1. GeneralConsiderations
2. Specific Principles and Guidelinesfor Preparation and Issue of Phytosanitary Certificates
3. Specific Principles and Guidelinesfor Preparation and Issue of Phytosanitary Certificates forRe-export
1. GeneralConsiderations
1.1 Purpose of phytosanitarycertificates
1.2 Mode of issue
1.3 Attachments
1.4 Unacceptablecertificates
1.5 Requirements made by importingcountries with respect to preparation and issue of phytosanitarycertificates
Article V.2a of the IPPC (1997) states that: "Inspectionand other related activities leading to issuance of phytosanitary certificatesshall be carried out only by or under the authority of the official nationalplant protection organization. The issuance of phytosanitary certificates shallbe carried out by public officers who are technically qualified and dulyauthorized by the official national plant protection organization to act on itsbehalf and under its control with such knowledge and information available tothose officers that the authorities of importing contracting parties may acceptthe phytosanitary certificates with confidence as dependable documents."(See also ISPM Pub. No. 7: Export certification system).
Article V.3 states: "Each contracting party undertakes notto require consignments of plants or plant products or other regulated articlesimported into its territories to be accompanied by phytosanitary certificatesinconsistent with the models set out in the Annex to this Convention. Anyrequirements for additional declarations shall be limited to those technicallyjustified."
As clarified at the time of the adoption of the IPPC (1997),it is understood that public officers who are technically qualified andduly authorized by the national plant protection organization includeofficers from the national plant protection organization. Public inthis context means employed by a level of government, not by a private company.Include officers from the national plant protection organizationmeans that the officer may be directly employed by the NPPO, but does not haveto be directly employed by the NPPO.
1.1 Purpose of phytosanitarycertificates
Phytosanitary certificates are issued to indicate thatconsignments of plants, plant products or other regulated articles meetspecified phytosanitary import requirements and are in conformity with thecertifying statement of the appropriate model certificate. Phytosanitarycertificates should only be issued for this purpose.
Model certificates provide a standard wording and format thatshould be followed for the preparation of official phytosanitary certificates.This is necessary to ensure the validity of the documents, that they are easilyrecognized, and that essential information is reported.
Importing countries should only require phytosanitarycertificates for regulated articles. These include commodities such asplants, bulbs and tubers, or seeds for propagation, fruits and vegetables, cutflowers and branches, grain, and growing medium. Phytosanitary certificates mayalso be used for certain plant products that have been processed where suchproducts, by their nature or that of their processing, have a potential forintroducing regulated pests (e.g. wood, cotton). A phytosanitary certificate mayalso be required for other regulated articles where phytosanitary measures aretechnically justified (e.g. empty containers, vehicles, andorganisms).
Importing countries should not require phytosanitarycertificates for plant products that have been processed in such a way that theyhave no potential for introducing regulated pests, or for other articles that donot require phytosanitary measures.
NPPOs should agree bilaterally when there are differencesbetween the views of the importing country and exporting country regarding thejustification for requiring a phytosanitary certificate. Changes regarding therequirement for a phytosanitary certificate should respect the principles oftransparency and non-discrimination.
1.2 Mode of issue
The phytosanitary certificate is an original document, orunder specific circ*mstances is a certified copy issued by the NPPO, thataccompanies the consignment and is presented to the relevant officials uponarrival in the importing country.
Alternatively, electronic certification may be used providedthat:
- the mode of issue and security is acceptable bythe importing countries
- the information provided is consistent with the appropriatemodel(s)
- the intent of certification under the IPPC isrealized
- the identity of the issuing authority can be adequatelyestablished.
1.3 Attachments
Official attachments to the phytosanitary certificate shouldbe limited to those instances where the information required to complete thecertificate exceeds the available space on the certificate (see also point 2).Any attachments containing phytosanitary information should bear thephytosanitary certificate number, and should be dated, signed and stamped thesame as the phytosanitary certificate. The phytosanitary certificate shouldindicate, in the appropriate section, that the information belonging in thatsection is contained in the attachment. The attachment should not contain anyinformation that would not be put on the phytosanitary certificate itself, hadthere been enough space.
