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D- 99-06: Policy on the issuance of phytosanitary certificates for export and for re-export

Effective date: February, 2024
5th version

Subject

This directive contains the policy of the Canadian Food Inspection Agency (CFIA) for the preparation and issuance of phytosanitary certificates for export and for re-export to facilitate international movement of plants, plant products and other regulated articles to foreign countries.

Revisions

The directive was revised to include procedural changes for the application and issuance of phytosanitary certificates using the My CFIA online service portal, to clarify the issuance date on the phytosanitary certificate, and general administrative updates where needed.

This document supersedes all previous versions of directive D-99-06.

On this page

1.0 Legislative authority

1.1 Fees

The CFIA charges fees in accordance with the Canadian Food Inspection Agency Fees Notice, including for inspection and required sampling and/or testing associated with consignments exported to specific destinations. For information regarding fees, please contact a CFIA Plant Health office or visit CFIA Fees Notice.

2.0 Definitions, abbreviations and acronyms

Definitions for terms used in this document can be found in the International Standard for Phytosanitary Measures 5: Glossary of phytosanitary terms and the CFIA's Plant Health Glossary of Terms and My CFIA glossary of terms.

3.0 References

4.0 Introduction

Phytosanitary certificates, for export or for re-export, are official documents issued by the National Plant Protection Organization (NPPO) of the exporting country, or the re-exporting country, to the NPPO of the importing country in accordance with the requirements and guidelines of the International Plant Protection Convention (IPPC) International Standard for Phytosanitary Measures (ISPM) 12, Phytosanitary Certificates.

Phytosanitary certificates are issued to indicate that consignments of plants, plant products and other regulated articles meet the specified phytosanitary (plant health) requirements of the importing country. Most countries stipulate their phytosanitary import requirements in legislation, regulations, other official rules or permits to import issued by the NPPO of the importing country. Bilateral agreements or memoranda of understanding in the field of plant protection may also indicate the phytosanitary import requirements for specified commodities.

The CFIA issues phytosanitary certificates as required by importing countries to indicate that the products covered by the certificate conform to the country's phytosanitary import requirements. Phytosanitary certificates are official government documents and must be carefully controlled. Although phytosanitary certificates facilitate trade, they cannot be issued for non-phytosanitary purposes.

5.0 Scope

This directive is for the use of CFIA staff and for the information of Canadian exporters and other interested parties.

6.0 Authority and guidance for phytosanitary certification

6.1 Plant Protection Act and Plant Protection Regulations

The Plant Protection Act was passed by the Government of Canada to help prevent the importation, exportation and spread of pests injurious to plants, and to provide for their control and eradication and for the certification of plants and other things.

The Plant Protection Regulations are created under the Plant Protection Act. They stipulate the mechanisms and methodologies to be used to carry our purposes and provisions of the Act.

Section 55 (2) of the Plant Protection Regulations states that no person shall export from Canada anything for which a Canadian phytosanitary certificate for export or for re-export or any other document is required unless the appropriate document is issued by an inspector.

Section 57 of the Plant Protection Regulations states that no person shall export or re-export anything from Canada unless it meets the laws of the importing country respecting phytosanitary import requirements.

6.2 International Plant Protection Convention (IPPC)

The IPPC is an international treaty relating to plant health. The IPPC was adopted by the Food and Agriculture Organization (FAO) of the United Nations to secure common and effective action to prevent the spread and introduction of regulated plant pests and to promote appropriate measures for their control.

The IPPC came into force in 1952 and was amended in 1979 to include a model for a phytosanitary certificate. The IPPC was further revised in 1997 to align it with the agreement on the Application of Sanitary and Phytosanitary Measures (the SPS Agreement) of the World Trade Organization. The IPPC is recognized under the SPS Agreement as the international treaty responsible for phytosanitary standard setting and for harmonization of phytosanitary measures that affect trade.

