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S E E D I M P O R T/E X P O R T P R O C E D U R E SM A N U A LF O RG O V E R N M E N T A G E N C I E SByAdelaida Harries and Joseph CortesSeed Science CenterIowa State UniversityCopyright© 2005 Seed Science Center Iowa State University. All rights reserved.Seed Import/ Export Manual1INTRODUCTIONThe Seed Science Center has developed the Seed Import/ Export Procedures Manual for Government Agencies. This manual has been developed to provide transparency and clarity to the procedures utilized by the government agencies involved in the approval of imports and/or exports of seed from their country. The manual has combined the requirements of the seed and the plant health departments to reduce the time and personnel constraints that translate into additional and sometimes expensive and unnecessary costs all based on process management. Process management is a tool utilized in the public and private sector for the control processes, procedures, and activities to streamline operations and to minimize faulty product.This manual is a blueprint for the establishment of an ISO-like seed import and export system. The core process defined in this manual is the “Seed Import and Export” that includes the procedures listed below. The content of each procedure includes the purpose, scope, references, definitions, responsibilities, activities, records, and flowcharts.Each procedure indicates why the procedure is important and is described in the purpose, while the scope defines the beginning and the ending of the procedure. Each procedure contains the description of the activities that define the “what”, “when”, and “where” and describes the sequence that must be followed. The activities are directly linked with the flowchart that provides a visual representation of each procedure. Formats for records and reports are included as annexes and are linked to each pertinent activity.This proposed manual includes five operational procedures and two support procedures. Operational Procedures:¾Seed Import Permit Procedure¾Seed Import Clearance Procedure¾Non-Compliance Procedure¾Seed Export Procedure¾Appeals ProcedureSupport Procedures:¾Document Control Procedure¾Record Control ProcedureSeed Import/ Export Manual2ACKNOWLEDGEMENTSPreparation of this manual was initiated in late 2004, with the financial assistance of USDA-Foreign Agricultural Service, as part of a grant for the harmonization of phytosanitary regulations for selected countries in the Asia-Pacific region. In addition to USDA-FAS, the other lead organizations in the grant are the Asia Pacific Seed Trade Association (APSA) and the American Seed Trade Association (ASTA). These organizations all contributed in many ways to make this manual possible and our gratitude is extended to them.The editing of this manual by Suzanne Schuknecht, Program Assistant Department of Economics ISU, is much appreciated.REFERENCES¾International Plant Protection Convention, New Revised Text, November 1997.¾Principles of plant quarantine as related to international trade ISPM # 01, February 1995.¾Guidelines for pest risk analysis ISPM # 02, February 1996.¾Glossary of Phytosanitary Terms 2002 ISPM # 05, April 2002.¾Export certification system ISPM # 07, November 1997.¾Pest risk analysis for quarantine pests including analysis of environmental risks and living modified organisms ISPM # 11, April 2004.¾Guidelines for Phytosanitary Certificates ISPM # 12 May 2001.¾Guidelines for a Phytosanitary Import regulatory system ISPM # 20, April 2004.Seed Import/ Export Manual3SEED IMPORT PERMIT PROCEDURE NATIONAL PLANT PROTECTION ORGANIZATION (NPPO)Authorization DateEffective DateCreated byApproved bySeed Import/ Export Manual41. Purpose:1.1The objective of this procedure is to define the sequence of events, interfaces, andresponsibilities involved in the process of approving an application for a seedimport permit.2.Scope:2.1From submission of the application of the import permit to the approval or non-approval of the application.3.References:3.1National Phytosanitary Regulations3.2National Seed Regulations3.3International Plant Protection Convention3.4International Standards for Phytosanitary Measures3.5Phytosanitary Requirements in the SADC Region.4.Definitions:4.1SA: Seed Authority, government agency responsible for seed import/export.4.2NPPO: National Plant Protection Organization, government agency responsible forphytosanitary seed exports. Official service established