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1
UNNExT Workshops on Trade Facilitation
Almaty, Kazakhstan
4-6 May 2015
UNNExT Workshop on Trade Facilitation and Paperless Systems for
Agrifood Products
2
STREAMLINING AND AUTOMATING PROCEDURES FOR AGRIFOOD TRADE
UNNEXT Workshop on Trade Facilitation And Paperless Systems for Agrifood Products
4-6 May 2015, Almaty, Kazakhstan
FRANCIS LOPEZ
Streamlining and Automating Procedures for AgriFood Trade
Agenda • Review of Agricultural Supply Chain : Import and Export Processes
• Key Documents and Information Systems for AgriFood Trade
• Overview of Trade Automation Models
• Role of Single Window and Risk-based Controls in Facilitating Trade
• Modernizing Sanitary and Phytosanitary Systems and Certification
• Introduction to electronic SPS Exchange and automating Trade
procedures for AgriFood Trade
Typical AgriFood Supply Chain*
* Information Management in AgriFood Chain: Towards an Integrated Paperless Framework for AgriFood Trade Facilitation
Collaboration in Trade • Identifiers: AEOs, Product
Codes • Compliance to import
requirements • Visibility across the Supply
Chain
Case Studies • India GrapeNet • Malaysia Food and
Traceability • Vietnam TraceVerified for
Fish Exports • New Zealand eCert for Meat
Products
Case Studies • US ITDS –GS1 • China eCert, GPS and RFID
Transport • Air, Sea and Land
Case Studies
• Export
– India GrapeNet
– Malaysia Food and Traceability
– Vietnam TraceVerified for Fish Exports
– New Zealand eCert for Meat Products
• Import
– China Tianjin eCert, GPS-RFID
– US ITDS
– Philippines Trade System
• Key Success Factors
– Identification of source and products
– Specific testing procedures – Export-Import collaboration to ensure
Certification for compliance to import
regulatory requirements – Accessibility of data for transparency,
monitoring and reports – Government support, possibly with
funding, for sustainability – Tangible benefits to government and
the private sector – Cost effective technical solution
Documents in AgriFood Trade
Exports
• Trade Documents
- Commodity clearance, e.g., palm/coconut oil, sugar
- SPS Certificate (Health, Veterinary, Phyto Certificate)
- Fish Catch Certificates (EU IUU Regulations)
- Halal Certificate (Moslem countries)
- Fumigation Certificate
- Export Declaration
- Certificate of Origin
• Supply Chain Documents
- Invoice
- ASN/Packing List
• Transport Documents
- Advanced Manifest
- AWB/BL
6
Imports
• Trade Documents
- Import Permit (eg SPS Import Clearance)
- SPS Certificate (Health, Veterinary, Phyto Certificate)
- MAV Import Certificate (Safeguard Measure)
- Request for Inspection
- Veterinary Quarantine, Meat Inspection and Laboratory Certificate
- Certificate of Meat Inspection
- Import Declaration
- Certificate of Origin
• Supply Chain Documents
- Purchase Order
- Invoice
- ASN/Packing List
• Transport Documents
- Advanced Manifest
- AWB/BL
Challenges in Paper-based Processes
• Hardcopy documents
- Daily volume of documents submitted
- Accuracy, consistency of information
• Manual intervention in the review, processing and
approval
- Clerical errors in review
- Human intervention in the approval processes
- Data re-entry to generate reports
• Transparency
- Data visibility, documents in filing cabinets
- Accountability
- Limited data analysis
7
1. Export Procedures
– Export Declaration
– Certifications in Compliance to WTO SPS Agreement, availability to import authorities
– Certificate of Origin
– Manufacturer/establishment Registration, GAP, etc.
