iii

TECHNICAL GUIDELINES ON AQUACULTURE
CERTIFICATION

iv
FOOD AND AGRICULTURE ORGANIZATION OF THE UNITED NATIONSORGANISATION DES NATIONS UNIES POUR L’ALIMENTATION ET L’AGRICULTURE
ORGANIZACIÓN DE LAS NACIONES UNIDAS PARA LA ALIMENTACIÓN Y LA AGRICULTURA
Rome, Roma, 2011
The designations employed and the presentation of material in this information product do not imply the expression of any opinion
whatsoever on the part of the Food and Agriculture Organization of the United Nations (FAO) concerning the legal or development statusof any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries. The mention of specificcompanies or products of manufacturers, whether or not these have been patented, does not imply that these have been endorsed orrecommended by FAO in preference to others of a similar nature that are not mentioned.
ISBN 978-92-5-006912-8
All rights reserved. Reproduction and dissemination of material in this information product for educational or other non-commercial
purposes are authorized without any prior written permission from the copyright holders provided the source is fully acknowledged.
Reproduction of material in this information product for resale or other commercial purposes is prohibited without written permission of
the copyright holders. Applications for such permission should be addressed to: Chief, Electronic Publishing Policy and Support Branch,Communication Division, FAO, Viale delle Terme di Caracalla, 00153 Rome, Italy or by e-mail to: copyright@fao.org© FAO 2011 PREPARATION OF THIS DOCUMENTThe Technical Guidelines on Aquaculture Certification have been developed by FAO upon the request of its Members attending the
3rd Session of the Committee on Fisheries (COFI) Sub-Committee on Aquaculture, held in India from 48 September 2006, through athorough consultative process with major stakeholders from governments, industry and civil society. The guidelines were approvedby the 29th Session of COFI, held in Rome from 31 January to 4 February 2011. The guidelines provide advice on developing,organizing and implementing credible aquaculture certification schemes, which are viewed as potential market-based tools forminimizing negative impacts and increasing societal and consumer benefits and confidence in the process of aquaculture production
and marketing.

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CONTENTSPage

TECHNICAL GUIDELINES ON AQUACULTURE CERTIFICATION

iii

BACKGROUND

1

SCOPE

1

TERMS AND DEFINITIONS1APPLICATION

3PRINCIPLES

4MINIMUM SUBSTANTIVE CRITERIA

4Animal health and welfare

5

Food safety

5

Environmental integrity

6

Socio-economic aspects

7

INSTITUTIONAL AND PROCEDURAL REQUIREMENTS

8

Governance

8Standard setting

8

Accreditation

11

Certification

14

SPECIAL CONSIDERATIONS FOR IMPLEMENTATION

18

1

TECHNICAL GUIDELINES ON AQUACULTURE CERTIFICATIONBACKGROUND
1.
Global production from aquaculture is growing substantially and provides increasingly significant volumes of fish andother aquatic food for human consumption, a trend that is projected to continue. Although aquaculture growth has potential tomeet the growing need for aquatic foods and to contribute to food security, poverty reduction and, more broadly, to achieving
sustainable development and the Millennium Development Goals, it is increasingly recognized that improved management of
the sector is necessary to achieve this potential.
2.
Aquaculture is a highly diverse production sector comprising many different systems, sites, facilities, practices,
processes and products, conducted under a wide range of political, social, economic and environmental conditions.
3.
Efforts to promote aquaculture development should recognize the special concerns and interests of resource-poor smallscale aquaculture farmers, and encourage corporate social responsibility in engaging small-scale farmers and other small-scale
stakeholders in market chains. Certification schemes should not create obstacles to trade or exclude small-scale farmer
aquaculture products from market chains.
4.
Aquaculture production and trade have increased, but concerns have emerged regarding possible negative impacts on
the environment, communities and consumers. Solutions to many of these issues have been identified and addressed. The
application of certification in aquaculture is now viewed as a potential market-based tool for minimizing potential negative
impacts and increasing societal and consumer benefits and confidence in the process of aquaculture production and marketing.
5.
Although aquatic animal health and food safety issues of aquaculture have been subjected to certification andinternational compliance for many years, aspects of animal welfare, environmental issues and socio-economic aspects have notbeen subjected to compliance or certification.
SCOPE
6.
These guidelines provide guidance for the development, organization and implementation of credible aquaculture
certification schemes.
7.
The guidelines consider a range of issues which should be considered relevant for the certification in aquaculture,including:a) animal health and welfare; b) food safety; c) environmental integrity and d) socio-economic aspects associated withaquaculture.
8.
Sustainable development of aquaculture depends on three factors, social, economic and environmental sustinability, allof which have to be addressed proportionally.
9.
There is an extensive national and international legal framework in place for various aspects of aquaculture and its value
chain, covering such issues as aquatic animal disease control, food safety and conservation of biodiversity. Legislation isparticularly strong for processing, export and import of aquatic products. Recognized competent authorities are normallyempowered to verify compliance with mandatory national and international legislation. Other issues such as environmental
sustainability and socio-economic aspects may not be covered in such a binding manner and open the opportunity for voluntary
certification as a means to demonstrate that a particular aquaculture system is managed responsibly.
10.
Credible aquaculture certification schemes consist of three main components: (i) standards; (ii) accreditation; and (iii)
certification. The guidelines therefore cover:standard setting processes required to develop and review certification standards;
accreditation systems needed to provide formal recognition to a qualified body to carry out certification;
certification bodies required to verify compliance with certification standards.
11.
Developing and implementing a certification scheme may be undertaken by any entity qualified to do so in accordancewith the requirements of these guidelines. Such an entity can include, inter alia, a government, an intergovernmentalorganization, a non-governmental organization, private sector group (e.g. a producer or trade association), a civil society
arrangements, or consortium comprising some or all of these different stakeholder groups, as direct users of the guidelines. The
guidelines provide information on the institutional and organizational arrangements for aquaculture certification, including
governance requirements, particularly to ensure that conflicts of interest are avoided.
TERMS AND DEFINITIONS

2

12. For the purpose of these international guidelines on aquaculture certification, the following terms and definitions apply.
These terms and definitions come from or were derived from existing recognized material (e.g. FAO 1 , ISO 2 , Codex
Alimentarius3, OIE4, FAO Ecolabelling Guidelines, FAO Code of Conduct for Responsible Fisheries [CCRF] and many others),
and stakeholder inputs received during the process of developing the guidelines.
Accreditation
Procedure by which a competent authority consistent with applicable law gives formal recognition that a qualified body or
person is competent to carry out specific tasks.
(Modified from ISO/IEC Guide 2:1996, 12.11)
Accreditation body
Body that conducts and administers an accreditation system and grants accreditation.
(ISO Guide 2, 17.2)
Accreditation system
System that has its own rules of procedure and management for carrying out accreditation. Accreditation of certification bodies
is normally awarded following successful assessment and is followed by appropriate surveillance.
(ISO Guide 2, para. 17.1)