by a government todischarge the functions specified by the IPPC (FAO, 1990).4.3IPPC: International Plant Protection Convention, as deposed with FAO in Rome in1951 and subsequently amended.4.4ISPM: An International Standard on Phytosanitary Measures adopted by theConference of FAO.4.5PIP: Plant Import Permit, an official document authorizing importation of seeds inaccordance with specified requirements (FAO, 1995).4.6PC: Phytosanitary Certificate, certificate patterned after the model certificates ofIPPC.4.7PRA: Pest Risk Analysis, the process of evaluating biological or other scientific andeconomic evidence to determine whether a pest should be regulated and the strengthof any phytosanitary measure to be taken against it.4.8WTO: World Trade Organization.4.9Consignment: A quantity of seeds being moved from one country to another andcovered, when required, by a single phytosanitary certificate (FAO, 1990).4.10Seed: A commodity class for seeds for planting or intended for planting and not forconsumption or processing (FAO, 2001).4.11Point of Entry: airport, seaport, or land border point officially designated for theimportation of consignments, and /or entrance of passengers (FAO, 1990).4.12Additional Declaration: A statement that is required by an importing country to beentered on a phytosanitary certificate and which provides specific additional Seed Import/ Export Manual5information pertinent to the phytosanitary conditions of a consignment. (FAO,1990).4.13Plant Quarantine: All activities designed to prevent the introduction and /or spreadof quarantine pests or to ensure their official control (FAO, 1995).4.14Quarantine pest: A pest of potential economic importance to the area endangeredthereby and not yet presents there or present but not widely distribute and beingofficially controlled (FAO, 1997).4.15Plants: Living plants and parts thereof, including seeds and germplasm (FAO, IPPC1997).4.16Plants for planting: Plants intended to remain planted, to be planted or replanted(FAO, 1990).5.Responsibility and Authority:5.1The _________ of the Seed Authority is responsible for the receptions of the seedimport application, evaluating the compliance of the seed requirements, approvepartially the application and send to the NPPO.5.2The _________ of the NPPO is responsible for receiving and evaluating thephytosanitary information included in the Seed Import Permit application.5.3The _________ of the NPPO is responsible for contacting with the NPPO from theexporting country for additional information required.5.4The _________ of the NPPO is responsible for conducting the PRA, establishingthe phytosanitary requirements and informing the Ministry of….…, for submissionto the WTO.5.5The _________ of the NPPO is responsible for issuing the phytosanitary importpermit and notifying the applicant and the Customs Office.6.Activities: If the seed import application requires the approval of the SA, go to 6.1. If theseed import application does not require the approval of the seed department, go to 6.6.6.1Receive application6.1.1The application for a seed import (Annex A) will be received by the_________ of the SA at the following locations_____________________.6.1.2The _________ of the SA will verify the completeness, and record theentry immediately (Annex B) providing the applicant with the applicationnumber assigned.6.1.3The content of the application are based on the International Standard forPhytosanitary Measures of IPPC and the National Seed Regulations.6.2Evaluate application6.2.1The SA will evaluate the application in a period of ______working daysfollowing the Seed Regulations.6.2.2The SA will prepare a report completing the Format (Annex C).6.2.2.1If the import application fulfills the national seed regulationsrequirements continue with 6.5.Seed Import/ Export Manual66.2.2.2If the import application is not approved, but can be correctedwith additional information from the applicant, continue with 6.4.6.2.2.3If the import application is not approved and cannot be corrected,continue with 6.3.6.3Notify non-approval6.3.1Based on the report the SA shall notify the non-approval of the seedimport application through a memo (Annex F) and signed by__________.6.3.2The applicant may appeal the decision following the Appeals Procedure.6.4Notify for additional information6.4.1The SA will notify the applicant for more information through amemorandum (Annex E) in a maximum of ______ working days andsigned by ________.6.4.2Upon reception of the