appendix control | Non-conformance category | Audit questions/tasks | Audit evidence generated comments |
|---|---|---|---|
| Diving practices | |||
| F1. All divers and support staff must meet all relevant Marine Safety Victoria and Australian diving standards | NA | Not a biosecurity control. | |
| F2. Divers are required to inspect reef habitat (waterdepth less than 20 metres) by diving and carefully observing and recording the presence of any dead, dying or moribund abalone and the presence of any unusual signs that may suggest a disease event in wild abalone stock. | D | Verify that dives recorded the presence of any dead, dying or moribund abalone and the presence of any unusual signst hat may suggest a disease event in wild abalone stock | |
| F3. Particular diligence and attention to detail is warranted to observe abalone and sufficient time should be allowed for this purpose. A minimum dive time of twenty(20) minutes should occur overknown abalone habitats. Divers must inspect a minimum of 100 abalone (if present) and recordthe number of live, moribundand recently dead abalone. | D | Verify that dives were for a minimum duration of 20 minutes. Verify that at least 100 abalone were inspected. | |
| F4. The location of each divingactivity (reef code description,GPS or other landmark orfeature) must be accuratelyrecorded in a log book. The logbook must be made availableto Fisheries Victoria authorisedofficers on request. | D | Verify that dive positions were recorded.Interview a sample of divers if possible. Verify that the requirements of F1, F2, F3 and F4 were met. | |
| F5. The licence holder isrequired to report anyincidence of dead, dying ormoribund abalone and thepresence of any unusual signsthat may suggest a diseaseevent in wild abalone stock to Fisheries Victoria within 24hours of observations. | C | From the dive logs or equivalent documentation, establish whether dead, dying or moribund abalone were detected. If yes, review records demonstrating that Fisheries Victoria was notified within 24 hours of observation. | |
| Disinfection protocols | |||
| F6. For the purposes of disinfecting wet suits, gloves,abalone irons and other associated diving equipment,there are a range of suitable disinfection techniques. Priorto any disinfection, organicmaterial should be removedand appropriately disposed ofbefore applying the disinfectant. | D | Review dive procedures(documented or by interview) and verify that dive procedures are adequate. | |
| F7. The common disinfectants are listed below:(i). A solution of Calciumhypochlorite Ca(OCl)2 prepared daily at a minimum active concentration of 7g/litre.When using Calciumhypochlorite or Virkon™ the exposure (contact time) shallexceed 10 minutes applied byimmersion;(ii). Virkon™ powder at aconcentration of 20g/litre orequivalent;(iii). Disinfection of equipmentusing commercially availablecleaning products such as Truckwash™, Napisan™ or equivalent requires longercontact periods and product directions must be followed. | NA | Verify an appropriate disinfectant is used. | |
| When to apply disinfection | |||
| F8. Disinfection of gloves andabalone irons must occur between dives at the same location and complete gear disinfection must occur when moving between dive locations. | C | Review dive procedures. Verify that disinfection occurs between dives at the same location and complete gear disinfection occurs when moving between dive locations. | |
| Marine exotics | |||
| F9. Divers are required when diving to inspect reef habitat,observing and recording the presence of any marine exotics(Appendix I of the Protocol),and report any presence to DPI. | D | Establish whether the presence of marine exotics is allowed for.If marine exotics have been observed, review records demonstrating that DPI was notified. |
Appendices
Appendix 1: Audit summary report
Auditor name: …………………………………………………………………………………….
Company name: ……………………………………………………………………………………
Address: ……………………………………………………………………………………………...
Telephone: ……………………. Mobile: ……………………. Email: ……………………………
Aquaculture Licence holder: ………………………………………………………………………
Site: …………………………………………………………………………………………………...
Telephone: ……………………. Mobile: ……………………. Email: ……………………………
Period covered by audit: …………/…………/…………to…………/…………/………….
Audit undertaken on: …………/…………/…………
Conformance and non-conformance
Mark conformance with controls as 'C'; Mark non-conformance as 'N'; (Leave controls not-audited blank)
| Core Protocol controls | Appendix A controls | Appendix B controls | Appendix C controls | Appendix E controls | Appendix F controls |
|---|---|---|---|---|---|
| 1.1 | A1 | B1 | C1 | E1 | F1 |
| 1.2 | A2 | B2 | C2 | E2 | F2 |
| 1.3 | A3 | B3 | C3 | E3 | F3 |
| 1.4 | A4 | B4 | C4 | E4 | F4 |
| 1.6 | A6 | B6 | C6 | E6 | F6 |
| 1.7 | A7 | B7 | C7 | F7 | |
| 1.8 | A8 | B8 | C8 | F8 | |
| 1.9 | A9 | B9 | C9 | ||
| 1.1 | A10 | B10 | C10 | ||
| 3.2 | A11 | B11 | C11 | ||
| 3.3 | A12 | B12 | C12 | ||
| 3.4 | B13 | C13 | |||
| 3.5 | B14 | C14 | |||
| 4.2 | B15 | C15 | |||
| 4.4 | B16 | C16 | |||
| 4.5 | B17 | C17 | |||
| 6.2 | B18 | C18 | |||
| 6.3 | B19 | ||||
| 6.4 | B20 | ||||
| 7.2 | |||||
| 7.3 | |||||
| 7.4 |
Summary of remedial action required due to non-conformance
| Protocol control | Non-conformance category | Agreed remedial action | Required completion date for remedial action | Remedial action not agreed to by licence holder |
|---|---|---|---|---|
Other observations that may pose an increased risk to the environment
…………………………………………………………………………………….………………………….………… …………………………………………………………………………………….………………………….………… …………………………………………………………………………………….………………………….………… …………………………………………………………………………………….………………………….………… …………………………………………………………………………………….………………………….………… …………………………………………………………………………………….………………………….…………
Auditor declaration
I, ………………………………………….., of …………………………………………………………..(company)
declare that this document is a true and accurate summary of the audit of implementation of the Victorian Abalone Aquaculture Translocation Protocol.
Signature:
Date:
License holder's declaration
I, ………………………………………….., of …………………………………………………………..(company)
declare that this document is a true and accurate summary of the audit of implementation of the Victorian Abalone Aquaculture Translocation Protocol.
Signature:
Date:
Appendix 2: Remedial action summary report
Circle category of Protocol controls that this report details: A B C D
Date of audit:......../......./.........
| Protocol control | Agreed remedial action | Required completion date | Completed (Y/N) |
|---|---|---|---|
Declaration by licence holder
I, ………………………………………….., of …………………………………………………………..(company)
declare that this document is a true and accurate summary of the completion of remedial action required from the audit of implementation of the Victorian Abalone Aquaculture Translocation Protocol undertaken on ……./……./…….
Signature:
Date:
ISSN: 1448-1693
ISBN: 978-1-74199-631-9
Preferred way to cite this publication:
Department of Primary Industries (2008). Abalone aquaculture biosecurity protocol audit guidelines. Fisheries Victoria Management Report Series No. 52.