Aquaculture
The farming of aquatic organisms involving intervention in the rearing process to enhance production and the individual or
corporate ownership of the stock being cultivated.
(Modified from the FAO Glossary of Aquaculture –www.fao.org/fi/glossary/aquaculture/)
Audit
A systematic and functionally independent examination to determine whether activities and related results comply with planned
objectives.
(Codex Alimentarius, Principles for Food Import and Export
Certification and Inspection, CAC/GL 20)
Certification
Procedure by which certification body or entity gives written or equivalent assurance that a product, process or service conforms
to specified requirements. Certification may be, as appropriate, based on a range of audit activities that may include continuous
audit in the production chain.
(Modified from ISO Guide 2, 15.1.2; Principles for Food Import and Export Certification and Inspection, CAC/GL 20;
Ecolabelling Guidelines)
Certification body or entity
Competent and recognized body, governmental or non-governmental, that conducts certification and audit activities. A
certification body may oversee certification activities carried out on its behalf by other bodies.
(Based on ISO Guide 2, 15.2)
Certification scheme
The processes, systems, procedures and activities related to standard setting, accreditation and implementation of certification.
(Adapted from the Report of the First Expert Workshop on Aquaculture
Certification held in Bangkok, Thailand, March 2007)
Chain of custody
The set of measures that verify that a certified product originates from a certified aquaculture production chain, and is not
mixed with noncertified products. Chain of custody verification measures should cover the tracking/traceability of the productall along the production, processing, distribution and marketing chain, the tracking of documentation, and the quantity
concerned. (From FAO Fisheries Ecolabelling Guidelines)
Conformity assessment
Any activity concerned with determining directly or indirectly that relevant requirements are fulfilled.
(Modified from ISO Guide 2, 12.2)

1

Food and Agriculture Organization of the United Nations.
International Organization for Standardization.
3
Codex Alimentarius Commission.
4
World Organisation for Animal Health.
23Group certification
Certification for a group of small-scale aquaculture farmers or aquaculture farmer cooperative who has key characteristics incommon in term of nature of production, proximity of farm location, common marketing as a group. The group has an Internal
Control System to ensure compliance with the standards by all members of the group.
Small-scale aquaculture
Aquaculture farms with small production volume, and/or relatively small surface area, mainly without permanent labour, andtypically lacking technical and financial capacity to support individual certification.
(Adapted from the Report of the First Expert Workshop on Aquaculture
Certification held in Bangkok, Thailand, March 2007)
Standard
An approved document that provides for common and repeated use, rules, guidelines or characteristics for products or related
processes and production methods, with which compliance is not mandatory under international trade rules. It may also include
or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as they apply to a product, process
or production method. A public sector standard is prepared by the international standardization community, and is always
approved by an officially recognized body. A private sector standard is prepared by a private body and is not in all cases
approved by an officially recognized body.
(Based on TBT agreement, Annex 1, para. 2)Standard setting body, organization or entity
Organization or entity that has recognized activities in standard setting.
(Based on ISO Guide 2, para. 4.3)
Third party
Person or body that is recognized as being independent of the parties involved, as concerns the issue in question, and involves
no conflict of interest.
(ISO/IEC Guide 2:1996; Ecolabelling Guidelines)
Traceability
The ability to follow the movement of a product of aquaculture, or inputs such as feed and seed, through specified stage(s) of
production, processing and distribution.
(Adapted from Codex )Unit of certification
The scale or extent of the aquaculture operation(s) assessed and monitored for compliance. The unit of certification could
consist of a single farm, production unit or other aquaculture facility. The certification unit could also consist of a group or
cluster of farms that should be assessed and monitored collectively.
Veterinary medicinal products
Any substance or combination of substances presented for treating or preventing disease in animals or which may be
administered to animals with a view to making a medical diagnosis or to restoring, correcting or modifying physiological
functions in animals.
(EU Directive 2001/82/EC)
APPLICATION
13.
These guidelines for voluntary certification schemes are to be interpreted and applied in their entirety in a mannerconsistent with national laws and regulations and, where they exist, international agreements.
14.
Entities responsible for new and existing aquaculture certification schemes should undertake to assess, verify anddocument that these certification schemes have been developed and are being implemented in accordance with the guidelines.
If there are deficiencies in the way an existing scheme was developed and/or in how it is being implemented, the entities
responsible for the functions (i.e. standard setting, accreditation or certification) should act accordingly to define and implementa corrective action plan. When this is completed, the entities should verify and document that the scheme is in accordance withthe guidelines. There should not be any conflict of interest among the entities involved.
15.
If the entities responsible for a private aquaculture certification scheme do not provide credible assurance that thescheme has been developed and is being implemented in accordance with the guidelines, stakeholder groups (especially thosebeing certified under the scheme) may use these guidelines to have the scheme evaluated by a body with appropriate expertiseor undertake such evaluation themselves. See chapter on Institutional and Procedural Requirements for details.
16.
The evaluation would use these guidelines to assess whether a certification scheme is developed and implemented inaccordance with the guidelines regarding, inter alia:
whether the principles have been adhered to;4whether the special considerations have been addressed;
whether the objectives of the scheme and issue areas have beenaddressed in accordance with the appropriate minimum
substantive requirements; andwhether the standard setting, accreditation and/or certification
have been developed and implemented in accordance with theinstitutional and procedural requirements.

PRINCIPLES
17.

Aquaculture certification schemes:a.
should be based on international standards or guidelines, where applicable, and must recognize thesovereign rights of States and comply with relevant local, national and international laws and regulations. They must be
consistent with relevant international agreements, conventions, standards, codes of practice and guidelines.
b.
should recognize that any person or entity undertaking aquaculture activities is obliged to comply with allnational laws and regulations.
c.
should be developed based on the best scientific evidence available, also taking into account traditional
knowledge, provided that its validity can be objectively verified.
d.
should be developed and implemented in a transparent manner and should ensure that there is no conflictof interest among the entities that are responsible for standard setting, accreditation and certification. These entities
should facilitate mutual recognition, strive to achieve harmonization and recognize equivalence based on therequirements and criteria outlined in these guidelines.
e.
should be open to scrutiny by consumers, civil society, and their respective organisations and otherinterested parties, while respecting legitimate concerns to preserve confidentiality.
f.

should be credible and robust, be fully effective in achieving their designated objectives.