These two ISPMs are relevant to this directive:

7.0 Phytosanitary certification

The phytosanitary certificate is an official document issued by the NPPO of the exporting or the re-exporting country to the NPPO of the importing country. Phytosanitary certificates must be consistent with the models (phytosanitary certificate for export and phytosanitary certificate for re-export) set out in Annex 1 and Annex 2 of ISPM 12. As a contracting party to the IPPC, Canada is obligated to make arrangements for the issuance of phytosanitary certificates.

The CFIA recognizes only official phytosanitary regulations, or other official documentation, of the importing country.

Most countries have legislation such as acts, laws, decrees, regulations, etc., outlining the phytosanitary import requirements for plants, plant products and other regulated articles imported into their territories. The CFIA maintains a database containing the foreign plant quarantine import requirements, which is consulted by the CFIA Authorized Certification Official (ACO) prior to the issuance of phytosanitary certificates. Phytosanitary certificates must only be issued by ACOs, who are technically qualified and authorized by the CFIA.

When the CFIA requires a copy of a foreign-issued permit to import in order to verify the phytosanitary import requirements of another country, the Canadian exporter must obtain a copy of the permit from the importer and present it to the CFIA with their application. If the permit is in a language other than English or French, the exporter must provide the CFIA with a copy of the original permit and its translation into English or French. Information on phytosanitary import requirements that is obtained by the exporter will be verified by a CFIA Plant Health office.

Phytosanitary certificates will only be issued when required by the importing country as a condition for import and only if the plants, plant products and other regulated articles in the shipment meet the phytosanitary import requirements of the country of import. Under specific conditions, at the request of the Canadian exporter, the CFIA may issue phytosanitary certificates to facilitate subsequent re-export certification (Section 8.1).

Phytosanitary certificates can be printed as a paper document or, where accepted by the NPPO of the importing country, sent as an electronic phytosanitary certificate.

Electronic phytosanitary certificates (ePhytos) are the electronic equivalent of phytosanitary certificates in paper form and may be used if they are accepted by the NPPO of the importing country. When electronic phytosanitary certificates are issued by the NPPO of the exporting or re-exporting country, they should be made directly available to the NPPO of the importing country. Government-to-government (G2G) refers to the electronic sharing of data between government agencies, departments or organizations. In the case of My CFIA, G2G is an electronic, authenticated and secure transmission of export certificate data from Canada to the NPPO in the importing country.

The original electronic phytosanitary certificate is sent to the NPPO of the importing country. A certified true copy of the electronic phytosanitary certificate may be printed on paper, if desired, for service requests submitted via My CFIA.

The CFIA is not responsible for fulfilling the terms and conditions of letters of credit or other trade documents. A letter of credit should not contain any phytosanitary requirements, including a request for a phytosanitary certificate when none is required by the NPPO of the importing country.

Before signing contracts or letters of credit, exporters should work with their importers to obtain the phytosanitary import requirements of the country to which they intend to export. This will allow exporters to ensure that contracts and letters of credit do not contradict the official phytosanitary import requirements and do not require non-phytosanitary information on phytosanitary certificates. The letter of credit should not specify the presentation of the phytosanitary certificate as a payment condition.

7.1 Application for export inspection and phytosanitary certification

A phytosanitary certificate may be issued only when the results of an inspection confirm that the consignment meets the phytosanitary import requirements of the importing country. A Canadian exporter can apply for a phytosanitary inspection and certificate through two different service channels:

  1. Submission of a service request for an export application through the My CFIA online services request portal.
  2. Submission of a completed application for export inspection and phytosanitary certification (Form 3369) to a CFIA Plant Health office.

Service request applications for government to government (G2G) transmission of ePhytos are only available through My CFIA, and, when the country of destination can receive Canadian ePhytos. The My CFIA list of available online services may be consulted to determine the appropriate service request application channel (My CFIA or Form 3369).

Applications and requests for inspection should be submitted at least 10 working days before the consignment is prepared for export. Sufficient time is needed for the CFIA to schedule and perform verification activities to meet phytosanitary import requirements of the destination country. These activities may include a treatment, a test, additional sampling and/or monitoring of the commodity during growing season (as described in section 7.2). If sufficient time is not provided, an inspection and subsequent certification may not be possible. Exporters should work with their local or designated CFIA office to arrange sufficient time for all possible steps in the certification process.

