Shellfish Handling and Marketing Certificate (SHMC) Frequently Asked Questions

​What is a SHMC?

​What is a Shellfish Handling and Marketing Certificate (SHMC)?

Shellfish Handling and Marketing Certificate (SHMC) is a basic license issued to wholesale firms that allows them to legally own, purchase and distribute raw molluscan shellfish (oysters, clams, mussels and whole scallops) in California. The SHMC provides evidence to your customers and regulatory agencies that you are certified and inspected by the California Department of Public Health (Department), Food and Drug Branch (FDB).

What is the Food and Drug Branch (FDB) Post-Harvest Shellfish Program?

The Department, is the State Shellfish Control Authority (Authority) for the State of California, and is mandated by the U.S. Food and Drug Administration (FDA) to enforce standards in the National Shellfish Sanitation Program Guide for the Control of Molluscan Shellfish: 2023 Revision (NSSP Guide). The NSSP Guide applies to bivalve molluscan shellfish (oysters, clams, mussels, and scallops) that are raw (live, shucked, or frozen) or that are subjected to post-harvest processing. Blanched is not cooked and therefore still considered to be a raw product. The NSSP Guide does not apply to crustaceans, such as crabs, lobster, or shrimp. For simplicity, the NSSP Guide refers to bivalve molluscan shellfish as “shellfish."

The NSSP Guide is the standard for shellfish harvesting and handling industry practices. As the authority for the State of California, the Department is responsible for all NSSP Guide program elements:

Pre-Harvest Program – Environment Management Branch (EMB): Growing area classification, patrol enforcement, Vibrio species control, and laboratory services.

Post-Harvest Program – Food and Drug Branch (FDB): Dealer certification (interstate and intrastate), plant sanitation, illness and outbreak investigations, and recalls.

These program elements set standards for sanitary quality of growing waters, issuing certificates, harvesting, and shellfish handling activities that include wet storage, depuration, shucking, tagging, and labeling. EMB and FDB work together to ensure compliance with the NSSP Guide, Seafood HACCP, California state laws and regulations for shellfish dealers.

​The SHMC Application Process

​What are the steps after I submit my SHMC application?

The steps in processing a SHMC application are:

• Application (including payment) is received by the California Department of Public Health mailroom and is delivered to FDB via the MS Code or P.O. Box listed on the envelope.
• After FDB receives the envelope containing the application and fees, it is given to the Cashier for logging before the check is sent to the CDPH Accounting office for processing.
• Once the payment has cleared, the cashier is notified and forwards the application to the Licensing Desk.
• The License Desk screens the application for completeness.
• If an application is deemed complete, it will be entered into the Program's system and sent to the Shellfish Program Specialist.
• The Specialist receives the applications and screens them for operational details.  Applications are sent to the District Supervisor to be assigned to a shellfish trained Inspector.
• An Inspector contacts the firm for a pre-certification “new license inspection."
• The firm must tell the inspector if it's ready for inspection (i.e., not undergoing construction, equipment set up, not undergoing a city/county plan check, or lacking required Shellfish HACCP documentation, etc.).
• Inspection schedules are based on the priorities and workload of the assigned Inspector.
• Once an inspection is completed, the District Office Supervisor and Specialist review the report and send a disposition to the Licensing Desk.
• If approved, the Licensing Desk will generate the certificate and send it to the mailing address provided on the application.
• Concurrently, the Specialist will add the firm (Dealer) onto either the Interstate Certified Shellfish Shippers List (ICSSL) or the CA ONLY Shellfish Shippers List.
  

What is the difference between the ICSSL and the CA ONLY Shellfish Shippers List?

The main difference is product distribution.

• Dealers that want to sell and ship shellfish out of California must be listed on the Interstate Certified Shellfish Shippers List (ICSSL). These Dealers can only obtain shellfish from other ICSSL Dealers and are inspected more frequently. Per NSSP requirements, twice a year for reshippers (RS) and shellstock shippers (SS). Three times a year for shucker packers (SP) and repackers (RP). Monthly if you are depurating shellstock (DP).
• Dealers that will only distribute shellfish within California can be listed on the CA ONLY Shellfish Shippers List. They cannot sell or ship shellfish out of California.
  

What happens after I submit my SHMC application?

Processing an application is a multi-step process. For an application to be fully processed, it must clear all the steps on the cashiering, licensing, and inspection sides. Once the firm is compliant with applicable laws and regulations, a disposition as to licensure is made and the firm is notified of the outcome.