g.
should promote responsible aquaculture during production as outlined in the FAO Code of Conduct for
Responsible Fisheries, in particular Article 9, Aquaculture Development.
h.
should include adequate procedures for maintaining chain of custody and traceability of certified
aquaculture products and processes.
i.
should establish clear accountability for all involved parties, including the owners of certification schemes,
accreditation bodies and the certification bodies, in conformity with international requirements, as necessary.
j.
should not discriminate against any group of farmers practising responsible aquaculture based on scale,intensity of production or technology; promote cooperation among certification bodies, farmers and traders; incorporate
reliable, independent auditing and verification procedures; and should be cost-effective to ensure inclusive participationof responsible farmers.
k.
should strive to encourage responsible trade, consistent with the FAO Technical Guidelines on Responsible
Fish Trade, and should provide the opportunity for aquaculture products to enter international markets without obstacles
to trade.
l.
should ensure special considerations are provided to address the interests of resource-poor small-scale
farmers, especially the financial costs and benefits of participation, without compromising food safety.
m.
These aquaculture certification guidelines should recognize the special needs of farmers and governments
in developing countries. These guidelines should also recognize the special role of FAO in assisting developing countries
in devising an implementation framework which is both attainable and measurable. Similarly, FAO should facilitate theassessment of the capacity of farmers and governments to meet the proposed requirements of aquaculture certification
schemes, and to develop realistic expectations with regard to the farmers and governments meeting these requirements.
MINIMUM SUBSTANTIVE CRITERIA

5

18. Minimum substantive criteria for developing aquaculture certification standards are provided in this section for a) animal
health and welfare; b) food safety; c) environmental integrity; and d) socio-economic aspects. The extent to which a certification
scheme seeks to address the issues depends on the objectives of the scheme, which should be explicitly and transparently statedby the scheme. Development of certification schemes should consider the importance of being able to measure performance of
aquaculture systems and practices, and the ability to assess conformity with certification standards.

Animal health and welfare5
19.
Aquaculture activities should be conducted in a manner that assures the health and welfare of farmed aquatic animals,by optimizing health through minimizing stress, reducing aquatic animal disease risks and maintaining a healthy culture
environment at all phases of the production cycle. Guidelines and standards set by OIE should be the specific normative basis.
Minimum substantive criteria for addressing aquatic animal health and welfare in aquaculture certification schemes:
20.
Aquaculture operations should implement aquatic animal health management programmes set up in compliance with
relevant national legislation and regulations, taking into account the FAO CCRF Technical Guidelines on Health Managementfor Responsible Movement of Live Aquatic Animals and relevant OIE standards.
21.
Movement of aquatic animals, animal genetic material and animal products should take place in accordance with therelevant provisions in the OIE Aquatic Animal Health Code to prevent introduction or transfer of diseases and infectious agents
pathogenic to aquatic animals while avoiding unwarranted sanitary measures.
22.
A culture environment should be maintained at all phases of the production cycle adapted to the species raised, to benefit
aquatic animal health and welfare, and reduce the risks of introduction and spread of aquatic animal diseases. In particular, byallowing for quarantining of stock where appropriate;routine monitoring of stock and environmental conditions forearly detection of aquatic animal health problems; andimplementation of management practices that reduce thelikelihood of disease transmission within and between
aquaculture facilities and natural aquatic fauna, and reducestress on animals for the purpose of optimizing health.
23.
Veterinary medicines should be used in a responsible manner and in accordance with applicable national legislation or
relevant international agreements that ensure effectiveness, safety of public and animal health, and protection of the environment.
24.
Use of species in polyculture or integrated multitrophic aquaculture should be carefully considered in order to reduce
potential disease transmission between cultured species.
25.
Aquaculture animals should be kept under farming conditions suitable for the species concerned, in particular taking
into account water temperature and quality.
26.
Workers should be trained on good aquatic animal health and welfare management practices to ensure they are awareof their roles and responsibilities in maintaining aquatic animal health and welfare in aquaculture.

Food safety
27.
Aquaculture activities should be conducted in a manner that ensures food safety by implementing appropriate national
or international standards and regulations including those defined by FAO/WHO Codex Alimentarius. Although Codex
Alimentarius covers both safety and quality issues concerning aquatic products, for the purpose of these guidelines, quality
aspects are not currently addressed in detail.
Minimum substantive criteria for addressing food safety in aquaculture certification schemes:
28.
Aquaculture facilities should be located in areas where the risk of contamination is minimized and where sources ofpollution can be controlled or mitigated.

5

For the purpose of these guidelines, reference to animal welfare applies only insofar as it affects animal health consistent with current andfuture OIE standards.

629.
Where feed is used, aquaculture operations should include procedures for avoiding feed contamination in compliancewith national regulations or as determined by internationally agreed standards. Aquaculture operations should use feeds andfeed ingredients which do not contain unsafe levels of pesticides, biological, chemical and physical contaminants and/or other
adulterated substances. Feed which is manufactured or prepared on the farm should contain only substances permitted by thenational competent authorities.
30.
All veterinary drugs and chemicals for use in aquaculture shall comply with national regulations, as well as internationalguidelines. Wherever applicable, veterinary drugs and chemicals should be registered with the competent national authority.
Veterinary drugs should be scheduled (classified). Control of diseases with veterinary drugs and antimicrobials should be carriedout only on the basis of an accurate diagnosis and knowledge that the drug is effective for control or treatment of a specificdisease. In some classifications, veterinary drugs may only be prescribed and distributed by personnel authorized under national
regulations. All veterinary drugs and chemicals or medicated feeds should be used according to the instructions of the
manufacturer or other competent authority, with particular attention to withdrawal periods. Banned non-registered and/or nonpermitted antimicrobial agents, veterinary drugs and/or chemicals must not be used in aquaculture production, transportation or
product processing.
Prophylactic use of veterinary medicinal products, particularly antimicrobial agents,6 should not take place.
31.
Water used for aquaculture should be of a quality suitable for the production of food which is safe for humanconsumption. Wastewater should not be used in aquaculture. If wastewater is used, the WHO guidelines for the safe use ofwastewater and excreta in aquaculture should be followed.
32.
The source of broodstock and seed for culture (larvae, postlarvae, fry and fingerling, etc.) should be such to reduce therisk of carryover of potential human health hazards (e.g. antibiotics, parasites, etc.) into the growing stocks.
33.
Traceability and record-keeping of farming activities and inputs which impact food safety should be ensured bydocumenting, inter alia:
the source of inputs such as feed, seed, veterinary drugs and antibacterials, additives, chemicals; andtype, concentration, dosage, method of administration and withdrawal times of chemicals, veterinary drugs andantibacterials and the rationale for their use.
34.

Aquaculture facilities and operations should maintain good culture and hygienic conditions, including:Good hygiene practices in the farm surroundings should be applied aiming at minimizing contamination of growing
water, particularly from waste materials or faecal matter from animals or humans.
Good Aquaculture Practices should be applied during culture to ensure good hygienic culture conditions and safety andquality of aquaculture produce.
Farms should institute a pest control programme, so that rodents, birds and other wild and domesticated animals arecontrolled, especially around feed storage areas. Farm grounds should be well maintained to reduce or eliminate foodand feed safety hazards.