Exporters may be asked to provide supporting documentation to confirm the information presented in their submission, including origin of the commodity presented for inspection.

Service request applications through either service channel should be submitted before the consignment has left Canada.

7.2 Inspection and/or testing

The phytosanitary certificate attests that the consignment covered by the certificate:

Appropriate procedures may include:

In re-export situations, laboratory testing carried out in originating country is accepted as a basis for certification only if the laboratory is approved by the NPPO of the originating country.

A phytosanitary certificate attests to the phytosanitary status of the inspected consignment prior to export from Canada. It is the responsibility of the exporter to safeguard the phytosanitary security of the consignment after inspection and certification.

7.3 Origin of plants, plant products and other regulated articles for phytosanitary certification

The place of origin refers to places where the commodity was grown, raised, cultured or produced and where it may have been exposed to infestation or contamination by regulated pests. In all cases, the name of the country or countries of origin should be stated. Normally a consignment gains its phytosanitary status from the place of origin.

Countries may require that the name or code of the pest free area, pest free place of production or pest free production site be identified. Further details on the pest free area, pest free place of production or pest free production site may be provided in the additional declaration section.

7.3.1 Plants, plant products and other regulated articles of Canadian origin

Plants, plant products and other regulated articles are considered to be of Canadian origin if:

7.3.2 Plants, plant products and other regulated articles of foreign origin

Plants, plant products and other regulated articles of foreign origin may be covered by a Canadian phytosanitary certificate for export, indicating the foreign country of origin as the actual country of production when:

7.4 Quarantine pests

Phytosanitary import requirements at destination may include freedom from specific quarantine pests. If the importing country does not specify or identify phytosanitary measures or requirements to determine freedom from that pest, then to certify freedom from quarantine pests, the CFIA must be satisfied that:

7.5 Regulated non-quarantine pests

Only plants for planting, including seeds, bulbs and tubers and various kinds of vegetative propagative material, can be subject to phytosanitary import requirements related to regulated non-quarantine pests (RNQPs). These non-quarantine pests may be present in the importing country, in Canada or in the production area, but a certification program or treatment procedures will be in place to ensure that the propagative material meets a specific tolerance for RNQPs. The importing country may establish tolerances for RNQPs.

7.6 Freedom from soil

If plants, plant products or other regulated articles must be free from soil but when no specific tolerances or instructions are given by the NPPO of the importing country, the following applies: a product is free of soil if there is no discernible soil or related matter in association with it.

7.7 Treatments

Any treatment officially required by the NPPO of the importing country as a condition for entry must be supervised or verified by the CFIA's inspection staff. Details of the treatment (date, concentration, duration, etc.) will be entered on the phytosanitary certificate in the space provided for treatment, unless the NPPO of the importing country specifically indicates that the treatment details should be entered in the additional declaration field. Treatments that were applied, but were not specifically performed to meet the official import requirements, will not be entered on the phytosanitary certificate.

Treatment with products that are requested by the NPPO of the importing country, but are not registered for use in Canada, will not be applied in Canada. Canada's Pest Management Regulatory Agency (PMRA) is responsible for registering and maintaining a list of approved products to be used for pest control in Canada.

In cases where a required treatment is not feasible, for example, a product that is not registered for use in Canada, the CFIA will determine in consultation with the NPPO of the importing country if other treatment options are available to enable certification.

7.8 Additional declaration

An additional declaration is an official statement on the phytosanitary certificate which provides specific additional information pertinent to the phytosanitary condition of a consignment above and beyond what is normally required to certify a shipment. An additional declaration is requested by the NPPO of the importing country and may be required in cases where specific conditions need to be met. An additional declaration should only be included on the phytosanitary certificate if it is clearly and specifically required by the NPPO of the importing country. In specific cases, the CFIA may include additional phytosanitary information to facilitate re-export certification.

The need for additional declarations may be stated on a permit to import or through other official sources of information.

