UNNExT Workshop on Implementation of

e-SPS and Automation for Agriculture

Trade Facilitation

1-3 November 2016

Bangkok, Thailand

AN INTRODUCTION TO

ELECTRONIC SPS CERTIFICATION

FRANCIS LOPEZ UNNExT Expert

WTO SPS AGREEMENT

Agreement on the Application of Sanitary and Phytosanitary Measures,

entered into force on 1 January 1995

Defines the basic rules for food safety and animal and plant health

standards. All countries maintain measures to ensure that food is safe

for consumers, and to prevent the spread of diseases or pests among

animals and plants

SPS Committee developed recommended procedures and a

standardized format for governments to use for the required advance

notification of new regulations; monitor the use of international

standards; and, work on guidelines to ensure consistency in risk

management decisions, in order to reduce possible arbitrariness in the

actions taken by governments

SPS MEASURES

SPS Measures based on -

Recognized international standards, particularly those of the “three sisters” — FAO/WHO Codex Alimentarius Commission (CODEX), the World Organization for Animal Health (OIE) and the International Plant Protection Convention (IPPC)

Science, including scientific assessment of risk

Temporary precautionary principle in the absence of international standards or scientific evidence

SPS Information Management System (SPS IMS) provides access to documents and records relevant under the SPS Agreement. SPS IMS allows users to track information on SPS measures that

Member governments have notified to the WTO

Specific trade concerns raised in the SPS Committee

SPS-related documents circulated at the WTO

Member governments' SPS Enquiry Points and Notification Authorities

EARLY E-SPS INITIATIVES

Rationale for E-SPS

Secure SPS Certification

Eliminate fraudulent SPS Certificates

Methodologies: 1. Online access to system of export issuing authority, to enable import

quarantine agency to validate SPS Certificates (View))

2. Electronic retrieval of approved SPS Certificate by import quarantine

agency from export issuing authority (PULL via SOAP)

3. Electronic transmission of SPS Certificate by export issuing authority

to import quarantine agency (PUSH)

EARLY SPS CERTIFICATE ‘EXCHANGE’

Approved SPS Certificate (hard copy) is issued to exporter, which then sends to importer for quarantine clearance at port of entry/discharge

Competent Officer access online the system of the Competent Authority in the exporting country to verify the authenticity of the SPS Certificate as presented by the importer (online view and/or print a copy of the SPS Certificate)

Competent Authority in the exporting country sends the SPS Certificate (scanned copy, pdf format or e-SPS data)

OBJECTIVES OF E-SPS EXCHANGE

Facilitate trade

Reduction of data entry, data validation

Data security and integrity (reduce fraudulent documentation)

Compliance to import requirements

Advanced risk assessment and planning for arrival and clearance

Reduce costs and food wastages

Use international standards for SPS Measures

Improve traceability

CURRENT E-SPS EXCHANGE INITIATIVES

Adoption of UNCEFACT e-CERT as basis for e-SPS Message Specification, e.g. IPPC e-Phyto Certificate

Adoption of digital signature/certificate eg. PKI, and data encryption as may be agreed bilaterally

Bilateral SPS agreement on the exchange from Competent Authority (export) to Competent Authority (import) , i.e., point-to-point exchange,

The Point-to-Multipoint exchange, e.g. IPPC e-Phyto Hub

Collaborative e-SPS Exchange

SPS WORKFLOWS

SPS Certification, Issuance Workflows (Export, Re-Export)

SPS Utilization, SPS Clearance Workflows (including

verification on compliance to Import Requirements/Permit )

SPS Transit Workflows

SPS CA (Export)

SPS CA ((Import)

SPS CA (Transit)

SPS Certificate

SPS CERTIFICATE ISSUANCE

1. Application for SPS Certification prior to exportation

2. Inspection of the Plant, Animal and Plant/Animal-Product

3. Report on inspection

4. Approval of SPS Certification

5. Issuance of SPS Certificate to exporter

6. Transmission of the SPS Certificate by exporter to

importer (also, together with consignment)

SPS/PHYTO CERTIFICATION Online SPS Cert

Application

Automated

Exporter Profile

Data Validation

Verification of

Import Quarantine

Requirements

Verification on

Exporter

Compliance to Doc

Requirements

Inspection of

Consignments

e-Payment of

Inspection, SPS Cert

Fee

Approval, Issuance

of SPS Certificate

Online SPS Cert

Printing and/or

eSPS Transmission Source: IPPC Export Certification

SPS CERTIFICATE UTILIZATION

1. Importer receives the SPS Certificate from the exporter

2. Importer submits SPS Certificate together with goods declaration and other documents for preparatory for quarantine inspection and clearance

3. Competent Officer (plant, veterinary quarantine) conducts documentary verification (risk assessment, requires re-issuance of SPS Certificate, if necessary)

4. Competent Officer conducts plant/veterinary quarantine inspection

5. Competent Officer issues quarantine clearance and release

Online Import

Permit Application

Automated

Importer and

Commodity Data

Validation

Verification of data

vs attached support

documents

e-Payment of

Import Permit Fee

Online approval,

Issuance of Import

Permit specifying

import

requirements

E-Request for

Goods Inspection

Automated Import

Permit, SPS Cert

Validation

Verification of data

vs attached support

documents

Phytosanitary

Inspection at Port

Phytosanitary

Clearance and

Release

e-Payment of

Inspection/Lab Fee

Import Phytosanitary Clearance

Source: IPPC Import Verification

SPS CERTIFICATE FOR TRANSIT

1. The SPS Certificate issued by the Competent Authority

shall accompany the goods in transit thru third countries

2. Competent Officer determines if goods in transit are high

risk, and requires SPS measures to protect transit country

3. If necessary, Competent Officer conducts plant/veterinary

quarantine measures and subsequently, release cargo for

transshipment

SPS

CA (Export)

SPS

CA (Transit)

SPS Cert on

Transit Goods

CHALLENGES IN E-SPS IMPLEMENTATION

Legal, administrative and trade policy framework for

the online application and electronic issuance of import

permits and SPS Certificates, and the use of e-SPS

Certificate from exporting country

IT systems and infrastructure

OGA competencies, resistance to change

THANK YOU