Appropriate techniques for harvesting, storing and transportation of aquaculture products should be applied to minimize
contamination and physical damage.
35.
Identification,
classification,
integrated management
and monitoring programmes
should be implemented in bivalve molluscs growing areas to prevent microbiological, chemical and reduce biotoxin
contamination. Relaying and depuration of bivalve molluscs to remove microbial contamination should be carried inaccordance with the requirements of the Codex.
36.
Workers should be trained in good hygienic practices to ensure they are aware of their roles and responsibilities forprotecting aquaculture products from contamination and deterioration.

Environmental integrity
37.
Aquaculture
shouldbeplannedandpractised in
an environmentally
responsible manner, in accordance with appropriate local, national and international laws and regulations.
38.
Aquaculture certification schemes should encourage restoration of habitats and sites damaged by previous uses inaquaculture.
39.
Aquaculture can impact on the environment and aquaculture certification schemes should ensure these impacts are
identified and adverse impacts are managed or mitigated to an acceptable level in accordance with local and national laws.
6

Antimicrobial agents do not include vaccines.

7

Whenever possible, native species should be used for culture and measures should be taken to minimize unintentional releaseor escape of cultured species into natural environments.
40.
Management practices that address environmental impacts of aquaculture differ substantially for different types of scaleof aquaculture and for different aquaculture farming systems. Certification schemes should not be overly prescriptive, but set
measurable benchmarks that encourage improvement and innovation in environmental performance of aquaculture.
41.
Certification
schemesmayconsiderapplication ofaccordance with the relevant provisions of the Code of Conduct for Responsible Fisheries.

the “precautionary approach” in

42.
In undertaking risk analysis, risks should be addressed through a suitable scientific method of assessing the likelihoodof events and the magnitude of impacts, and take into account relevant uncertainties. Appropriate reference points should bedetermined and remedial actions taken if reference points are approached or exceeded.
43.
Certification schemes should endeavour to promote the internalization of environmental costs and the use of economic
instruments, taking into account the approach that the polluter should, in principle, bear the cost of pollution, with due regard
to the public interest and without distorting international trade and investment.7
Minimum substantive criteria for addressing environmental integrity in aquaculture certification schemes:
44.
Environmental impact assessments should be conducted, according to national legislation, prior to approval ofestablishment of aquaculture operations.
45.
Regular monitoring of on-farm and off-farm environmental quality should be carried out, combined with good recordkeeping and use of appropriate methodologies.
46.
Evaluation and mitigation of the adverse impacts on surrounding natural ecosystems, including fauna, flora and habitats
should be carried out.
47.
Measures should be adopted to promote efficient water management and use, as well as proper management of effluents
to reduce impacts on surrounding land, and water resources should be adopted.
48.
Where possible, hatchery produced seed should be used for culture. When wild seeds are used, they should be collectedusing responsible practices.
49.
Exotic species are to be used only when they pose an acceptable level of risk to the natural environment, biodiversity
and ecosystem health.
50.
With reference to paragraph 9.3.1 of the Code of Conduct for Responsible Fisheries, where genetic material of an aquaticorganism has been altered in a way that does not occur naturally, science-based risk assessment should be used to addresspossible risks on a case-bycase basis. Induction of polyploidy is not included.
51.

Infrastructure construction and waste disposal should be conducted responsibly.

52.
Feeds, feed additives, chemicals, veterinarty drugs, including antimicrobials, manure and fertilizer, should be used
responsibly to minimize their adverse impacts on the environment and to promote economic viability.
Socio-economic aspects
53.
Aquaculture should be conducted in a socially responsible manner, within national rules and regulations, having regard
to the ILO-convention on labour rights, not jeopardizing the livelihood of aquaculture workers and local communities.
Aquaculture contributes to rural development, enhances benefits and equity in local communities, alleviates poverty andpromotes food security. As a result, socio-economic issues should be considered at all stages of aquaculture planning,development and operation.
54.

The importance of corporate social responsibility from aquaculture to local communities should be recognized.

Minimum substantive criteria for addressing socio-economic aspects in aquaculture certification schemes:

7

Based on Principle 16 of the Rio Declaration on Environment and Development, June 1992.

8

55.
Workers should be treated responsibly and in accordance with national labour rules and regulations and, whereappropriate, relevant ILO conventions.
56.

Workers should be paid wages and provided benefits and working conditions according to national laws and regulations.

57.

Child labour should not be used in a manner inconsistent with ILO conventions and international standards.

INSTITUTIONAL AND PROCEDURAL REQUIREMENTS58.
The institutional and procedural requirements for establishing and implementing credible aquaculture certification
schemes are presented here in four parts: 1) Governance; 2) Standard setting; 3) Accreditation; and 4) Certification.
59.
The sections on Standards setting, Accreditation, and Certification are each subdivided into four sections: (i) Purpose;(ii) Normative references; (iii) Functions and structure; and (iv) Requirements. The requirements are considered the minimum
requirements that a body or entity should meet to be recognized as credible and reliable in executing its duties andresponsibilities. The principles provided in this document apply equally to procedural and institutional aspects of certification
schemes for aquaculture.
60.
The guidance presented here draws on other internationally accepted guidance, especially those produced by theInternational Organization for Standardization (ISO) and the International Labour Organization (ILO), and the Codex
Alimentarius Commission (CAC). Any certification scheme implemented pursuant to these guidelines must conform with acountry’s WTO commitments, particularly those under the WTO Agreement on Technical Barriers to Trade and the Agreementon the Application of Sanitary and Phytosanitary Measures.

Governance61.
The procedures used and institutions involved in establishing and implementing a certification scheme should betransparent, credible and robust with good governance.
62.

There are various options for the geographical range of a scheme. It could be national, regional or international in scope.

63.
It is essential that the owner of a private or non-governmental certification scheme is not directly engaged in its
operational affairs, i.e. undertaking accreditation or certification, to avoid conflicts of interest. The owner or developer of a
private or non-governmental certification scheme must have a formal arrangement with a separate independent specialized
accreditation body or entity to take on the task of accreditation of certification bodies on its behalf. The accreditation body orentity could be private, public or an autonomous body governed by national rules and regulations.
64.
The owner or developer of a certification scheme should have clear written procedures to guide the decision-making
process.
65.
Certification must be handled by an organization (certification body or entity) that has been specifically set up for thispurpose. It could be government, public, non-governmental or private. The certification scheme should lay down rules andregulations under which the certification body or entity is required to operate. The certification body or entity may be involvedin certification for one certification scheme for one specific sector (e.g. aquaculture) or may be involved with a number ofsectors or schemes.

