Export Program Manual - USDA

IntroductionPurposePurposeThe Export Program Manual (XPM) is a reference to use when inspectingcommodities and issuing export certificates.Unless specified otherwise, all references to “export certificate(s)” in the XPMrefer to the following: PPQ Form 577, Phytosanitary Certificate PPQ Form 578, Export Certificate, Processed Plant Products PPQ Form 579, Phytosanitary Certificate for ReexportPhytosanitary Issues Management (PIM), Export Services (ES) is theheadquarters unit within the United States Department of Agriculture, Animaland Plant Health Inspection Service, Plant Protection and Quarantine (USDAAPHIS-PPQ), that maintains the export program for U.S. applicants for exportcertification of U.S. and foreign-origin agricultural commodities.The Export Certification Program does not require certification of any exports,but does provide certification of plants and plant products as a service toexporters. After assessing the phytosanitary condition of the plants or plantproducts intended for export, relative to a foreign country’s import regulations,an Authorized Certification Official (ACO) issues an internationallyrecognized phytosanitary certificate (PPQ Form 577), a phytosanitarycertificate for reexport (PPQ Form 579), or an export certificate for processedplant products (PPQ Form 578), if warranted. USDA-APHIS-PPQ also entersinto written agreements with industry to allow the issuance of industry-issuedcertificates giving assurance that a plant product has been handled, processed,or inspected in a manner required by a foreign government. An example of anindustry-issued certificate includes the ISPM 15 treatment mark.NOTICEUSDA–APHIS–PPQ does not regulate the exportation of commodities.1-1-2Export Program Manual10/2019-28

IntroductionScopeScopeThe information in the XPM is based on international standards, PPQ policy,and regulations providing procedures for certifying commodities offered forexport. The XPM also covers information about PPQ’s Phytosanitary ExportDatabase (PExD), an electronic database that provides current information onthe plant import requirements of foreign countries. The PhytosanitaryCertificate Issuance and Tracking System (PCIT) automates the issuance of aphytosanitary certificate, including the collection and tracking of its relatedinformation.This manual is divided into the following chapters: Introduction Policy General Procedures Special ProceduresThe manual also includes Appendixes, a Glossary, and an Index.The Policy chapter provides the framework needed to coordinate and executeactivity throughout the export program. Policy statements help focus attentionand resources on high-priority issues—aligning and merging efforts to achieveprogram goals.The General Procedures chapter explains the operational processes required toimplement program policy and how ACOs carry out their responsibilities.The Special Procedures chapter is subdivided into two groups: Commodity – covers the special procedures for certifying specificcommodities Special Programs – covers the special procedures for certifyingcommodities associated with special programsThe Appendixes contain the following topics: Supplementary information not considered procedural Explanations and elaborations not essential to the manual but helpful tothe user Information that interrupts the main flow of the procedures, making themmore difficult to follow10/2019-28Export Program Manual1-1-3

IntroductionUsersThe Glossary defines specialized words, abbreviations, and acronymsassociated with certifying commodities for export.The Index contains topics with links and page numbers for quick reference.Although the XPM does mention and give some direction for using PExD asrelated to the procedures, the XPM does not comprehensively cover the use ofdatabases related to export certification. Related databases include PExD andPhytosanitary Certificate Issuance and Tracking (PCIT).UsersFederal, State, and California County ACOs use the XPM as a reference forinspecting commodities and issuing export certificates.The experience of users will vary, but ACOs should have a working knowledgeof the following: PPQ policy PCIT PExDEnabling LegislationPlant Protection ActTo enable PPQ to help applicants meet the plant quarantine importrequirements of foreign countries, Section 418, CERTIFICATION FOREXPORTS, of the Plant Protection Act provides the authority for issuingexport certificates for the export of commodities. The regulations for enforcingthe Plant Protection Act are 7 CFR Part 353 and 7 CFR Part 354.7 CFR Part 353—Export Certification7 CFR Part 353 provides export certification authorities.7 CFR Part 354.3—User Fees for Certain InternationalServices7 CFR Part 354.3 provides information on the collection of export certificationuser fees.1-1-4Export Program Manual10/2019-28