7.9 Dating of phytosanitary certificates

The issuance date entered on the phytosanitary certificate is the date on which the signature is applied and the certificate is issued. This date must not be more than 14 days prior to the date on which the shipment leaves Canada.

NPPOs of importing countries may also stipulate the duration of validity for official acceptance of phytosanitary certificates.

When required by an importing country or at the request of the exporter, a pre-shipment inspection date may be included in the additional declaration section.

7.10 Permissible information on the phytosanitary certificate

Only phytosanitary information should appear on the phytosanitary certificate (a description of the certificate is provided in Appendix 1). The permit to import number, when required, may appear on the certificate. However, if specifically requested by the exporter and a justification is provided, the inclusion of a maximum of two pieces of non-phytosanitary (trade) information that link the phytosanitary certificate to other documentation that accompanies the shipment is permissible. This information must be factual and includes such examples as: a letter of credit number, or bill of lading number or date, or some other number that appears as an identifying feature on other shipment related documents. They must not include any reference to grade, quality, sizes, etc. The permit to import number and a maximum of two pieces of other non-phytosanitary information can be described in the Reference field.

Container numbers are considered to be part of the package description and will be entered in "Number and description of packages".

7.11 Replacement of phytosanitary certificates

Phytosanitary certificates may be replaced for a consignment for which a phytosanitary certificate has already been issued. This should be done only in exceptional cases provided the issuing officer is satisfied with the reasons for replacement request and that the original certificate and its true copy have been returned to the CFIA or destroyed. The CFIA must also be confident that the phytosanitary security of the shipment is unchanged. Replacement certificates will include a statement that confirms the link to the original certificate. Any inspection date(s) on the original certificate will be transferred to the replacement certificate unchanged. The issuance date of a replacement phytosanitary certificate is the date on which the signature is applied and the replacement certificate is issued.

7.12 Refusing to issue phytosanitary certificates

The CFIA will not issue phytosanitary certificates if one or more of the following circumstances occur:

7.13 Shipment left Canada without a phytosanitary certificate

A shipment should not leave Canada without a phytosanitary certificate when one is required by the importing country. Under specific circumstances, the CFIA may issue a phytosanitary certificate after a consignment has left Canada, if the service request was submitted prior to the export date. Resolution of issues surrounding detained shipments due to lack of phytosanitary certification may involve a number of actions by the CFIA and the NPPO of the importing country. This occurs on a case-by-case basis after consultation within the CFIA.

If the exporter decides to export prior to receiving a phytosanitary certificate when one is required by the NPPO of the importing country, the exporter bears all associated risks, associated costs, and impacts, including possible enforcement measures.

If a phytosanitary certificate is issued after the consignment leaves Canada, and where required by the importing country, the date of inspection may be added to the additional declaration section (see Section 7.8 and Appendix 1).

8.0 Phytosanitary certificate for re-export

A phytosanitary certificate for re-export can only be issued if the imported commodity was accompanied by a phytosanitary certificate or a true copy of a phytosanitary certificate that was issued in the country of origin. The consignment must also meet the phytosanitary import requirements of the importing country. Additional official phytosanitary information may be included on a re-export certificate and may include additional declarations based on information provided by the NPPO of the country of origin, if required by the destination country. Some additional declarations may only be made by the NPPO of the country of origin.

Phytosanitary certificates for re-export are printed on paper (and are not available to request through My CFIA).

Consignments in-transit through Canada, which do not enter into Canadian trade or commerce, do not qualify for a Canadian phytosanitary certificate for re-export. Refer to section 9.0 for the certification of in-transit shipments.

8.1 Facilitation of re-exportation of Canadian origin material

The CFIA recognizes that regulated articles may be imported to an intermediate country and then subsequently re-exported. To facilitate this re-exportation process, the CFIA may provide phytosanitary information (for example, the results of a growing season inspection) on the phytosanitary certificate beyond the information required by the NPPO of the re-exporting country if it can be demonstrated that this information will be required for subsequent re-export certification. If a phytosanitary certificate for export is not required by the initial destination country but is required by the next country of destination, the CFIA may issue a phytosanitary certificate for export to the re-exporting country to provide additional phytosanitary information. In both cases, this information will be placed in the additional declaration section, under the subheading "Additional official phytosanitary information".