1.4 Unacceptablecertificates
1.4.1 Invalid phytosanitarycertificates
1.4.2 Fraudulent certificates
Importing countries should not accept certificates that theydetermine to be invalid or fraudulent. The issuing authorities should benotified as soon as possible regarding unacceptable or suspect documents (seeISPM Pub. No. 13: Guidelines for the notification of non-compliance andemergency action). The NPPO of the exporting country should take correctiveaction when necessary and maintain systems for vigilance and security to ensurethat a high level of confidence is associated with phytosanitary certificatesissued by that authority.
1.4.1 Invalid phytosanitarycertificates
Reasons for rejecting a phytosanitary certificate and/or forrequesting additional information include:
- illegible
- incomplete
- period of validity expired or not complied with
- inclusion of unauthorized alterations or erasures
- inclusion of conflicting or inconsistentinformation
- use of wording that is inconsistent with the model
- certificates herein certification of prohibitedproducts
- non-certified copies.
1.4.2 Fraudulent certificates
Fraudulent certificates include those:
- not authorized by the NPPO
- issued on forms not authorized by the issuing NPPO
- issued by persons or organizations or other entities thatare not authorized by NPPO
- containing false or misleading information.
1.5 Requirements made by importingcountries with respect to preparation and issue of phytosanitarycertificates
Importing countries frequently specify requirements thatshould be observed with respect to the preparation and issue of phytosanitarycertificates. They commonly include:
- language (countries may require thatcertificates be completed in a specific language or one of a list of languages-- countries are encouraged to include one of the official languages ofFAO)- period of validity (importing countries may specify theperiod of time allowed for issue following inspection and/or treatment, dispatchof the consignment from the country of origin following issue, and validity ofcertificate)
- completion (countries may require that the certificate iscompleted by typing, or in handwritten legible capital letters)
- units (countries may require that the description of theconsignment and quantities declared should be done in specifiedunits).
2. Specific Principles and Guidelinesfor Preparation and Issue of Phytosanitary Certificates
2.1 Requirements for completing thephytosanitary certificate
Phytosanitary certificates and phytosanitary certificates forre-export should include only information related to phytosanitary matters. Theyshould not include statements that requirements have been met and should notinclude references to animal or human health matters, pesticide residues orradioactivity, or commercial information such as letters of credit.
To facilitate cross-referencing between the phytosanitarycertificates and documents not related to phytosanitary certification (e.g.letters of credit, bills of lading, CITES certificates), a note may be attachedto the phytosanitary certificate which associates the phytosanitary certificatewith the identification code, symbol or number(s) of the relevant document(s)which require cross-referencing. Such a note should only be attached whennecessary and should not be considered an official part of the phytosanitarycertificate.
All components of the phytosanitary certificates andphytosanitary certificates for re-export should normally be completed. Where noentry is made, the term None should be entered or the line should beblocked out (to prevent falsification).
2.1 Requirements for completing thephytosanitary certificate
(Headings in bold refer to the components of the modelcertificate)
The specific components of the phytosanitary certificate areexplained as follows:
No. __________
This is the certificate identification number. It should be aunique serial number associated with an identification system that allows"trace-back", facilitates audits and serves for record keeping.
Plant Protection Organization of ____________
This component requires the name of the official organizationand the name of the country that is issuing the certificate. The name of theNPPO may be added here if it is not part of the printed form.
TO: Plant Protection Organization(s) of____________
The name of the importing country should be inserted here. Incases where the shipment transits through a country which has specific transitrequirements, including the need for phytosanitary certificates, the names ofboth importing country and country of transit may be inserted. Care should betaken to ensure that the import and/or transit regulations of each country aremet and appropriately indicated. In cases where the shipment is imported andre-exported to another country, the names of both importing countries may beinserted, provided the import regulations of both countries have beenmet.
Section I. Description of Consignment
Name and address of exporter: ____________
This information identifies the source of the consignment tofacilitate "trace back" and audit by the exporting NPPO. The name and addressshould be located in the exporting country. The name and address of a localexporters agent or shipper should be used, where an international companywith a foreign address is the exporter.
Declared name and address of consignee:____________
The name and address should be inserted here and should be insufficient detail to enable the importing NPPO to confirm the identity of theconsignee. The importing country may require that the address be a location inthe importing country.
Number and description of packages:____________
Sufficient detail should be included in this section to enablethe NPPO of the importing country to identify the consignment and its componentparts, and verify their size if necessary. Container numbers and/or railcarnumbers are a valid addition to the description of the packages and may beincluded here, if known.