Standard setting
Purpose
66. Standards provide the necessary requirements, the quantitative and qualitative criteria and the indicators for certification of
aquaculture. Standards should reflect the objectives, results and outcomes that are being pursued through the certification
scheme to address animal health and welfare, food safety, environmental integrity and/or socio-economic aspects in aquaculture.
Normative basis
67. The normative basis for development of standards includes the following existing documented procedures:
WTO Agreement on Technical Barriers to Trade;
WTO Agreement on the Application of Sanitary andPhytosanitary Measures;

9

Codex Guidelines on food import and export inspection andcertification systems;
ISO/IEC Guide
59.
Code
of
good
practicefor standardization. 1994;
ISO/IEC 22003:2007. Food safety management systems:
Requirements for bodies providing audit and certification offood safety management systems;
ISEAL. ISEAL Code of Good Practice for Setting Social and Environmental Standards. 2006;
OIE Aquatic Animal Health Code;International Council for the Exploration of the Sea (ICES) Code of Practice on the Introductions and Transfers ofMarine Organisms; Code of Practice on the Introductions and Transfers of Marine Organisms;
ISO/IEC 22000:2005. Food safety management systems – Requirements for any organization in the food chain ;ISO/TS 2004:2005. Food safety management systems – Guidance on the application of ISO 22000:2005;
ISO 22005:2007. Traceability in the feed and food chain – General principles and basic requirements for system design
and implementation;
ISO/IEC 16665. Water quality – Guidelines for quantitative sampling and sample processing of marine soft-bottom
macrofauna;
ISO 23893-1:2007. Water quality – Biochemical and physiological measurements on fish – Part 1: Sampling of fish,handling and preservation of samples;
ISO/IEC 17021:2006. Conformity assessment – Requirements for bodies providing audit and certification ofmanagement systems;
ISO/IEC 17065;
ISO/IEC 22003:2007. Food safety management systems: Requirements for bodies providing audit and certification offood safety management systems;
ISO/IEC 17021. Management Systems certification;
ISO/IEC 22003. Food safety management systems;
ISO/IEC 22005. Chain of Custody.

ISO/IEC 17025. Laboratory testing;

Functions and organizational structure
68.
Standard setting encompasses the tasks of developing, monitoring, assessing, reviewing and revising standards. Thesetasks can be fulfilled through a specialized standard setting body or entity, or through another suitable entity and be either agovernment or non-government entity. The standard setting body or entity is also responsible for ensuring appropriate
communications and outreach regarding the standard and the standard setting process, and ensuring that the standard andassociated documents are available.
69.
The organizational structure of a standard setting body or entity should include, inter alia, a technical committee of
independent experts and a consultation forum with relevant stakeholder representatives whose mandates are clearly established.
70.
A standard setting body or entity must be a legal entity, with sufficient resources to support its standard setting function.
The process should include adequate stakeholder representation. Governance, administration and other support staff should befree of conflicts of interest.
Requirements
Transparency
71.
Transparency in the setting of standards is essential. Transparency helps facilitate consistency with relevant national
and international standards and facilitates access to information and records pertaining to certification and participation of allinterested parties, including those of developing countries and countries in transition, particularly small-scale stakeholders.
72.
The standard setting body or entity should carry out activities in a transparent fashion, following written rules ofprocedure. Procedural rules should contain a mechanism for the impartial resolution of any substantive orprocedural disputes
about
the
handling of standard setting matters.
73.
On a regular basis, as appropriate, the standard setting body or entity should publicize its work programme as widely as
possible.

10

74.
On the request of any interested party, the standards setting body or entity should provide, or arrange to provide, withinreasonable time, a copy of its standard setting procedures, most recent work programme, draft standards or final standards.
75.
Based on the needs of users, a standards setting body or entity should translate the standard setting procedures, mostrecent work programme, draft standards or final standards into appropriate languages.
Participation by interested parties
76.
The standards setting body or entity should strive to achieve balanced participation by independent technical experts
and by representatives of interested parties in the standards development, revision and approval process. Interested parties can
include, inter alia, governments, non-governmental organizations, private sector groups, civil society arrangements,
representatives of the aquaculture industry (input suppliers, producers, processors, traders and retailers), the scientificcommunity, community groups and various consortia, as indirect users of the guidelines.
77.
Interested parties should be associated in the standard setting process through an appropriate consultation forum or bemade aware of appropriate alternative mechanisms by which they can participate. Where more than one forum is designated,
appropriate coordination and communication requirements should be determined and provided.
Content and comparable systems
78.

The standards setting process should seek to:include international reference standards in animal health andwelfare, food safety, environmental integrity andsocioeconomic aspects;
identify and review comparable systems;
identify research needs and knowledge gaps;
include requirements of relevant international agreements; andencourage mutual recognition among certification schemes.

Notification provisions
79.
Before adopting a standard(s), the standards setting body or entity should allow a period of an appropriate duration forthe submission of comments on the draft standards by interested parties. No later than the start of the comment period, thestandard setting body or entity should publish a notice announcing the period for commenting in a national or, as appropriate,
regional or international publication of standardization activities and/or on the Internet.
80.
In further processing of the standards, the standards setting body or entity should take into account the comments
received during the period for commenting.
Keeping of records
81. Proper records of standards and development activity should be prepared and maintained. The standards setting organizationor entity should identify a central focal point for standards-related enquiries and for submission of comments. Contact
information for this focal point should be made easily available including on the Internet.
Review and revision of standards and of standards setting procedures
82.
Standards should be reviewed at regular published intervals in consultation with appropriate stakeholders and, if
appropriate, revised following such reviews. Certified aquaculture operations should be given an appropriate period to comeinto compliance with the revised standards.
83.
Proposals for revisions can be submitted by any interested party and should be considered by the standard setting bodyor entity through a consistent and transparent process.
84.
The procedural and methodological approach for setting standards should also be updated in the light of scientific andtechnical progress and of the experience gained in the application of the standard in aquaculture.
Validation of standards
85. In developing and revising standards, an appropriate procedure should be put in place to corroborate the standard vis-à-vis
the minimum requirements for aquaculture as laid out in these guidelines. Validation is also required to ensure that standards:
are effective in meeting the certification goals, meaningful, objective and auditable;

11

do not contain criteria or requirements that could cause unnecessary barriers to trade or mislead the aquaculturecommunity; andtake into consideration practicality and cost of standards development and maintenance.
Accreditation
Purpose
86. Accreditation provides assurance that certification bodies responsible for conducting conformity assessments according tostandards for aquaculture in relation to animal health and welfare, food safety, environmental integrity and socio-economic
aspects are competent to carry out such tasks. Accreditation provides assurance that the certification body or entity is able toassess and certify that a specific aquaculture product, method or process comes from a certified aquaculture operation andconforms to the standards.
Normative reference
ISO/IEC 17011. Conformity assessment – General requirements for accreditation bodies accrediting conformity assessment
bodies.
Functions and structure
87.
Accreditation is an independent assessment of the competence of the certification body or entity. The task of granting
accreditation following successful assessment should be undertaken by competent accreditation bodies. Accreditation is carriedout on the basis of a system that has its own rules and management, i.e. an accreditation system.
88.
An accreditation body or entity must be a legal entity, with sufficient resources to support its functions in undertaking
accreditation. The governance structure should include appropriate stakeholder representation. Governance, administration andother support staff should be free of conflicts of interest. In order to be recognized as competent and reliable in undertaking theassessment of certification bodies or entities in a non-discriminatory, impartial and accurate manner, an accreditation body orentity should fulfill, inter alia, the following requirements.