If a treatment is not required by the re-exporting country but is required by the country of destination, treatment details can be included in the treatment field of the phytosanitary certificate and referenced in the additional declaration field as per the guidance provided in the previous paragraph in order to facilitate re-export. For example, "Additional phytosanitary information: The wood in this shipment was treated in accordance with (the importing country)'s phytosanitary import requirements".

The CFIA will only issue a phytosanitary certificate for export to facilitate re-export when no phytosanitary certificate for export is required by the re-exporting country under the following conditions:

9.0 Requests for phytosanitary certificates for Canadian products in-transit through other countries

When Canadian products are to be moved in-transit through one or more countries to a different country of destination, the CFIA inspects and certifies these products to meet the phytosanitary import requirements of the country of destination.

In cases when a shipment transits through a country, which has specific transit requirements, including the need for phytosanitary certificates, the names of both the importing country and the country of transit may be written on the certificate. The Port of Entry field is used to indicate the transit country, for example, Country X, via Country Y. In such cases the phytosanitary import requirements of both countries must be met.

9.1 Consignments in-transit through the U.S. destined for Canada

There may be cases where a consignment needs to be shipped from Canada in-transit through the U.S., with a final destination of Canada. In cases where consignments entering the U.S. have phytosanitary restrictions, a phytosanitary certificate should be issued indicating the U.S. as the final destination. The Port of Entry field is used to indicate that the U.S. is the in-transit country, for example, "Canada in-transit via U.S.". The consignment must meet the requirements of the U.S. and adhere to any Canadian domestic movement restrictions. The original phytosanitary certificate must be used to enter the U.S. and a copy used to re-enter Canada.

9.2 Consignments trans-loaded through other countries

Trans-loaded consignments could include moving commodities from one conveyance to another, excluding the transfer of ocean shipping containers between conveyances. In cases when a shipment is destined for a country with phytosanitary import requirements but is trans-loaded through an intermediate country, the names of both the importing country and the intermediate country of trans-loading may be written on the certificate. The Port of Entry field is used to indicate the trans-loaded country, for example, "Country X, trans-loaded via Country Y". In such cases, the phytosanitary import requirements of both countries must be met. Trans-loading countries should only be indicated on the phytosanitary certificate when the shipment is not considered to enter the market place of the country and there is no change in ownership. If a change in ownership occurs, then the intermediate country should issue either a phytosanitary certificate or a phytosanitary certificate for re-export.

Appendices

Appendix 1: Section-by-section description of the phytosanitary certificate

This appendix provides additional information for completing a phytosanitary certificate.

Canadian phytosanitary certificates may be authenticated by contacting the IPPC contact point for Canada.

To: Plant protection organization of: (country of destination)

The name of the country of destination is listed here.

Certificate number

Each phytosanitary certificate is uniquely numbered.

Name and address of exporter

The exporter's address must be in Canada. The name of one other person or firm in another country may be included in this field in addition to the name and address of the Canadian exporter. Only one address will be in this field. Telephone numbers, fax numbers, e-mail addresses and any other information that is not relevant to a physical location must not be included in this section.

Foreign agent c/o Canadian exporter, for example:
Sun Products Inc., USA C/O Jim's Export Service,
39 Anyplace Road, Hometown, Ontario, Canada H0H 0H0

Name and address of consignee

The name and address should be in sufficient detail to enable the importing NPPO to confirm the identity of the consignee. The consignee's address must be in the destination country. Only one address must appear in this section. Telephone numbers, fax numbers and e-mail address and any other information that is not relevant to a physical location must not to be included in this section.

Note: This is one of only two fields where the language entered may be other than English or French. The language characters must be Latin letters.

Number and description of packages

Sufficient details should be included to enable the NPPO of the importing country to identify the consignment and its component parts, and verify their size if necessary. Container numbers, or railcar numbers, if known, can be included. In cases of bulk shipments, the term "in bulk" may be used.