Distinguishing marks: ____________
Distinguishing marks may be indicated at this point on thephytosanitary certificate, or else on a stamped and signed attachment to thecertificate. Distinguishing marks on bags, cartons or other containers should beincluded only where they assist in identifying the consignment. Where no entryis made, the term None should be entered or the line should beblocked out (to prevent falsification).
Place of origin: ____________
This refers to place(s) from which a consignment gains itsphytosanitary status, i.e. where it was possibly exposed to possible infestationor contamination by pests. Normally, this will be the place where the commoditywas grown. If a commodity is stored or moved, its phytosanitary status maychange over a period of time as a result of its new location. In such cases thenew location may be considered as the place of origin. In specificcirc*mstances, a commodity may gain its phytosanitary status from more than oneplace. In these cases where pests from one or more place may be involved, NPPOsshould decide which place or places of origin most accurately describe thesituation which has given the commodity its phytosanitary status. In such cases,each place should be declared. It is noted that in exceptional cases, such aswith mixed seed lots that have more than one country of origin it is necessaryto indicate all possible origins.
Countries may require that pest free area,pest free place of production, or pest free productionsite be identified in sufficient detail in this section. In any case, atleast the country of origin should be indicated.
Declared means of conveyance: ____________
Terms such as sea, air, road, rail, mail, andpassenger should be used. The ships name and voyage number or theaircraft's flight number should be included if known.
Declared point of entry: ____________
This should be the first point of arrival in the country offinal destination, or if not known, the country name. The point of entry of thefirst country of importation should be listed where more than one country islisted in the TO: section. The point of entry for the country offinal destination should be listed in cases where the consignment only transitsthrough another country. If the country of transit is also listed in theTO: section, the points of entry into the transit country as well asthe final destination country may be listed (e.g. point A via pointB).
Name of produce and quantity declared:____________
The information provided here should be sufficientlydescriptive of the commodity (which should include the commodity class, i.e.fruit, plants for planting, etc.) and the quantity expressed as accurately aspossible to enable officials in the importing country to adequately verify thecontents of the consignment. International codes may be used to facilitateidentification (e.g. customs codes) and internationally recognized units andterms should be used where appropriate. Different phytosanitary requirements mayapply to the different end uses (for example, consumption as compared topropagation) or state of a product (e.g. fresh compared to dried); the intendedend use or state of the product should be specified. Entries should not refer totrade names, sizes, or other commercial terms.
Botanical name of plants: ____________
The information inserted here should identify plants and plantproducts using accepted scientific names, at least to genus level but preferablyto species level.
It may not be feasible to provide a botanical description forcertain regulated articles and products of complex composition such as stockfeeds. In these cases, NPPOs should agree bilaterally on a suitable common namedescriptor, or the words Not applicable or N/A may beentered.
Certifying statement
This is to certify that the plants, plant products or otherregulated articles described herein have been inspected and/or tested accordingto appropriate official procedures and are considered to be free from thequarantine pests specified by the importing contracting party and to conformwith the current phytosanitary requirements of the importing contracting party,including those for regulated non-quarantine pests.
They are deemed to be practically free from other pests.(Optional clause)
In instances where specific import requirements exist and/orquarantine pests are specified, the certificate is used to certify conformitywith the regulations or requirements of the importing country.
In instances where import requirements are not specific and/orquarantine pests are not specified, the exporting country can certify for anypests believed by it to be of regulatory concern.
The exporting countries may include the optional clause ontheir phytosanitary certificates or not.
... appropriate official procedures ...refers to procedures carried out by the NPPO or persons authorized by the NPPOfor purposes of phytosanitary certification. Such procedures should be inconformity with ISPMs where appropriate. Where ISPMs are not relevant or do notexist, the procedures may be specified by the NPPO of the importingcountry.
... considered to be free from quarantine pests... refers to freedom from pests in numbers or quantities that can bedetected by the application of phytosanitary procedures. It should not beinterpreted to mean absolute freedom in all cases but rather that quarantinepests are not believed to be present based on the procedures used for theirdetection or elimination. It should be recognized that phytosanitary procedureshave inherent uncertainty and variability, and involve some probability thatpests will not be detected or eliminated. This uncertainty and probabilityshould be taken into account in the specification of appropriateprocedures.