additional information, continue at 6.2.6.5Notify Approval6.5.1The _________ of the SA will notify the NPPO and the applicant, theapproval of the import application through a memo (Annex D) in ______working days and signed by__________.6.6Receive and evaluate application6.6.1The _________ of the NPPO will receive the PIP application (Annex N,please include your national application format), at (locations)………, andregister the import permit applications using a register format (Annex G).6.6.2The NPPO will evaluate the application in a maximum of ______ workingdays and complete the NPPO report format (Annex H) following theNational Phytosanitary Regulations.6.6.2.1If the application is not satisfactory continue with 6.7.6.6.2.2If the application is satisfactory and the seed import does notrequire a PRA, continue with 6.11.6.6.2.3If the application is satisfactory but the seed import requires aPRA, continue with 6.9.6.7Notify for additional information6.7.1The _________ of the NPPO will notify the applicant for moreinformation based on the evaluation report through a memorandum(Annex I).6.7.1.1If the additional information is received in the time allowedcontinue with 6.6.6.7.1.2If the additional information is not received in the time allowedcontinue with 6.8.Seed Import/ Export Manual76.8Notify non-approval6.8.1The _________ of the NPPO will notify the applicant and whereappropriate, the SA that the import permit is not approved after the dateestablished for the information required by memo (Annex M).6.8.2The applicant may appeal the decision following the Appeals Procedure.6.9Conduct PRA6.9.1The _________ of the NPPO will conduct the pest risk analysis of theseed requested for import following the Pest Risk Analysis Guidelines ofIPPC.6.9.2The _________ of the NPPO will elaborate and sign a report of PRA in amaximum of ______ working days.6.10Establish and notify the phytosanitary requirements6.10.1The NPPO will establish the phytosanitary requirements based on theresults of the PRA report.6.10.2The _________ of the NPPO will notify the Ministry of …. as to theamendments in the phytosanitary requirements, for submission to WTO.6.10.2.1If the PRA report permits the seed import, continue with 6.11.6.10.2.2If the PRA report does not permit the seed import, continue with6.8.6.11Issue plant import permit6.11.1The _________ of the NPPO will issue the permit taking into account theNPPO report, the list of phytosanitary requirements and the fee paymentreceipt (Annex J).6.11.2The permit will be in original for the applicant and ______ copies andsigned by ______.6.11.3The NPPO will register the import permit using the record format (AnnexL).6.12Notify approval6.12.1The _________ of the NPPO will notify the approval of the import permitto the applicant and to the Customs Office.6.12.1.1The NPPO will send a memo of the approval notification in amaximum of ______ working days (Annex K).6.12.2This entire procedure, under normal conditions will take a maximum of_______ working days.7.Records:7.1Record of Seed Authority Reception7.2Record of Seed Evaluation Report7.3Record of Seed Import Application ApprovalSeed Import/ Export Manual87.4Record of NPPO Reception7.5Record of NPPO Evaluation7.6Record of PRA7.7List of Phytosanitary Requirements7.8Record of PIP approval7.9Record of PIP issued8.Flowchart and Annexes:8.1Flowchart8.2Annex A: Seed Import Application Format8.3Annex B: Format of Seed Import Application received8.4Annex C: Format of Seed Authority Report8.5Annex D: Format of Memo of SA Approval Notification Format8.6Annex E: Format of Memo of SA Additional Information Format8.7Annex F: Format of Memo of SA Non-Approval Notification Format8.8Annex G: Format of NPPO Application Record8.9Annex H: Format of NPPO Evaluation Report8.10Annex I: Format of Memo of NPPO Additional Information Format8.11Annex J: Plant Import Permit Format8.12Annex K: Format of Memo of NPPO Approval Notification Format8.13Annex L: Format of Record of Plant Import Permit Approved8.14Annex M: Format of Memo of NPPO non-approval Notification Format8.15Annex N: Format of Import Permit ApplicationSeed Import/ Export Manual9ANNEX ASEED IMPORT APPLICATION FORMATFOR OFFICIAL USE (Seed Authority) PLACE AND DATE APPLICATION NUMBERAPPLICANT INFORMATIONNAME OF IMPORTER ADDRESS AND TEL/FAX/E-MAILNAME OF EXPORTER ADDRESS AND TEL/FAX/E –MAILDESCRIPTION OF CONSIGNMENTCOMMON NAME BOTANICALNAMEVARIETY/HYBRIDNAMETYPE OFMATERIALQUANTITY(Kgs)DESCRIPTIONPACKAGESCOUNTRY OF ORIGIN COUNTRY