Requirements
Non-discrimination
89.
Access to the services of the accreditation body or entity should be open to all certification entities irrespective of theirlocation. Access should not be conditional upon the size of the applicant body or membership in any association or group, norshould accreditation be conditional upon the number of certification bodies already accredited.
90.
Full recognition should be given to the special circumstances and requirements of certification bodies in developing
countries and countries in transition including financial and technical assistance, technology transfer, and training and scientificcooperation, without compromising the integrity of the accreditation and certification process.
Independence, impartiality and transparency
91. The accreditation body or entity should be independent and impartial. In order to be impartial and independent, theaccreditation body should:
be transparent about its organizational structure and thefinancial and other kinds of support it receives from public or
private entities;
be independent from vested interests, together with its senior
executive and staff;
be free from any commercial, financial and other pressures thatmight influence the results of the accreditation process;ensure that decision on accreditation is taken by a person(s)who has(ve) not participated in certification (conformity
assessment); and12

not delegate authority for granting, maintaining, extending,
reducing, suspending or withdrawing accreditation to an
outside person or body.
Human and financial resources
92.
The accreditation body or entity should have adequate financial resources and stability for the operation of an
accreditation system and should maintain appropriate arrangements to cover liabilities arising from its operations and/or
activities.
93.
The accreditation body or entity should employ a sufficient number of personnel having the necessary training, technicalknowledge and experience for performing accreditation functions in aquaculture.
94.
Information on the relevant qualifications, training and experience of each member of the personnel involved in theaccreditation process should be maintained by the accreditation body or entity. Record of training and experience should be
kept up to date.
95.
When an accreditation body or entity decides to subcontract work related to accreditation other than work exempted inparagraph 91 to an external body or person, the requirements for such an external body should be no less than for theaccreditation body or entity itself. A properly documented contractual or equivalent agreement covering the arrangements,
including confidentiality and conflict of interests, should be drawn up.
Accountability and reporting96.

The accreditation body or entity should be a legal entity and should have clear and effective procedures for handling
applications for accreditation procedures. In particular, the accreditation body or entity should maintain and provide to
the applicants and accredited entities:
a detailed description of the assessment and accreditation procedure;
the documents containing the requirements for accreditation; andthe documents describing the rights and duties of accredited bodies.

97.

A properly documented contractual or equivalent agreement describing the responsibilities of each party should be
drafted.

98.

The accreditation body or entity should have:defined objectives and commitment to quality;
procedures and instructions for quality documented in a quality manual; and an established effective and appropriate
system for quality.

99.

The accreditation body or entity should conduct periodic internal audits covering all procedures in a planned andsystematic manner to verify that the accreditation system is implemented and effective.

100.

The accreditation body or entity may receive external audits on relevant aspects. The results of the audit should beaccessible by the public.

101.

Qualified personnel, attached to the accreditation body or entity, should be nominated by the accreditation body or entity
to conduct the assessment against all applicable accreditation requirements.

102.

Personnel nominated for the assessments should provide the accreditation body or entity with a report of its findings as
to the conformity of the body assessed to all of the accreditation requirements. The report should provide sufficiently
comprehensive information, such as:
the qualification, experience and authority of the staff
encountered;
the adequacy of the internal organization and procedures
adopted by the certification body or entity to give confidence
in its services; andthe actions taken to correct identified nonconformities
including, where applicable, those identified at previous
assessments.

13

103.

The accreditation body or entity should have policy and procedures for retaining records of what happened during theassessment visit for a period consistent with its contractual, legal or other obligations. The records should demonstratethat the accreditation procedures have been effectively fulfilled. The records should be identified, managed and disposedof in such a way as to ensure the integrity of the process and confidentiality of the information.

Resolution of complaints concerning accreditation of certifying bodies
104.

The accreditation body or entity should have a written policy and procedures for dealing with any complaints in relation
to any aspect of the accreditation or de-accreditation of certifying bodies.

105.

These procedures should include establishment, on an ad hoc basis as appropriate, of an independent and impartial
committee to respond to a complaint. The committee should seek to resolve any complaints through discussion orconciliation. If this is not possible, the committee should provide a written ruling to the accreditation body or entity,
which should transmit it to the other party or parties involved.

106.

The accreditation body or entity should:
keep a record of all complaints, and remedial actions relative to accreditation;
take appropriate corrective and preventive actions;assess the effectiveness of remedial actions; andsafeguard confidentiality of information obtained during the investigation and resolution of complaints.

107.

Information on procedures for handling complaints concerning accreditation should be made publicly available.

108.

The above does not exclude recourse to other forms of legal and administrative processes as provided for in national
legislation or international law.

Confidentiality
109. The accreditation body or entity should have adequate arrangements, consistent with applicable laws, to safeguard
confidentiality of the information obtained in the course of its accreditation activities at all levels of its organization, including
committees and external bodies acting on its behalf.
110. Where the law requires information to be disclosed to a third party, the body should be informed of the information
provided, as permitted by the law. Otherwise information about an applicant certification body or entity should not be disclosed
to a third party without a written consent of the body.
Maintenance and extension of accreditation
111. The accreditation body or entity should have arrangements to define the period of accreditation of a certifying body orentity, with clear monitoring procedures.
112. The accreditation body or entity should have arrangements to ensure that an accredited certification body or entity
informs it without delay of changes in any aspects of its status or operation.
113. The accreditation body or entity should have procedures to conduct reassessments in the event of changes significantly
affecting the capabilities or scope of activities of the accredited body or entity or the conformance with any other relevant
criteria of competence specified by the accreditation body or entity.
114. Accreditation should be reassessed at sufficiently close intervals or as necessary to verify that the accredited certificationbody or entity continues to comply with the accreditation requirements. The period for carrying out reassessments should notexceed five years.
Suspension and withdrawal of accreditation
115. The accreditation body or entity should specify the conditions under which accreditation may be suspended or withdrawn,
partially or in total, for all or part of the scope of accreditation.
Change in the accreditation requirements
116. The accreditation body or entity should give due notice of any changes it intends to make in its requirements foraccreditation to all stakeholders involved.

14117. It should take account of views expressed by interested parties before deciding on the precise form and effective dateof the changes.
118. Following a decision on and publication of the changes, it should verify that each accredited body or entity carries out
any necessary adjustments to its procedures within such time as, in the opinion of the accreditation body or entity, is reasonable.
119. Special considerations should be given to accredited bodies in developing countries and countries in transition, withoutcompromising the integrity of the certification process.

Proprietor or licensee of an accreditation symbol, label or a logo
120. The provisions on the use and control of a certification claim, symbol, label or logo are addressed in the following
section on certification.
121. The accreditation body or entity that is a proprietor or licensee of a symbol or logo, intended for use under its
accreditation programme, should have documented procedures describing its use.
122. The accreditation body or entity should not allow use of its accreditation mark or logo in any way that implies that theaccreditation body or entity itself approved a product, service or system certified by a certification body or entity.
123. The accreditation body or entity should take suitable action to deal with incorrect references to the accreditation systemor misleading use of accreditation logos found in advertisements, catalogues, etc.