IntroductionProgram StandardsProgram StandardsThe U.S. export program is based on standards established by the InternationalPlant Protection Convention (IPPC) and the North American Plant ProtectionOrganization (NAPPO). The U.S. export program has an obligation andresponsibility to meet the standards developed by the IPPC and NAPPO. Theprimary standards on which the U.S. export program is based are thefollowing:IPPC StandardsThe IPPC Standards consist of International Standards for PhytosanitaryMeasures (ISPMs).NAPPO StandardsThe NAPPO Standards consist of Regional Standards for PhytosanitaryMeasures (RSPMs).PPQ is delegated as the National Plant Protection Organization (NPPO) andassumes the responsibilities for ensuring the U.S. export program meetsinternational standards. To facilitate the export of commodities for ourstakeholders and have a credible export program that is respected by ourtrading partners, our program will follow the policies and procedures in thismanual. Our policies and procedures are designed to be consistent with IPPCand NAPPO standards.The primary roles related to export certification and their responsibilities areoutlined in Appendix D.10/2019-28Export Program Manual1-1-5

IntroductionConventionsConventionsConventions are established by custom and are widely recognized andaccepted. Major conventions used in the XPM follow.AdvisoriesAdvisories are used throughout the XPM to bring important information to theuser’s attention. Please carefully review each advisory. The definitionscoincide with American National Standards Institute (ANSI) and are in theformat shown below.! DANGERDANGER indicates imminent risk of death or serious injury.! WARNINGWARNING indicates possible risk of serious injury.! CAUTIONCAUTION indicates minor to moderate risk of injury.NOTICENOTICE alerts readers of important information or Agency policy.SAFETYSAFETY indicates general instructions or reminders related to safety.BoldfacingBoldfaced type is used to emphasize important words throughout the XPM.These words include: always, cannot, do not, does not, except, must, never,no, not, only, other than.Bulleted ListsBulleted lists indicate that there is no order to the information listed.ChaptersThis manual contains the following chapters: Introduction, Policy, GeneralProcedures, and Special Procedures.ContentsMost chapters and sections of a chapter have a table of contents that lists theheading titles, and is located at the beginning to help find information.1-1-6Export Program Manual10/2019-28

IntroductionConventionsControl DataControl data are the numbers located at the bottom of most pages, opposite thepage number, which can be used to track revisions. At the top of the page is thechapter, section, and first-level heading. At the bottom of the page is themonth, year, manual transmittal number, manual title, and page number.EXAMPLEThe numbers at the bottom of the page are 11/2011-13. 11/2011 is the month and year when the manual page was issued -13 is the transmittal numberDecision TablesDecision tables are used throughout the XPM. Read decision tables from left toright, beginning with the column headings and moving right one column at atime. Each column represents a condition with the last column on the rightrepresenting the action to take once all the conditions are considered. UsingTable 1-1-1, if you are a 28-year-old female, you would schedule a physical.Table 1-1-1 How to Use Decision TablesIf you are a:And your age is:Then:MaleUnder 30Do not schedule a physical30 or overSchedule a physicalUnder 25Do not schedule a physical25 or overSchedule a physicalFemaleExamplesExamples are used to clarify a point by applying to a real-world situation.Examples always appear in boxes as a means of visually separating them fromthe other information contained on the page.EXAMPLEExamples are graphically placed boxes within the text as a means ofvisually separating information from other information contained onthe page. Examples will always appear in a box.FootnotesFootnotes are usually placed at the bottom of a page that comment on or cite areference from a designated part of the text. The following types of footnotesare used in the XPM. General text footnotes located at the bottom of the page, which areconsecutively numbered throughout the manual10/2019-28Export Program Manual1-1-7