AND PLACE OFPRODUCTIONPURPOSE OF IMPORTPOINT OF EXIT POINT OF ENTRY CONVEYANCE/TRANSPORTMODE ADDITIONAL INFORMATION:NAME OF APPLICANT: ___________________________________ DATE: ___________________ SIGNATURE OF APPLICANT: ______________________________________________________Seed Import/ Export Manual11ANNEX BFORMAT OF SEED IMPORT APPLICATION RECEIVEDAPPLICATION NUMBER DATE OF RECEPTIONSeed Import/ Export Manual12ANNEX CFORMAT OF SEED AUTHORITY REPORT APPLICATION NUMBER:DATE:The present seed import application complies with the national seed regulations requirements.The present seed import application does not comply with the national seed regulations requirements because OF APPLICANT: ___________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ The present seed import application requires additional information as follows: __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________Authority Signature __________________________________ Date ___________ Seed Import/ Export Manual13ANNEX DMEMO OF SEED AUTHORITY APPROVAL NOTIFICATION FORMAT TO: NPPOCC: APPLICANTFROM: SEED AUTHORITYDATE:IMPORT APPLICATION NUMBER:I am informing you that the application for the seed imports #______ has been approvedby our Seed Authority. I have included the approved application to continue with thephytosanitary approval process.________________________________________ SEED AUTHORITY SIGNATURE Seed Import/ Export Manual14ANNEX EMEMO OF SEED AUTHORITY ADDITIONAL INFORMATION FORMAT TO: APPLICANTFROM: SEED AUTHORITYDATE:IMPORT APPLICATION NUMBER:After the revision of your application for seed import #_________ we require additional information as requested in the attached report. That information must be submitted inthe next _______ working days, otherwise the application will be denied._________________________________________SEED AUTHORITY SIGNATURESeed Import/ Export Manual15ANNEX FMEMO OF SEED AUTHORITY NON-APPROVALNOTIFICATION FORMATTO: APPLICANTFROM: SEED AUTHORITYDATE:IMPORT APPLICATION NUMBER:I regret to inform you that your application for seed import #_______ has been denied.Please see attached report.___________________________________ SEED AUTHORITY SIGNATURE Seed Import/ Export Manual16ANNEX GFORMAT OF NPPO APPLICATION RECORDSEED AUTHORITY APPLICATION NUMBER DATE OF RECEPTION AT NPPO PLANTIMPORTPERMITNUMBERSeed Import/ Export Manual17ANNEX HFORMAT OF NPPO EVALUATION REPORT APPLICATION NUMBER:DATE:The present seed import application complies with the national plant protection and quarantine regulations requirements.The present seed import application does not comply with the national plant protection and quarantine regulations requirements because _________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ The present seed import application requires additional information as follows: __________________________________________________________________ __________________________________________________________________ __________________________________________________________________ __________________________________________________________________Authority Signature ________________________________Date___________ Seed Import/ Export Manual18ANNEX IMEMO OF NPPO ADDITIONAL INFORMATION FORMATTO: APPLICANTFROM: NPPODATE:IMPORT APPLICATION NUMBER:After the revision of your application for seed import # __________ we requireadditional information as requested in the attached report. The information required mustbe submitted in the next ______ working days, otherwise the application for import willbe denied.____________________________ NPPO SIGNATURESeed Import/ Export Manual19ANNEX JPLANT IMPORT PERMIT FORMATGOVERNMENT OF (COUNTRY LOGO) MINISTRY OF AGRICULTUREPLANT IMPORT PERMITNumber______________________Act e.g. Plant Pests and Disease Act (Import) Regulations, Year_________________ PERMIT AUTHORIZING THE IMPORTATION OF GROWING MEDIA/INJURIOUS ORGANISMS/INVERTEBRATES/ PLANTS AND PLANTPRODUCTSPermission is granted to____________________________________________________(Name of importing Person/ Company)Of____________________________________________________________________(Address of importer in importing country)To import in one consignment, within six months of the date of this permit, from____________________________________________________________________(Name of exporting person/company)Of _____________________________________________________________________(Address of exporter in exporting country)Through _________________________________________________________________(Entry point: border/ railway station/ airport/ seaport)The following:(Agricultural produce and products to be imported)Subject to the following conditions/ requirements:______________________________________________________________________ Additional requirements/ declaration by the exporter:________________________________________________________________________ Additional Declaration on Phytosanitary CertificateOrganism: AD1 –AD6AD: an additional declaration on the Phytosanitary CertificateDECLARE THAT;AD1: the organism does not occur in the COUNTRY of productionAD2: the organism does not occur in the AREA of ProductionAD3: the PARENT PLANT were INSPECTED during ACTIVE GROWTH and found free from the organismAD4: the CONSIGNMENT was TESTED and found Free from the organismAD5: the CONSIGNMENT was INSPECTED and found free from the organismAD6: the CONSIGNMENT was treated with an appropriate fumigant not more than 14 days PRIOR to export; especially against the organismSeed Import/ Export Manual20ANNEX KMEMO OF NPPO APPROVAL NOTIFICATION FORMATTO: APPLICANT AND CUSTOMS OFFICEFROM: NPPO AUTHORITYDATE:IMPORT PERMIT APPLICATION NUMBER:I am informing you that your application for seed imports reference #_______ has beenapproved. I attach the signed Plant Import Permit # __________.____________________________ NPPO SIGNATURESeed Import/ Export Manual21ANNEX LRECORD OF PLANT IMPORT PERMIT REQUESTEDAPPLICATION NUMBER DATEOFISSUEDATE OFEXPIRATIONMATERIALSPECIESQUANTITY COUNTRY/PLACEOF ORIGINIMPORTERSeed Import/ Export Manual22ANNEX MMEMO OF NPPO NON-APPROVAL NOTIFICATION FORMATTO: APPLICANT AND SEED AUTHORITYFROM: NPPODATE:IMPORT APPLICATION NUMBER:I regret to inform you that your application for Plant Import Permit #________ has notbeen approved. Please see attached report.__________________________________ NPPO AUTHORITY SIGNATURE Seed Import/ Export Manual23SEED IMPORT CLEARANCE PROCEDURENATIONAL PLANT PROTECTION ORGANIZATION (NPPO) Authorization DateEffective DateCreated byApproved bySeed Import/ Export Manual241Purpose:1.1The objective of this procedure is to define the sequence of events, interfaces, andresponsibilities involved in the process of clearance of a seed lot for importation.2Scope:2.1From the approved seed importation arrival to the release or rejection of the seedimport.3References:3.1National Phytosanitary Regulations3.2National Seed Regulations3.3Biosafety Regulations3.4International Plant Protection Convention3.5International Standard for Phytosanitary Measures3.6Phytosanitary Requirements in the SADC Region.3.7ISTA Rules4Definitions:4.1NPPO: National Plant Protection Organization, government agency responsible forphytosanitary seed exports. Official service established by a government todischarge the functions specified by the IPPC (FAO, 1990).4.2IPPC: International Plant Protection Convention, as deposed with FAO in Rome in1951 and subsequently amended.4.3ISPM: An International Standard on Phytosanitary Measures adopted by theConference of FAO.4.4PIP: Plant Import Permit, an official document authorizing importation of seeds inaccordance with specified requirements. (FAO, 1995).4.5PC: Phytosanitary Certificate, certificate patterned after the model certificates ofIPPC.4.6PRA: Pest Risk Analysis, the process of evaluating biological or other scientific andeconomic evidence to determine whether a pest should be regulated and the strengthof any phytosanitary measure to be taken against it.4.7WTO: World Trade Organization.4.8Consignment: A quantity of seeds being moved from one country to another andcovered, when required, by a single phytosanitary certificate. (FAO, 1990).4.9Seed: A commodity class for seeds for planting or intended for planting and not forconsumption or processing (FAO, 2001).4.10Point of Entry: airport, seaport or land border point officially designated for theimportation of consignments, and /or entrance of passengers (FAO, 1990).4.11Additional Declaration: A statement that is required by an importing country to beentered on a phytosanitary certificate and which provides specific additionalinformation pertinent to the phytosanitary conditions of a consignment.4.12Plant Quarantine: All activities designed to prevent the introduction and /or spreadof quarantine pests or to ensure their official control (FAO, 1995).Seed Import/ Export Manual254.13Quarantine pest: A pest of potential economic importance to the area endangeredthereby and not yet presents