2. Cross Border Transportation
– Transport documents: AWB/BL/Waybill
– Cargo handling information, monitoring
3. Imports Procedures
– Import permit issued by regulatory agencies
– Verification on compliance to import and quarantine regulatory requirements
– Quarantine, physical inspection
– Import declaration and Custom Clearance
Food Processors, Consumers
Producers, Traders
Focus Areas in Trade Facilitation
1. Producer, Manufacturer, Trader
– Identification of the source: product, producer, and area
– Certification particularly on the quality of produce
2. Export Trade Regulatory Organizations
– Compliance to SPS Certification and import regulatory requirements
– Electronic SPS Certificate accessible to Import Quarantine Agency
3. Import Trade Regulatory Organizations
– Import permits to specify requirements
– Advanced verification and acceptance of Certifications
– Risk Management to reduce quarantine, physical inspection
– Compliance to Customs requirements
Food Processors, Consumers
Producers, Traders
Interventions for Trade Facilitation
SPS Certificate
• Sanitary and Phytosanitary Certificate
- WTO SPS Agreement
- International Plant Protection Council (IPPC) and the
International Plant Sanitary Measures No.12 (IPSM)
- CODEX Alimentarius Commission/OIE
• Issuance of SPS Certificate
- Harmonise SPS measures, based on international standards,
guidelines and recommendations
- Safeguard international trade of plants, animals and fisheries
and products thereof
10
SPS Certificate Workflows
• Application and issuance
- Submission of application, samples support
documents
- Inspection of production facilities, and
laboratory tests on products (if applicable)
- Preparation and approval of SPS Certificate
• Transmission of SPS Certificate
- Submission by exporter to importer thru courier
• Utilization of SPS Certificate
- Verification and validation vs import permit,
declaration and quarantine inspection
12
Food Processors, Consumers
Producers, Traders
e-SPS Certification
• Definition
- A secure exchange of SPS / eCert Messages from Issuing
Authority (Export) to Quarantine Authority/National Plant
Protection Organisation -NPPO (Import)
• Objectives
- Ensure compliance to health, sanitary requirements of
exporting and importing country
- Facilitate quarantine compliance and control fraud
- Trade facilitation, cross border efficiencies with advanced
information, reusable data
13
e-SPS Features
• Government-to-Government (G2G) Exchange
• Equivalent to paper SPS Certificate
• Prior Notice - available prior to approval
• Initiate pre-clearance processes including risk
management
• Verification of paper SPS Certificate
• Reusable SPS data : traders, products
14
E-SPS Initiatives
• IPPC IPSM No 12: ePhyto Certificate Hub
Model
• AU DAFF e-CERT: Transmission of UN
EDIFACT e-Cert
• US ITDS GS1: Use of Identifiers on Products
and Traders
• PAA e-SPS: Provisioning of Workflow
Infrastructure
16
IPPC ISPM No.12 : e-Phyto
• Definition
- It is the electronic transmission of phytosanitary certificate
information (electronic equivalent of a paper phytosanitary
certificate), containing the same information and giving the
same guarantee.
• Key Elements
- Message format
- Harmonisation of message contents (as prescribed in
ISPM12)
- Secure transmission
- Authenticity of the message
17
IPPC: International Plant Protection Convention
ISPM: International Standards for Phytosanitary Measures
IPPC ISPM No12 ePhyto Certificate
• E-Phyto is NOT a “copy” of the Phyto Certificate
• A secured data set conforming to the ISPM12, transmitted securely from exporting to importing National Plant
Protection Office (NPPO)
• Equivalent to a paper Phytosanitary Certificate, and may be
used only if accepted by the importing NPPO
18
IPPS ISPM No 12 ePhyto
• Electronic Certificate may be issued where accepted by the
National Plant Protection Office (NPPO) of the importing country
• Specific required provisions
- The mode of issue, transmission and level of security is acceptable to the NPPO of the
importing country
- Information provided is consistent with the IPPC Model Phytosanitary Certificates
- The purpose of the phytosanitary certification under the IPPC is realized
- The identity of the issuing NPPO can be adequately established and authenticated
• Available to the relevant NPPO upon consignment arrival
19
e-Phyto Certification is NOT ..
• Text processing or other electronic generation of paper
forms (eg. SPS or Phyto Certificate)
• Transfer of electronic version of a paper certificate (e.g.
Certificate in pdf)
• On-line data entry [by exporting authority] in system of
importing country
• National electronic system to facilitate phytosanitary
certification
• National system to facilitate phytosanitary import process
through inspections
20
. . Nico Horn on behalf of the IPPC ePhyto Steering Committee
Agreed Principles and Recommendations for the e-Phyto Exchange
1. Agreement on definition of e-Phyto Certification
2. All elements for e-Phyto Certification exchange
mechanism will be derived from IPSM 12
3. Universally accepted standards for secure
Certificate exchange, message format and
implementation of procedures will be used
4. UN/CEFACT Schema (data elements, core
components) must be reviewed to ensure
consistency with IPSM 12 requirements, and a user
guide developed to include an ‘IPSM12 Overlay
for the UN/CEFACT Schema’
23 . . 9 Points Summary on Key Agreements during the Plenary of the 3-day Workshop
Agreed Principles and Recommendations for the e-Phyto Exchange
5. During transition periods in implementation, current
hard-copy practices would still apply
6. Rely on IT experts to provide advise on methods for
flexible and secure electronic transfer
7. Initiate a multilateral standardization approach rather
than a bilateral approach with respect to country-to-
country negotiations for exchange
8. Engage developing countries through regional
cooperation and pilot projects and use IPPC for
outreach activities, and
9. Develop simple-to-understand communication pieces
such as Background Paper and “Myth-busting” Question
and Answers 24
Australia DAFF e-Cert
• E-Cert Website (https://apps.daff.gov.au/ecert/default/Welcome.aspx)
- DAFF Biosecurity Internet application for electronic certification
of traded food and agricultural commodities. This application
currently provides electronic certification for Australian exports
of Meat, Skins, Fish, Dairy, Horticulture, Grains, Wool, Eggs and
Inedible Meat
- Online search/view of Export/SPS/Health Certificates
- Allows updates on Certificate status: Accepted, Detained or
Request for Replacement
- Allows download of Certificates in XML format
• Alternative Access Mode to E-Cert Data
- Pull data from AQIS via interaction with SOAP interface
- Push data to Import/Quarantine Authority via SMTP and digital
certificates
25
Australia DAFF e-Cert
AU DAFF
SPS Certificate
Import Quarantine
Agency
Online SPS Verification
Download SPS (Pull)
Transmit e-SPS (Push)
3 MODES OF E-CERT EXCHANGE
US ITDS GS1 Pilot E-Cert
• Toys, Cut flowers, Meat and Poultry
• Global eCommerce Product Catalog
- Granularity of product identification
- Product visibility across borders
- Consumer security
- Cost savings
• Compliance to unique country-by-country,
product-by-product requirements
• Enhanced Risk Management
27
Use of GS1 Standards in SCM
28
GS1 Standards
29
• Global Location
Number (GLN)
• Global Trade
Identification Number
(GTIN)
• Global Data
Synchonization
Network (GDSN)
US ITDS GSW Pilot E-Cert Findings
• 100% of the 21 static characteristics assigned to
identify and classify meat and poultry products
could be downloaded from a GS1 GDSN-
compliant catalog
• No information technology or security obstacles,
enable re-use of supplier published product
information, with complex product
characterisation
• Improved data accuracy and efficiencies (i.e.