Certification
Purpose124. Certification is the procedure by which a body or entity gives written or equivalent assurance that the aquaculture operationor activity under consideration conforms to the relevant aquaculture certification standards. Impartial certification based on an
objective assessment of relevant factors provides assurance to buyers and consumers that a certified aquaculture product comesfrom an aquaculture operation that conforms to the certification standards.
Scope
125.

Certification could include an aquaculture activity, e.g. an aquaculture operation of the chain of custody of a product.
Separate certificates may be issued for the aquaculture activity and the chain of custody of a product.

126.

Two types of assessments are required for certification:
Conformity assessment: Whether an aquaculture activity conforms to the standards and related certification criteria.
Chain of custody assessment: Whether adequate measures are in place to identify and differentiate products from acertified aquaculture operation, including production and subsequent stages of processing, distribution andmarketing (traceability).

127.

Aquaculture products that are labelled to indicate to the buyer and consumer of their origin from a certified aquaculture
operation and chain of custody require both types of assessments and certificates.

Normative references
ISO Guide 62, General Requirements for bodies operating assessment and certification/registration of quality systems.
1996;
ISO/IEC Guide 65, General requirements for bodies operating product certification systems. 1996;
WTO. Agreement on Technical Barriers to Trad;.
ISO/IEC 17021. Management systems certification;
ISO/IEC 22003. Food safety management systems;

15

ISO/IEC 17025. Laboratory testing;
ISO/IEC 22005. Chain of custody; OIE Aquatic Animal Health Code/Guidelines;
Articles 5–6. Conformity Assessment.

TBT

Functions and structure128. The tasks of carrying out conformity and chain of custody assessments should be undertaken by accredited certification
bodies. In order to be recognized as competent and reliable in undertaking the assessments in a non-discriminatory, impartial
and accurate manner, a certification body or entity should fulfill the following requirements.
Requirements
Independence and impartiality
129. The certification body or entity should be legally and financially independent from the owner of the certification schemeand should not have any conflict of interest.
130. The certification body or entity and its assessment and certifying staff, whether directly employed by the certificationbody or entity or subcontracted by it, should have no commercial, financial or any other interest in the aquaculture operation or
chain of custody to be assessed other than for its certification services.
131. The certification body or entity should ensure that the personnel who conduct assessment in view of certification are
different from the personnel which grant the certificate.
132. The certifying body or entity should not delegate authority for granting, maintaining, extending, reducing, suspendingor withdrawing certification to an outside person or body.
Non-discrimination
133.

Access to the services of the certification body or entity should be open to all types of aquaculture operations.

134. Access to the certification body or entity should not be conditional upon the size or scale of the aquaculture operations
nor should certification be conditional upon the number of aquaculture operations already certified.
Human and financial resources135. The certification body or entity should have adequate financial resources and stability for its conduct and should
maintain appropriate arrangements to cover liabilities arising from its operations and/or activities.
136. The certification body or entity should employ a sufficient number of personnel having the necessary qualifications,training, technical knowledge, education and experience for performing conformity and/or chain of custody assessments inaquaculture.
137. Information on the relevant qualifications, training and experience of each member of the personnel involved in thecertification process should be maintained by the certification body or entity. Record of training and experience should be kept
up to date.
138. When a certification body or entity decides to subcontract work related to certification, to an outside body or person
other than work exempted in paragraph 132, the requirements for such an external body should be no less than for thecertification body or entity itself. A properly documented contractual or equivalent agreement, covering the arrangements
including confidentiality and conflict of interests, should be drawn up. A subcontractor should be periodically audited andevaluated.
Accountability and reporting
139. The certification body or entity should be a legal entity and have clear and effective procedures for handling applications
for certification of aquaculture operations and/or chains of custody for aquaculture products. In particular, the certification bodyor entity should maintain and provide to the applicants and certified entities:
a detailed description of the assessment and certification procedure;
the documents containing the requirements for certification; andthe documents describing the rights and duties of certified entities.

16140. A properly documented contractual or equivalent agreement describing the rights and duties of each party should be
drafted between the certification body or entity and its clients.
141. The certification body or entity should conduct periodic internal audits covering all procedures in a planned andsystematic manner to verify that the certification system is implemented and effective.
142. The certification body or entity may receive external audits on relevant aspects. The results of the audits should beaccessible by the public.
143. The certification body or entity should have a policy and procedures for retaining records for a period consistent with
its contractual, legal or other obligations. The records should demonstrate that the certification procedures have been effectively
fulfilled, particularly with respect to application forms, assessment reports and other documents relating to granting, maintaining,extending, reducing, suspending or withdrawing certification. The records should be identified, managed and disposed of insuch a way as to ensure the integrity of the process and confidentiality of the information. The certification body or entity should
ensure that any changes to the agreed procedures are notified to all affected parties.
144.

The certification body or entity should make appropriate, nonconfidential documents available on request.

Certification fees
145. If the certification body or entity charges fees, it should maintain a written fee structure for applicants and certified
aquaculture operations that should be available on request. In establishing the fee structure and in determining the specific fee
of certification, the certification body or entity should take into account, inter alia, the requirements for accurate and truthfulassessments, the scale, size and complexity of the aquaculture operation or chain of custody, the requirement of nondiscrimination of any client, and the particular circumstances and requirements of small-scale farmers, developing countries
and countries in transition.
Confidentiality
146. The certification body or entity should have adequate arrangements, consistent with applicable laws, to safeguard
confidentiality of the information obtained in the course of its certification at all levels of its organization.
147. Where the law requires information to be disclosed to a third party, the client should be informed of the information
provided, as permitted by the law. Otherwise information about a particular product or aquaculture operation should not be
disclosed to a third party without a written consent of the client.
Maintenance of certification
148. The certification body or entity should carry out periodic surveillance and monitoring at appropriate intervals to verify
that certified aquaculture operations and/or certified chains of custody continue to comply with the certification requirements.
149. The certification body or entity should require the client to notify it promptly of any intended changes to the managementof the aquaculture, or the chain of custody, or other changes that may affect conformity to certification standards.
150. The certification body or entity should have procedures to conduct reassessments in the event of changes significantly
affecting the status and management of the certified aquaculture operation, or the chain of custody, or if analysis of a complaintor any other information indicates that the certified aquaculture operation and/or the chain of custody no longer comply withthe required standard and/or related requirements of the certification body or entity.
151. The period of validity of a certificate should not exceed five years. The assessment required for re-certification should
give particular attention to changes made in the conduct of the aquaculture operation or in the management practices.
Renewal of certification
152. On the basis of proper monitoring and auditing, the validity of certification should be renewed for an agreed period, not toexceed five years, or more frequently if warranted by changes in the operation under certification.
Suspension and withdrawal of certification
153. The certification body or entity should specify the conditions under which certification may be suspended or withdrawn,
partially or in total, for all or part of the scope of certification.