there or present but not widely distribute and beingofficially controlled (FAO, 1997).4.14Plants: Living plants and parts thereof, including seeds and germplasm (FAO, IPPC1997)4.15Plants for planting: Plants intended to remain planted, to be planted or replanted(FAO, 1990).4.16GMO: Genetically Modified Organism4.17ISTA: International Seed Testing Association4.18Isolation condition: growing of seed in specially protected condition for detection ofpotentially introduced pathogens, otherwise not determined through laboratorytechniques.4.19Clearance (of a consignment): Verification of compliance with phytosanitaryregulations (FAO, 1995).4.20Compliance procedure: Official procedure used to verify that a consignmentcomplies with stated phytosanitary requirements (CEPM, 1999).4.21Inspection: Official visual examination of plants, plants products, or other regulatedarticles to determine if pests are present and or to determine compliance withphystosanitary regulations (FAO, 1995).4.22Inspector: Person authorized by a National Plant Protection Organization todischarge its functions (FAO, 1990).4.23Treatment: Officially authorized procedure for the killing, removal or renderinginfertile of pests (FAO, ISPM 2002).4.24Release (of a consignment): Authorization for entry after clearance (FAO, 1995).5Responsibility and Authority:5.1The _________ of the NPPO is responsible for receiving and checking the importdocumentation taking into account the document checklist.5.2The _________ of the NPPO is responsible of taking samples for testing andconducting the inspection.5.3The _________ of the NPPO is responsible for conducting the seed health testing.5.4The _________ of the SD is responsible of conducting the seed testing if necessary.5.5The _________ of the NPPO is responsible for GMO testing.5.6The _________ of the NPPO is responsible for the isolation condition testing.5.7The _________ of the NPPO is responsible for the evaluation of all the applicabletests.5.8The _________ of f the NPPO is responsible for ordering and verification of theseed treatment.5.9The _________ of the NPPO is responsible for the order for rejection andverification of the destruction or re-export.5.10NPPO is responsible for communicating the release order to the importer.Seed Import/ Export Manual266Activities:6.1Receive and check import documentation6.1.1Upon reception of the notification arrival/inspection application by theimporter (Annex B), the _________ of the NPPO will check thecompliance with the documentation checklist (Annex A).6.1.1.1If the documentation is satisfactory continue with 6.2.6.1.1.2If the documentation is not satisfactory, reject shipment.6.1.2The _________ of the NPPO will convene the date and place of inspectionat the point of entry.6.1.3The _________ of the NPPO will register the notificationarrival/inspection application received (Annex B) immediately andprepare the schedule of the inspections (Annex C).6.2Conduct inspection6.2.1The _________ of the NPPO will take a sample following the ISTA rules,conduct the inspection in accordance with the National PhytosanitaryRegulations, and prepare the report (Annex D).6.2.1.1If seed testing is necessary continue with 6.3.6.2.1.2If seed testing is not necessary and the seed health testing isnecessary continue with 6.4.6.2.1.3If seed testing is not necessary and seed health testing is notnecessary and GMO detection is necessary continue with 6.5.6.2.1.4If seed testing, seed health testing and GMO detection are notnecessary continue with 6.6.6.3Conduct seed testing6.3.1The _________ of the SD will conduct the seed testing to determine thegenetic purity and germination according to the ISTA rules.6.3.2The _________ of the SD will prepare a seed testing report (Annex E).6.3.2.1If seed health testing is necessary continue with 6.4.6.3.2.2If seed health testing is not necessary and GMO detection isnecessary continue with 6.5.6.3.2.3If seed health testing is not necessary and GMO detection is notnecessary continue with 6.6.6.3.2.4If seed health testing and GMO detection are not necessary andgreenhouse testing is necessary continue with 6.8.6.4Conduct seed health testing6.4.1The _________ of the NPPO will conduct the seed health tests requiredfollowing the national and ISTA standards.6.4.2The _________ of the NPPO will prepare a seed health testing report(Annex F).6.4.2.1If GMO detection is necessary continue with 6.6.6.4.2.2If GMO detection is not necessary continue with 6.7.Seed Import/ Export Manual27。