reduce product characterisation errors)
30
PAA eSPS Exchange Model
31
32
PAA E-SPS Exchange
PAA e-SPS with Advanced Import Permit
33
PH Agriculture Import Permit Procedure
Electronic (0.5 – 1 Calendar day)
• Preparatory Activities
– Registration of authorized importer
– Online submission of list of products to pre-qualify for importation; Online approval by agency
– Remittance of advance payment/deposits
• Online encoding into web form and submission with attached scanned support documents
– Application restricted to pre-qualified products
– Compliance to mandatory data
• Agency processing
– Auto date and time stamp on receipt
– Automated data validation
– Online review of support documents
– Online Endorse with pre-defined conditions
– Auto-debit payment of fees
– Online approval
– Automated transmission to NSW
• Online download of import permit
• Printing, electronic transmission to supplier
Manual (5 - 10 Work days)
• Submission to agency head office
– Application form
– Support documents (Pro-forma Invoice, Certificate of Product Registration, etc.)
• Agency processing
– Register receipt of documents
– Verification of importer
– Review of permit application and support documents
– Qualify list of products
– Stipulation of conditions for importation and endorsement for approval
– Approval
• Payment of import permit fee and issuance of official receipt
• Issuance of the Import Permit
• Importer transmission to supplier (Import permit valid at the time of shipment from origin)
1 2 3 4
MAV Import
Certificate
SPS Import
Clearance
E-SPS
From
Origin
7 8
Accreditation/ Registration eRFI
Quarantine
Inspection
At Port
Meat
Inspection
At 2nd Border
9 6
COMI Local Transfer
Permit
DA (CSW),
BAI, NMIS
MAV, BOC
Import Entry
Declaration
BAI BAI,
BFAR,
BPI
BAI
BFAR,
BPI
NMIS NMIS, BAI DA MAV Customs eSPS
Authority
(Export)
Agriculture Trade System
PH Single
Window
Customs
E2M
5
BAI
NEDA
DOF
TEC
PH Agriculture Import Workflows
10
Rationale for Automation
• Need to reduce processing cycle time and costs
– Volume of transactions processed manually
– Repetitive processes
– High incidence of clerical errors
• Enhance risk management
– Compliance to trade and quarantine requirements
• AgriFood Traceability
37
Methodologies
• Business Process Analysis Modelling
- Understanding workflows and roles of stakeholders
- Eliminating ‘defects’ in the processes i.e. causing delays or
cost
• Document/message and data standardisation
- Adopting standards or harmonising data messages,
specifications
- Enable interoperable systems
• Modular implementation
- Designing the complete workflow/process
- Developing and implementing critical module to generate
impact on the complete process
38
Trade Automation Models
39
• Single Agency
- Single/Multiple documents
- Internal processes
• Single Window
- Multi-Agency, Multi-Documents
- Re-use data across agencies
• Multiple Systems
- Inter-Organization Information Systems (IOIS) –
interoperable, harmonized data specification, messaging
services
Implementing e-SPS Exchange to Facilitate Trade
• G2G exchange of e-SPS - in parallel to paper
and/or B2B electronic exchange between
exporter and importer
• G2G or G2B2B2G exchange of Import Permit/SPS
Import Clearance
• Pilot with countries that are ready and capable to
electronically send and/or receive e-SPS
Certificate; agree on pilot commodities
40
Challenges
• Largely manual SPS processes issuance and utilization
• Electronic SPS to facilitate export and promote trade
• Receipt/access to e-SPS Certificate mainly to
authenticate paper SPS Certificate (control fraud)
• Compliance to import requirements and the rejection
of SPS not addressed by e-SPS
• Legal, policy framework for the use and exchange of
electronic messages in lieu of documents
• Messaging and connectivity issues
41
Q & A