17154. The certification body or entity should require that a certified aquaculture operation and/or chain of custody uponsuspension or withdrawal of its certification (however determined) discontinues use of all advertising matter that contains any
reference thereto and returns any certification documents as required by the certification body or entity. The certification bodyor entity should also be responsible for informing the public about the withdrawal or suspension after the appeals process is
exhausted.
Maintaining the chain of custody155.

Chain of custody procedures are implemented at the key points of transfer. At each point of transfer, which may vary
according to the type of aquaculture product traded, all certified aquaculture products must be identified anddifferentiated from non-certified aquaculture products.

156.

The certification body or entity should ensure that a recipient of certified aquaculture products should maintain pertinent
chain of custody records, including all records relating to shipment, receipt and invoicing.

157.

The certification body or entity should have documented procedures defining auditing methods and periodicity of audits.

158.

Any breach or apparent breach of the chain of custody identified during an inspection/audit should be explicitly recordedin the inspection/audit report together with:an explanation of the factors that allowed the breach to occur; andan explanation of the corrective actions taken or required to deal with the product affected by the breach and to ensurethat a similar breach does not occur again.

159.

All inspection/audit records should be incorporated into a written inspection/audit report that is available to pertinent
parties and filed at the office of the certification body or entity.

160.

The inspection/audit report should contain, as a minimum:
the date of the inspection/audit;
the name(s) of the person(s) responsible for the report;
the names and addresses of the sites inspected/audited;the scope of the inspection/audit; andcomments on the conformity of the client with the chain of custody requirements.

Use and control of a certification claim, symbol, label or a logo
161.

The owner of the certification scheme should have documented procedures describing the requirements, restrictions orlimitations on the use of symbols, labels or logos indicating that an aquaculture product comes from a certified
aquaculture operation. In particular, the certification scheme is required to ensure that symbols, labels or logos should
not relate to claims that are of no relevance for certified aquaculture operations or products and could cause barriers of
trade or mislead the consumer.

162.

The owner of the certification scheme should not issue any licence to affix its mark/claim/label/logo or issue any
certificate for any aquaculture operations or products unless it is assured that the product bearing it is in fact produced
from certified sources.

163.

The certification body or entity, accreditation body or entity or owner of the certification scheme is responsible that no
fraudulent or misleading use is made with the use and display of its certification mark, labels or logos.

164.

If the certification body or entity, accreditation body or entity or owner of the certification scheme confers the right touse a symbol, label or logo to indicate certification, the aquaculture operation and any aquaculture product from it may
use the specified symbol, label or logo only as authorized in writing by it.

165.

The certification body or entity, accreditation body or entity or owner of the certification scheme should take suitableaction to deal with incorrect references to the certification system or misleading use of symbols, labels and logos foundin advertisements and catalogues.

166.

All certificates issued should include:the name and address of the accreditation body or entity or owner of the certification scheme;
the name and address of the certification body or entity;
the name and address of the certification holder;18

the effective date of issue of the certificate;
the substance of the certificate;
the term for which the certification is valid; andthe signature and the stamp of the issuing officer.
Resolution of complaints and appeals
Policy and procedures
167. The accreditation body or entity or owner of the certification scheme should have written policy and procedures,
applicable to accredited certification bodies, for dealing with any complaints and appeals from involved parties in relation to
any aspect of the certification or de-certification. Such procedures should be timely, clearly define the scope and nature ofappeals that will be considered and should be open only to parties involved in, or consulted during the assessment. Costs ofappeals should be borne by the appellant.
168. These procedures should include an independent and impartial committee to respond to any complaint. If possible, thecommittee should attempt to resolve any complaint through discussion or conciliation. If this is not possible, the committee
should provide a written finding to the certification body or entity, accreditation body or entity or owner of the certification
scheme as appropriate, which should transmit the finding to the party or parties involved.
169. The above does not exclude recourse to other forms of legal and administrative processes as provided for in nationaland regional legislation or international law.
Keeping of records on complaints and appeals concerning certification
170.

The certification body or entity, accreditation body or entity or promoter/owner of the certification scheme should:
keep a record of all complaints and appeals, and remedialactions related to certification;
take appropriate corrective and preventive action;assess the effectiveness of remedial actions; andsafeguard confidentiality of information obtained during theinvestigation and resolution of complaints and appeals
concerning certification.

171. Information on procedures for handling of complaints and appeals concerning certification should be made publicly
available.
SPECIAL CONSIDERATIONS FOR IMPLEMENTATION
172. National and relevant international organizations, whether governmental or non-governmental, the aquaculture industry
and financial institutions should recognize the special circumstances and requirements of aquaculture producers and otherstakeholders in developing countries, especially those in least-developed countries and small island developing states, to support
the effective and progressive implementation of these guidelines. States, relevant intergovernmental and non-governmentalorganizations, buyers and traders, and financial institutions should work to address these implementation needs, especially inthe areas of financial and technical assistance, technology transfer, capacity building and training. Such assistance should also
consider direct support towards the possible high costs of accreditation and certification.
173. Assistance is needed for building the capacity and enhancing the ability of stakeholders to participate in developing andcomplying with aquaculture certification schemes consistent with these guidelines. This includes ensuring that stakeholders
have access to, and understanding of, these guidelines, as well as provisions of relevant international conventions and applicablestandards that are essential for responsible aquaculture. Appropriate and up-to-date technologies may be required to comply
with certification standards. Full benefit from such technologies would require extension, training, skill development and otherlocal capacity building programmes for farmers and local communities and other stakeholders. Governmental and otherinstitutions should support cooperation, especially at regional and subregional levels, in capacity building for developing andcomplying with aquaculture certification systems most suitable to their regions, and in the elaboration of mechanisms andprotocols for the exchange of knowledge, experience and technical assistance in support of these objectives.
174. Different aquaculture certification schemes may be capable of meeting the same objective and to that extent may beequivalent. Memoranda of understanding, mutual recognition agreements, and unilateral recognition may be developed formutual recognition of aquaculture certification schemes, all of which should include appropriate controls and verification of thecertification systems involved. Tools and technical assistance may be required to ensure fairness, transparency and uniformity
in developing agreements and monitoring that facilitates the development and implementation of aquaculture certification
schemes consistent with the certification, accreditation and standards development procedures provided in these guidelines.

19175. Notwithstanding the other provisions of this chapter, third-party certification schemes implemented in application ofthese guidelines should not replace related certification schemes or official certificates issued by States.
176. FAO will facilitate and monitor implementation of these guidelines on certification in aquaculture and promoteexchange of knowledge and experience. Development agencies and donor institutions are encouraged to support FAO in
facilitating financial and technical assistance to developing countries and countries in transition.