INTRODUCTION TO ELECTRONIC

SPS CERTIFICATION

FRANCIS LOPEZ

InterCommerce

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 (Office International des Epizooties/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

www.oie.int/

www.fao.org/fao-who-codexalimentarius/en/

www.ippc.int/en/

SPS WORKFLOWS

SPS Certification, Issuance Workflows (Exports)

SPS Utilization, Quarantine Clearance Workflows (Import)

SPS CERTIFICATE ISSUANCE

1. Application for SPS Certification prior to exportation

2. Animal/Plant and Product inspection

3. Report on inspection

4. Approval and issuance of SPS Certificate

5. Exporter sends SPS Certificate to importer

SPS CERTIFICATE UTILIZATION

1. Importer submits SPS Certificate together with goods

declaration and other documents for preparatory for

quarantine inspection and clearance

2. Documentary verification (risk assessment, and retro-

verification/re-issuance of SPS Certificate, if necessary)

3. Quarantine inspection, clearance and release

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

SPS CERTIFICATE ‘EXCHANGE’

1. Approved SPS Certificate issued to exporter, which then sends to importer for quarantine clearance at port of entry/discharge

2. Online access to approved SPS Certificate . . view and/or print a copy of the SPS Certificate from system of issuing authority, primarily for authentication

3. Electronic transmission of SPS Certificate .. SPS data may be used for authentication, validation compliance to import permit

E-SPS EXCHANGE

Adoption of UNCEFACT e-CERT as basis for e-SPS

Message Specification, e.g. IPPC e-Phyto Certificate

Increasing use of digital signature/certificate eg. PKI

Data encryption

Bilateral SPS exchange, from export issuing authority to

import quarantine agency

Hub or point-to-multipoint exchange

Collaborative e-SPS Exchange

E-SPS EXCHANGE

Issuance and transmission of e-SPS Certificates

Receipt of e-SPS Certificate and ensuring compliance

to import requirements and facilitate quarantine

clearance

Hub Model(IPPC ePhyto)

Export

Country

Export CountriesImport Countries

Import Countries

BilateralSPS Exchange

WTO STDF

IPPC E-PHYTO HUB

International Plant Protection Convention (IPPC) IPPC has proposed the e-Phyto Hub project:

Enable exporting countries to submit e-Phyto Certificate to a Phyto Hub, and

Enable importing countries to retrieve such Phyto Certificate from the e-Phyto Hub

WTO Standards and Trade Development Facility Provided the US$1.0M funding for the development of the ePhyto Hub with pilot

implementation to developing economies, e.g. Egypt, Equador, Ghana, Guatemala, Samoa, Senegal, Sri Lanka

Importing countries express support to retrieve Phyto Certificate from the Hub, e.g. Australia, Canada, Chile, China, Netherlands, New Zealand, S. Korea, USA

Development and operation to be undertaken by UN ICC

Self-sustaining service (fee for service)

Timeline - 2017

Hub Model (IPPC ePhyto)

Export Countries

Import Countries

PROPOSED ASW E-SPS EXCHANGE

ASW

Gateways

NSW

NSW

Expor

t

OGA

Impor

t

OGA

Expor

t

OGA

Impor

t

OGA

10 ASEAN Member States:Brunei, Cambodia, Indonesia, Laos, Malaysia, Myanmar, Philippines, Singapore, Thailand, Vietnam

ASEAN Member State

ASEAN Member State

Import

Customs

Import

Customs

OGA: Refers to Other Government Agencies, such as

the National Plant Protection Organization (NPPO) for

Phyto Certification

NPPO/QIA

Exporting Country Importing Country

NPPO/QIASPS Certificate

Exporter Importer

SPS Import

Clearance/

Permit

SPS Notification

SPS Import Clearance/Permit

SPS Status/Change RequestSPS

Certificate

1

4

3

2

* Pan Asian eCommerce Alliance Model

COLLABORATIVE E-SPS EXCHANGE *

BENEFITS OF COLLABORATIVE E-SPS

EXCHANGE

1. Importer authorized to import goods, subject to specific

terms and conditions

2. Certification on the compliance of both the goods and

traders

3. Advanced validation of Certification vis-à-vis import

permit, conditions for importation and compliance to

import quarantine requirements

4. Enhanced profiling and risk management

5. Improve food safety and security, reduced clearance delays

and cost

6.

CHALLENGES IN E-SPS IMPLEMENTATION

Legal and trade policy framework

IT systems and infrastructure

OGA competencies and resistance to change

KEY TAKEAWAY

Collaborative e-SPS Exchange to address food

safety and security issues

Overcome technical and funding constraints

thru public-private partnership

THANK YOU