... phytosanitary requirements ... areofficially prescribed conditions to be met in order to prevent the introductionand/or spread of pests. Phytosanitary requirements should be specified inadvance by the NPPO of the importing country in legislation, regulations, orelsewhere (e.g. import permits and bilateral agreements andarrangements).
... importing contracting party ... refersto governments that have adhered to the IPPC including Members of the InterimCommission on Phytosanitary Measures until the amendments of 1997 come intoforce.
Section II. Additional Declaration
Additional declarations should be only those containinginformation required by the importing country and not otherwise noted on thecertificate. Additional declarations should be kept to a minimum and be concise.The text of additional declarations may be specified in, for example,phytosanitary regulations, import permits or bilateral agreements. Treatment(s)should be indicated in Section III.
Section III. Disinfestation and/or DisinfectionTreatment
Treatments indicated should only be those which are acceptableto the importing country and are performed in the exporting country or intransit to meet the phytosanitary requirements of the importing country. Thesecan include devitalization and seed treatments.
Stamp of organization
This is the official seal, stamp or mark identifying theissuing NPPO. It may be printed on the certificate or added by the issuingofficial upon completion of the form. Care should be taken to ensure that themark does not obscure essential information.
Name of authorized officer, date andsignature
The name of the issuing official is typed or hand-written inlegible capital letters (where applicable). The date is also to be typed orhand-written in legible capital letters (where applicable). Only abbreviationsmay be used to identify months, so that the month, day and year are notconfused.
Although portions of the certificate may be completed inadvance, the date should correspond to the date of signature. Certificatesshould not be post- or pre-dated, or issued after dispatch of the consignmentunless bilaterally agreed. The NPPO of the exporting country should be able toverify the authenticity of signatures of authorized officers uponrequest.
Financial liability statement
The inclusion of a financial liability statement in aphytosanitary certificate is optional.
3. Specific Principles and Guidelinesfor Preparation and Issue of Phytosanitary Certificates forRe-export
3.1 Conditions for issuing aphytosanitary certificate for re-export
3.2 Conditions for issuing aphytosanitary certificate for an imported consignment
3.3 Transit
The components of the phytosanitary certificate for re-exportare the same as for the phytosanitary certificate (see section 2.1) except forthe section covering certification. In this section, the NPPO indicates byinserting ticks in the appropriate boxes whether the certificate is accompaniedby the original phytosanitary certificate or its certified copy, whether theconsignment has been repacked or not, whether the containers are original ornew, and whether an additional inspection has been done. ISPM Pub. No. 7(Export Certification Systems) provides guidance on the need foradditional inspection.
If the consignment is split up and the resulting consignmentsare exported separately, then phytosanitary certificates for re-export andcertified copies of the original phytosanitary certificate will be required toaccompany any such consignments.
3.1 Conditions for issuing aphytosanitary certificate for re-export
When a consignment is imported into a country, then exportedto another, the NPPO should issue a phytosanitary certificate for re-export (seemodel). The NPPO should only issue a certificate for the export of an importedconsignment if the NPPO is confident that the importing country's regulationsare met. Re-export certification may still be done if the consignment has beenstored, split up, combined with other consignments or re-packaged, provided thatit has not been exposed to infestation or contamination by pests. The originalphytosanitary certificate or its certified copy should also accompany theconsignment.
3.2 Conditions for issuing aphytosanitary certificate for an imported consignment
If the consignment has been exposed to infestation orcontamination by pests, or has lost its integrity or identity, or has beenprocessed to change its nature, the NPPO should issue a phytosanitarycertificate and not the phytosanitary certificate for re-export. The country oforigin should still be indicated on the phytosanitary certificate. The NPPO mustbe confident that the importing countrys regulations are met.
If the consignment has been grown for a specific time(depending on the commodity concerned, but usually one growing season or more)the consignment can be considered to have changed its country oforigin.
3.3 Transit
If a consignment is not imported, but is in transit through acountry without being exposed to infestation or contamination by pests, the NPPOdoes not need to issue either a phytosanitary certificate or a phytosanitarycertificate for re-export. If however, the consignment is exposed to infestationor contamination by pests, the NPPO should issue a phytosanitary certificate. Ifthe consignment is split up, combined with other consignments or repackaged, theNPPO should issue a phytosanitary certificate for re-export.
