(i) No shellfish dealer shall fail to conduct, or have conducted for their facility and operations, a hazard analysis to determine whether a food safety hazard is reasonably likely to exist for each shellfish product that they shuck, process, pack, repack, ship or reship and maintain a written record of the date and findings of such hazard analysis. The analysis shall identify the preventive measures that shall be implemented at critical control points to reduce or eliminate the food safety hazards. Such hazards may be introduced within or outside the permit holder's facility and include food safety hazards that can occur before, during and after harvest.

(ii) No shellfish dealer shall fail to have and implement a written hazard control plan when a hazard analysis determines that one or more food safety hazards are reasonably likely to occur. The written hazard analysis and control plan shall be specific to the permit holder's facility, operations and all shellfish products handled at that facility, any off-site storage area, or any means of conveyance used by the permit holder to transport shellfish. The hazard control plan shall identify the food safety hazards, critical control points, critical limits and preventive measures the permit holder or the most responsible person at the facility shall take to control, reduce or eliminate those hazards. The hazard analysis and hazard control plan shall be dated and signed by one of the following individuals: the most responsible person at the permit holder's facility, a higher level official of the firm, or by the permit holder. That person's signature shall signify that the hazard analysis and written hazard control plan have been accepted by the permit holder for implementation at the permit holder's facility, any off-site storage area(s) or any means of conveyance used by the permit holder to transport shellfish.

(iii) No shellfish dealer shall fail to provide and accurately maintain orderly dated records that document routine monitoring of the critical control points and critical limits identified in the hazard analysis and written hazard control plan. The records shall include the actual values obtained and observations made during the monitoring of critical control points and critical limits.

(i) No shellfish dealer shall fail to maintain orderly dated sanitation records. Such records shall accurately document the frequency of sanitation control practices and the correction of any insanitary conditions to ensure that the permit holder's facility or off-site storage area(s) or any means of conveyance used by the permit holder to transport shellfish is kept in an orderly, non-hazardous condition and that all the shellfish products in the permit holder's facility, off-site storage area(s) or any means of conveyance used by the permit holder, are shucked, processed, packed, repacked, shipped or reshipped in a safe and sanitary manner. Such sanitation practices and sanitation records shall, at a minimum, address the following:

(i) No shellfish dealer shall fail to maintain receiving records that include the following:

(ii) No shellfish dealer shall receive a shipment of shellfish unless it is accurately identified by an invoice or bill of lading nor fail to make any such invoice or bill of lading received with shellfish readily available for inspection by the department for at least one year after the receipt of such shellfish. Such invoices or bills of lading shall include the name, address and State shellfish permit number of the dealer, the date the shipment was received, quantity an common name of all shellfish in the shipment. If such invoices or bills of lading are maintained by the dealer as the receiving record, the area of harvest, original shipper permit number and harvest date must be included. No dealer shall fail to file such invoices or bills of lading in an orderly manner by dare or by other methods acceptable to the department.

(i) No shellfish dealer shall fail to maintain shipping records that include the following:

(ii) No shellfish dealer shall ship shellfish unless it is accompanied by an invoice or bill of lading, nor fail to make one copy of any invoice or bill of lading for shipped shellfish readily available for inspection by the department for at least one year after the sale of such shellfish. Such invoices or bills of lading shall be preprinted or stamped with the seller's name, business address and State shellfish permit number and must clearly indicate the name and permit number, if applicable, of the receiver of the shellfish, the quantity (net weight or numerical count or standard measure) and common name of the shellfish shipped, the date shipped and the area of harvest. If such invoices or bills of lading are maintained by the dealer as the shipping record, the original shipper permit number and harvest date must be included. No dealer shall fail to file such invoices or bills of lading in an orderly manner by date or by other methods acceptable to the department.

(iii) No shellfish dealer possessing a valid class A, B, D or E permit shall fail to maintain records of quantities (net weights or numerical counts or standard measures), common names and the harvest areas of all shellfish received from harvesters, nor fail to report such monthly totals to the Shellfisheries Section, Division of Fish, Wildlife and Marine Resources, New York State Department of Environmental Conservation by the 10th day of each succeeding month.