Place of origin

The place of origin refers to places where the commodity was grown, raised, cultured or produced, that is, where it may have been exposed to infestation or contamination by regulated pests. Unless otherwise prescribed by the NPPO of the importing country, the place of origin must be shown as Province(s), Canada.

The place of origin may be in a country other than Canada when the product did not originate in Canada.

Declared means of conveyance

Phytosanitary certificates will specify one of the following modes of transport: "transport mode not specified, maritime transport, rail transport, road transport, air transport, mail, inland water transport", or, "sea, air, road, rail, mail, or passenger".

The name and voyage number of the carrier can be included if requested by the exporter.

Declared point of entry

This should be the first point of arrival in the country of final destination, or if not known, the country name.

Name of produce and quantity declared

The accepted scientific and common name, the quantity of commodity and unit of measurement are entered here. The species or cultivar may be included if required by the NPPO of the importing country.

The intended use (for example, consumption versus propagation) and the degree of processing (for example, fresh versus dried) must be specified because phytosanitary import requirements may differ according to these factors.

The common name of the commodity may be included, but must not replace the botanical name. Quality, grade, size, or trade name should not be entered. Colour information must not be added to describe the level of maturity or growth of the products being certified, such as "green tomatoes", but may be used if it is part of the common name such as "white navy beans".

Distinguishing marks

When the commodity is not in bulk, any identifying words or numbers, or a description of a specific mark on a package can be used as a distinguishing mark, for example, Canada no. 1. Distinguishing marks have to be verified during the inspection of the consignment for certification.

Container numbers are not considered to be "distinguishing marks" and should be included as part of "Number and description of packages".

Treatment

Treatments are only entered on the phytosanitary certificate when required by the importing country and the following information must be included as applicable:

Additional declaration

Additional declarations are limited to those specified by the importing country's official phytosanitary import requirements.

If required by the importing country, the import permit number may be referred to here.

For phytosanitary certificates issued after the consignment leaves Canada, if required by the importing country, the date of inspection will be added to this section.

Where additional official phytosanitary information is included for re-export phytosanitary certification purposes, such information should be presented here. This information should be clearly separated from the additional declaration required by the importing country and must follow the added subheading "Additional official phytosanitary information".

Seal

The official ink or digital image of the CFIA stamp is placed here.

Place of issue

This is the name of the place (City, Province, Canada) where the office of the issuing CFIA ACO is located.

Name of authorized officer

This will be the name of the CFIA ACO who signed the certificate. On paper phytosanitary certificates the name must be in legible capital letters.

Date

The issuance date entered on the phytosanitary certificate is the date on which the signature is applied and the certificate is issued. See section 7.9 "Dating of Phytosanitary Certificates", above.

Signature

This shall be the ink signature or electronic signature (where accepted by an importing country) of the issuing CFIA ACO on the original and true copy.

Attached lists

For certificates issued via Form 3369 application; Attached lists must only be employed when information that normally appears in the body of the paper phytosanitary certificate exceeds the allotted space. Electronic phytosanitary certificates issued via My CFIA will expand to include required information. In cases where an attached list is necessary, only the statement "See attached list" appears in the required field and all of the information appears on the attachment.

To complete these sections, a list or annex may be attached to the phytosanitary certificate issued via Form 3369 application. Any attachments containing phytosanitary information must bear the phytosanitary certificate number, be dated and signed by the issuing officer, and be stamped with the official CFIA stamp.

An industry-generated annex indicating Name of Produce and Quantity Declared is only acceptable if it follows the specifications provided above for this field. Invoices or other documentation that includes non-phytosanitary or extra information must not be used.

The annex or attached list becomes a part of the phytosanitary certificate issued via Form 3369 application when it is signed, dated and stamped.

Reference

The import permit number, when required, can be added in this section. The exporter can add a maximum of two pieces of non-phytosanitary (trade) information that links the phytosanitary certificate to other documentation accompanying the shipment. Information must be factual and includes such examples as a letter of credit number, bill of lading number or date, or some other number that appears as an identifying feature on other documents. Any reference to grade, quality, color, etc. is not allowed. Any confidential business information should not be added to this section.

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