IntroductionConventions Table or figure footnotes located directly below the associated table orfigure (if a table or figure continues beyond one page, the associatedfootnotes will appear on the last page)Heading LevelsWithin each chapter and section there are three heading levels. The firstheading is indicated by a horizontal line followed by the title continuing acrossboth the left and right columns. The second heading is in the right-handcolumn with the text beginning below. The third heading is in the left-handcolumn and is used to easily scan topics.Hypertext Links (Highlighting) to Tables, Figures, andHeadingsTables and figures are highlighted in bold print. Hypertext links within theonline manual are also highlighted in blue print. Headings are highlighted initalic print.EXAMPLESee Table 1-1-2 on page 1-1-10 to determine how to report problemswith the XPM.IndentionsEntry requirements summarized from CFRs, import permits (IPs), or policiesare indented on the page.Italicized BracketsWhen completing or reviewing certain certificates or forms, information that isto be entered, listed, or filled in is italicized and enclosed in brackets.Numbered ListsNumbered lists are used to indicate the specific order in which the informationlisted is to be followed.Numbering SchemeA three-level numbering scheme is used in this manual for pages, tables, andfigures. The first number represents the chapter. The second number representsthe section. The third number represents the page, table, or figure. Thisnumbering scheme allows for easier updating and adding pages without havingto reprint an entire chapter. Dashes are used in page numbering to differentiatepage numbers from decimal points.1-1-8Export Program Manual10/2019-28

IntroductionRevisions to ManualsSectionSome of the chapters in this manual are broken down into sections. Eachsection begins on a new, right-hand page. Sections are identified by the secondnumber in the numbering scheme used for this manual. The manual chaptersGeneral Procedures and Special Procedures are divided into sections.Revisions to ManualsExport Services (ES) issues transmittals for advance notices, immediateupdates, and new editions of manuals.Immediate UpdatesImmediate updates are issued when the revisions are urgently needed andcover 6 pages or less.Transmittals for immediate updates usually contain the following information: List of the updated pages Purpose of the immediate update Supersede statement Transmittal number (used to track revisions)New EditionsFor new editions to online manuals, transmittal e-mails are issued.Supersede StatementsSupersede statements identify existing official documents that are no longervalid or accurate because they have been incorporated into the manual.Supersede statements are included in transmittals.ES is obligated to identify all existing official documents that are superseded.If manual users accessed outdated information that was not formallysuperseded, the agency may be liable. Therefore, supersede statements arecritical from a legal standpoint.TransmittalsTransmittals are the correspondence accompanying immediate updates andnew editions. Transmittals explain the manual revision. Each transmittal has aunique number usually identified in the subject line, which can be used to trackrevisions. New editions always start with the transmittal number of -01 and thenumber increases by one for each revision made during the life of the edition.10/2019-28Export Program Manual1-1-9

IntroductionHow to Report Problems With the Export Program Manual (XPM)How to Report Problems With the Export Program Manual (XPM)Use Table 1-1-2 to report export certification problems, situations, anddisagreements or to offer suggestions that directly affect the contents of theXPM.Table 1-1-2 How to Report Problems With the XPMIf you:Then:Are unable to access theonline manualCONTACT Export Services’ Manuals Unit Liaison. Call 301851-2279 or e-mail michael.j.perry@usda.gov.Have a suggestion forimproving the formatting(design, layout, composition), grammar, or spellingNeed help with an exportissue, policy, or procedureCONTACT someone for assistance (see Appendix A for theestablished contact protocol)Disagree with policy or procedures1-1-10Export Program Manual10/2019-28

Chapter2PolicyContentsAccreditation 2-1-2ACO Accreditation 2-1-2Seed Health Accreditation 2-1-2Additional Declarations (ADs) 2-1-3Authority for Entering Additional Declarations 2-1-3Additional Official Phytosanitary Information 2-1-3Certification Eligibility Review 2-1-4Commercial Information 2-1-4Confidentiality 2-1-5Export Certificates 2-1-5Phytosanitary Certificate (PPQ Form 577) and Phytosanitary Certificatefor Reexport (PPQ Form 579) 2-1-5Export Certificate for Processed Plant Products (PPQ Form 578) 2-1-6Export Certification Violations 2-1-6Export Treatments 2-1-7Verifying Seed Treatments 2-1-7Field Inspections 2-1-8Genetically Modified Organisms 2-1-8Grain 2-1-8Agricultural Marketing Service (AMS) Federal Grain Inspection Service(FGIS) Inspection Authority 2-1-9Official Samples, Inspection, and Testing 2-1-10Seed Sampling and Testing 2-1-11Pest Free Area (PFA) or Pest Free Place of Production (PFPP) 2-1-11Establishing a PFA 2-1-11Establishing a PFPP 2-1-12Resources for Determining PFAs or PFPPs 2-1-13Phytosanitary Certificate Issuance & Tracking (PCIT) 2-1-14Federal ACOs 2-1-14State and County ACOs 2-1-15Prohibited Information on an Export Certificate 2-1-16Record Keeping 2-1-17Replacement 2-1-17PPQ Forms 577 or 579 for Commodities in a Foreign Country 2-1-17Return of Foreign Origin Commodities to the Country of Origin 2-1-17Safeguarding 2-1-17Safety 2-1-18Safety Guidelines 2-1-18PPQ Field Operations Safety & Health Managers 2-1-1810/2019-28Export Program Manual2-1-1