Applicants should know:

• Applications are processed in the order they are received.
• Submission of an incomplete application by the firm will cause delays in processing the application.
• Until all required information on the application (including correct fees) is made available to the FDB, the application will be deficient and will not be processed. Ensure all numbered items are completed.
• The owner must sign the application and complete the business operator and correspondent information at the bottom of the application.
• If an application is incomplete, the applicant must submit the missing information no later than 90 calendar days from the Department's notification date or the application will be considered abandoned.

​Are applications processed in the order received?

Yes. Applications are processed in the order they are received as complete (i.e., application does not have missing information and full fees paid). Deficient applications will not be placed in the processing queue until firm addresses deficiencies.

If I submit a complete application with correct fees, am I automatically granted certification?

No. Your operation (facility on application) must meet and be compliant with all applicable laws and regulations before a disposition for certification is granted. Once the licensing desk verifies your submission of application and fees is fully complete, your application will be sent to the Specialist and inspection team to contact you.

How do I check if my application and fees were received?

The fastest way to know if the California Department of Public Health (CDPH) received your application is to contact your bank and confirm that your check has cleared. FDB is unable to provide a contact person or phone number to the CDPH Accounting Department for inquiries about checks.  For more information contact FDBFood@cdph.ca.gov.

Will I be notified that my application has been received?

Yes. An electronic notification (from a non-monitored FDB email address) will be sent to the firm email address listed on the application. This happens after your application is entered into the Program's system, and this automated message is the official notification that your complete application and its fees (check cashed) has been received and forwarded to the district office for a new license inspection.

My check was cashed, where is my certification?

A cashed check signifies the Program received your application(s), and it is being processed in the order received. Please note that due to the number of applications received, it could take up to two weeks before you receive an e-mail that states your application is moving to inspection scheduling.

If my application is deficient, will I receive a deficiency notice?

Yes. The FDB Licensing Desk will send a deficiency notice to applicants specifying the deficiencies. The applicant must submit the missing information no later than 90 calendar days or it will be considered abandoned.

​SHMC Application Fees

Is my Shellfish Handling and Marketing Certificate application fee refundable?

No. Certificate fees are nonreturnable per California Code of Regulations, 7707.1 (a). On page 1 of the SHMC application, applicants are informed fees are non-refundable.

Pursuant to HSC 110474, the registration fee due from a person who holds one or more licenses, registrations, or certificates issued by the department shall be the fee for the single highest cost license, registration, or certificate only.

For example, if a business is required to obtain both a SHMC and PFR, where the PFR fee is less than the SHMC, the business must pay for the SHMC and the PFR license fee will be excused.  The business must still apply for the PFR and pay for the Seafood HACCP fee ($250), and Food safety fee ($100) that are associated with the PFR, because these fees are not covered by HSC 110474.

How is the Shellfish Handling and Marketing Certificate (SHMC) fee used?

SHMC fees are deposited into a special account and used to cover the operational cost of the Food Safety Program inspection(s), compliance, and enforcement activities.

​Wet Storage or Depuration Permit Fees

What is the Wet Storage and Depuration Processing Fee?

Wet storage means the storage, by a Dealer, of shellstock from growing areas in the approved classification or in the open status of the conditionally approved classification in containers or floats in natural bodies of water or in tanks containing natural or synthetic seawater at any permitted land-based activity or facility.

​FDB shall permit all wet storage activities to ensure that they are conducted by certified shellfish firms and in compliance with uniform sanitation requirements established in the Model Ordinance (MO) of the National Shellfish Sanitation Program (NSSP). FDB must approve and maintain documentation for the following while wet storage activities continue:

1. Construction and remodeling plans for any permitted wet storage facility;
2. Wet storage operational plans;
3. Wet storage permits; and
4. Inspection documentation.

The permit fee of $1,249 is required for new system validation studies and for existing systems that must re-validated (17 CCR 7739). For additional design and validation study details, please email SeafoodReporting@cdph.ca.gov.

The permit fee is not an annual fee. The permit fee must be paid and is not subject to HSC 110474. This fee is used to cover the operational cost of the Food Safety Program inspection(s), compliance, and enforcement activities.

What is Depuration Processing?

A Depuration Processor (DP) means a person who harvests or receives shellstock from growing areas in the restricted or conditionally restricted classification and submits such shellstock to an approved process to reduce fecal coliforms in the shellstock.

