1. Operationalizing Export Certification and Regionalization Programmes
NPPO Operations
Module 4
Operationalizing Export Certification and Regionalization Programmes

2. Module 4 What will I learn?
The obligations of the NPPO regarding the core activities of export certification and regionalization programmes, including:
Legal authority
Administrative and operational responsibilities
Resources and infrastructure
Document and record-keeping
Communication
Establishment of PFAs and ALPPs

3. Export Certification
IPPC Article V.1 states each contracting party shall make arrangements for phytosanitary certification, with the objective of ensuring that exported plants, plant products and other regulated articles and consignments thereof are in conformity with the certifying statement in the model phytosanitary certificate of the IPPC.

4. Export Certification
Certifying Statement (ISPM 12, 2015): This is to certify that the plants, plant products or other regulated articles described herein have been inspected and/or tested according to appropriate official procedures and are considered to be free from the quarantine pests specified by the importing contracting party and to conform with the current phytosanitary requirements of the importing contracting party, including those for regulated non- quarantine pests.

5. Export Certification The system includes several components
Legal authority
Administrative and operational responsibilities
Information on phytosanitary import requirements
Resources and infrastructure
Documentation and record keeping
Communication
Review

6. Export Certification Legal authority
Phytosanitary legislation clearly provide this authority.
No other authority is responsible for export certification.
Responsibilities are as indicated in Article IV .2 (a) of the IPPC.

7. Export Certification Administrative and operational responsibilities
Non-governmental personnel may be authorized by the NPPO to perform specified certification functions, with the exception of issuing phytosanitary certificates.
Such personnel should be qualified and skilled.

8. Export Certification Administrative and operational responsibilities
Identify and register users (producers, exporters and re- exporters).
Establish a close working relationship with users.
Put into place a management system that ensures that all legislative and administrative requirements for phytosanitary certification are satisfied.

9. Export Certification Requirements for a certification system
A person or office is responsible for the system.
Duties and communication channels of all personnel involved are clear.
Sufficient personnel with appropriate qualifications, skills and resources are available.
Adequate and sustained training is provided.

10. Export Certification Actions required for a certification system
Identify, approve and establish legally binding relationships with third party service providers.
Make customs and handlers aware of their roles in maintaining the phytosanitary integrity and security of consignments in the exporting country.

11. Export Certification Information on phytosanitary import requirements
Check phytosanitary import requirements on export documentation to verify that they are valid and current.
All personnel involved in certification should have adequate technical information on regulated pests in the importing countries.
Control over the certification process and who issues certificates.

12. Export Certification Information on phytosanitary import requirements
Documented procedures are in place for phytosanitary certification.
Adequate equipment, materials and facilities are available to carry out sampling, inspection, testing, treatment and other phytosanitary certification procedures.

13. Export Certification Documentation
A system for recording the relevant procedures and maintaining records to:
Trace phytosanitary certificates and the related consignments and their parts
Verify compliance with the phytosanitary import requirements

14. Export Certification Documentation
Procedures and guidelines are needed for specific activities including:
Inspection, sampling, testing, treatment and verification of the identity and integrity of consignments
Maintaining security over official seals and marks
Ensuring trace-back of consignments, including their identification and phytosanitary security (as appropriate) through all stages of production, handling and transport prior to export

15. Export Certification Documentation
Procedures and guidelines are needed for specific activities including:
Investigating notifications of non-compliance
Investigating invalid or fraudulent phytosanitary certificates

16. Export Certification Record-keeping
For each consignment requiring phytosanitary certificates:
Inspection, testing, treatment and verification are carried out.
Samples are taken.
Names of the personnel who undertook these tasks are recorded.
The date of the inspection is recorded.

17. Export Certification Record-keeping All results are recorded.
Information is recorded in non-compliant consignments for which phytosanitary certificates were not issued.
Copies of phytosanitary certificates are kept for validation and trace-back for at least one year.

18. Export Certification Communication
Pest status, import requirements of importing countries and operational procedures are communicated to all relevant stakeholders.
When necessary, official communication will take place between contact points or alternative designated contacts.
The NPPO of the importing country is informed as soon as possible of a consignment that may not have complied with phytosanitary requirements.

19. Exercise 4.1
Does your NPPO have the necessary, legal, administrative, operational and technical elements in place for an effective export certification system? Identify the areas in your export certification system where improvements can be made.

20. Regionalization
The status of regulated pests in an area can be changed through the combined result of a number of measures, creating opportunities for a country to negotiate market access.

21. Regionalization Regionalization measures include:
Establishment, maintenance and surveillance of pest free areas (PFAs), pest free production sites (PFPS) and pest free places of production (PFPP)
Pest eradication
Establishment of areas of low pest prevalence (ALPP)

22. Regionalization: Important considerations
Financial feasibility
Undertake a cost-benefit analysis to assess the cost of systems and activities:
Establishing pest freedom
Maintaining pest freedom
Managing the maintenance of product identity and phytosanitary security of the consignment

23. Regionalization: Important considerations
Technical feasibility
Type of pest to be regulated
Type of crops
Cropping pattern, host plants and the spread of pests in the targeted area
Possible physical and other barriers that may affect the establishment of pest free status

24. Regionalization: Important considerations
Technical feasibility
Measures to establish and maintain pest freedom
Legal and administrative requirements for establishing and maintaining pest freedom
Availability of inputs to carry out the PFA programme and reliability of supply

25. Regionalization: Important considerations
Environmental impact assessment
Determines the potential environmental effects of a PFA or an ALPP with regard to:
The physical environment
Natural enemies and other species
Removal of host species and their impact

26. Regionalization: Establishing a PFA or ALPP
To establish a PFA or ALPP, the NPPO:
Identifies the crops to be protected
Determines the pest(s) to be regulated
Determines the area to be regulated
Identifies the stakeholders that will be affected by regulating the pest(s)

27. Regionalization: Establishing a PFA or ALPP
To establish a PFA or ALPP, the NPPO:
Determines a sustainable funding mechanism
Determines the technical requirements of the programme
Procures the necessary equipment and supplies
Considers the logistics of the operation

28. Regionalization: Establishing a PFA or ALPP
To establish a PFA or ALPP, the NPPO:
Establishes an implementation plan
Ensures necessary legislation is in place to support all regulatory aspects of the programme
Provides a robust documentation system to support the declaration and recognition of the PFA or ALPP once established

29. Regionalization: Establishing a PFA or ALPP
On establishment of the programme, the NPPO:
Designates a point of contact for the recognition process
Requests recognition by the importing country of the PFA or ALPP
Provides appropriate information to the importing country in support of the programme
Provides additional information if necessary for recognition
Helps organize on-site verification visits, if requested by the importing country.

30. Regionalization: Establishing a PFA or ALPP
Maintenance
Establish a programme to maintain or suppress pest freedom.
Develop a protocol to respond rapidly and decisively to any re-introduction.
Record keeping
All actions undertaken in support of a PFA, PFPP, PFPS or ALPP programme should be well documented for review and audit purposes.

31. Regionalization: Establishing a PFA or ALPP
Review and audit
Have a system in place for performing internal audits or performance reviews of the programme.

32. Exercise 4.2
What crops and pests are likely candidates for a PFA/PFPP/PFPS/ALPP programme in your country? Describe the steps you would take to establish such a programme.