PolicyAccreditationTime Limits 2-1-19Time Limits for Field Inspections and Laboratory Testing 2-1-19Replacing PPQ Forms 577 and 579 Outside PPQ’s Time Limit Policy2-1-20USDA Letterhead Statements 2-1-20User Fees 2-1-20AccreditationACO AccreditationAuthorized Certification Official (ACO) accreditation is in accordance with7 CFR 353 and the Regional Standards for Phytosanitary Measures No. 8. Seealso Reaccreditation of ACOs on page 5-1-4 and PPQ’s Accreditation Systemsand Programs Web site.Seed Health AccreditationPPQ’s National Seed Health System (NSHS) provides accreditation to nongovernment entities to perform the following testing and inspections requiredfor an ACO to issue a PPQ Form 577 or 579. Each non-government entity isaudited and evaluated by the NSHS under the direct supervision of theAccreditation Manager for PPQ. Laboratory testing for plant pathogens using the standardized methodsapproved by the NSHS Growing season inspections of seed-producing fields, nurseries, orgreenhouses for disease freedom using standardized methods approvedby the NSHS Sampling of seeds using standardized methods and procedures approvedby the NSHS Visual inspections of seeds for phytosanitary certification using PPQapproved methods at the applicant’s facility for insects, weed seeds, soil,and other contaminantsIt is against PPQ policy to issue certificates for commodities: That underwent testing or inspection by a non-accredited entity Based on results of an activity conducted before the entity was accreditedACOs may accept results from accredited entities for accredited phytosanitaryprocedures. These documented results serve to determine eligibility to issuePPQ Forms 577 or 579 for seeds intended for propagation.The most current information about the accredited entities and the functionsthey are allowed to perform can be found on the PPQ Web page underAccreditation Systems and Programs.2-1-2Export Program Manual10/2019-28

PolicyAdditional Declarations (ADs)Additional Declarations (ADs)ADs are official government assurances regarding the phytosanitary status of aplant or plant product.Authority for Entering Additional DeclarationsADs can be included only on PPQ Forms 577 or 579. ADs must be, based onactivities performed in the U.S., verified by an ACO and supported bydocumentation such as field inspection results, lab testing results, etc. If arequired AD is prohibited by PPQ policy, certification cannot be provided.If an applicant is an Authorized Entity (AE) and is authorized by the local Stateor County duty station to enter ADs, then the ACO should provide thenecessary AD(s) to the applicant and the ACO must verify that the informationon the phytosanitary certificate is correct before signing.Additional Official Phytosanitary InformationAdditional official phytosanitary information, such as inspection, testing, etc.,conducted in the U.S. and verified by an ACO, can be included on aphytosanitary certificate at the request of exporters to facilitate future reexports from a foreign country. This information is separated from the firstcountry import requirements, and is listed in the AD block, under a headingtitled: Additional Official Phytosanitary Information.10/2019-28Export Program Manual2-1-3

PolicyCertification Eligibility ReviewCertification Eligibility ReviewOccasionally applicants request review of a commodity deemed ineligible forcertification. Export Services (ES) cannot consider any request until theapplicant provides all necessary information to ES.Liste

06/2017-22 Export Program Manual TOC-1 Export Program Manual Contents Figures LOF-1-1 Tables LOF-1-1 Introduction 1-1-1 Policy 2-1-1 General Procedures 3-1-1 The Process of Export Certification 3-1-1 Completing Application for Export Certification (PPQ Form 572) 3-2-1 Determining Eligibility and Import Requirements fo