FDB must review and approve the Depuration Plant Operating Manual prior to granting depuration certification. As well as review the depuration plant performance index and other records as part of the monthly inspections to verify that the process and critical control points are effective and the process verification analysis is being performed properly.

​SHMC Multiple Locations

Do I need to be certified at multiple locations?

Yes, each location must have its own certificate.​

SHMC Timeframe

How long does it take to get a SHMC license?

The approximate timeframes are provided below. These timeframes only apply to your application if it is complete and the applicable fees have been submitted according to the instructions on the application.

• Application reviewed by FDB cashiering desk for program assignment and check sent to CDPH Accounting (2-3 business days).
• Payment check is cleared by Accounting and Licensing desk notified. Licensing desk reviews application for completeness. If fully complete, the application is then transferred to the inspection team for scheduling (up to 2 weeks).
• E-mail sent to firm to communicate application has moved to inspection scheduling.
• Inspection team reaches out to the firm to determine readiness and discuss next steps for the inspection scheduling.
• Inspection team places received applications in the queue for processing.
• Applications are processed in the order received.
• If a firm is not ready when contacted by the Food Safety Inspector, the firm's place in the queue is not held. This is to help other stakeholders that are waiting their turn.
• Inspection completion and issuance of disposition, such as certification or denial of application, is contingent on FDB workload and readiness of firm.
• Complex operations (e.g., Seafood HACCP, Operation Manuals, test results, etc.) can take longer to process depending on the readiness of firm once contacted by the Food Safety Inspector.

When should I apply for a Shellfish Handling and Marketing Certificate (SHMC)?

Businesses should submit a SHMC application at least 90 days before they want to begin purchasing or warehousing of molluscan shellfish products. This is recommended because processing the application (from date of receipt, through inspection, and disposition) can take several weeks to complete depending on the complexity of the inspection.

How can I avoid delays in processing my application?

Please make sure the application is readable, all required fields are filled out, and the application is signed. If the application is incomplete, it will be returned to your firm and cause a delay in the processing of the application.

Is there an option to expedite processing of my application?

No. Processing of the application cannot be expedited. While FDB understands a firm may be eager to have its license as soon as possible, FDB is serving other stakeholders as well so to maintain fairness to all firms, applications are processed in the order they are received.

To avoid delays in processing an application, it is important that the firm/business submits a fully completed application without missing information. This includes fees and any required documentation.

How long is my SHMC license good for?

The SHMC license is valid for one year and expires on March 31^st, regardless of when the original SHMC was issued.

SHMC Inspection

​What happens if I am contacted by the Food Safety Inspector and my firm is not ready?

If your firm is not ready when contacted by the inspector, this may result in delays in processing your application and your application may be closed. FDB will not hold your place in the queue and will move to process the application of the firm next in the queue.

A pre-certification is required before you can start owning shellfish. What happens during the inspection?

A plant sanitation inspection will take place, along with a review of your seafood HACCP training certificate. Firm must provide their shellfish HACCP plans and subsequent monitoring records and forms.

​SHMC Status

Can I check the status of my application?

Yes. However, FDB cannot share information on new or renewal application status if the inquirer is not an owner and/or an approved signer/authorized individual for the business.

If requesting a status of application/renewal, and the check has cleared – please provide a copy of the front and back of the check.

Application/License status inquiries should be submitted to FDBFood@cdph.ca.gov.

Due to the voluminous number of e-mails received in this inbox, please allow 2-3 business days for a response.​

SHMC Renewals

Will I receive a Renewal Notice?

Renewal notices are emailed as a courtesy to firms approximately 60 days before the license expires. This should give the firm enough time to gather information/testing (if applicable), send forms/fees via USPS as indicated in the submission instructions and receive updated licensing within expiration dates.

Licensing renewals are processed on a flow basis as they are received in our office. Deficient applications will not be processed, and the firm will be notified of the deficiencies.

To renew the license, a firm must submit the completed application form and fees to the address on the application form. It is unlawful to operate without a valid certificate, pursuant to California Health & Safety Code Section 112205.

​SHMC Questions

​What if I have questions about my application?

Please send all questions to FDBFood@cdph.ca.gov

What if I have questions about whether I need a SHMC or Wet Storage Permit?

Please send those questions to SeafoodReporting@cdph.ca.gov​