Guidelines and Petition

OMB Approved, 0579-0365, XX/XXXX

USDA/APHIS
GUIDELINES FOR FEDERAL RECOGNITION OF A STATE
MANAGED PHYTOSANITARY PROGRAM
INTRODUCTION
This guideline describes procedures established by the Animal and Plant Health
Inspection Service, Plant Protection and Quarantine (APHIS-PPQ) to petition the Agency
for official recognition of state-level plant pest regulations and associated actions. This
program contributes to the accomplishment of USDA-APHIS Mission Priority #1 to
strengthen safeguarding systems domestically and in other countries, and Mission
Priority #3 to facilitate safe agricultural trade through effective management of sanitary
and phytosanitary issues, as stated in the APHIS Strategic Plan (2007-2012).
INTERNATIONAL FRAMEWORK
As a member of the World Trade Organization (WTO) the US agrees to observe the
provisions of WTO agreements, including the Agreement on the Application of Sanitary
and Phytosanitary Measures (the SPS Agreement). APHIS-PPQ is the US Agency with
primary responsibility for the implementation of phytosanitary measures. As such, PPQ
is also responsible for provisions of the Agreement related to phytosanitary measures,
including those implemented in the US by other than the national government. PPQ’s
role in this regard is to ensure that these entities comply with relevant provisions of the
Agreement and do not take measures which are, directly or indirectly, inconsistent with
the provisions of the Agreement. Further clarification of the role of PPQ under the SPS
Agreement is provided by the International Plant Protection Convention (IPPC) and
associated international standards. The IPPC is specifically identified by the SPS
Agreement as holding the responsibility for standard setting associated with
phytosanitary measures.
Under the IPPC’s International Standards for Phytosanitary Measures (ISPM) No.5,
Supplement No.1, a national government or a National Plant Protection Organization
(NPPO) should establish or recognize Official Control under appropriate legislative
authority. The national government or NPPO should perform, manage, supervise, or at
minimum, audit/review the Official Control program and ensure its enforcement.
Agencies other than the NPPO may be responsible for aspects of official control
programs, and certain aspects of official control programs may be the responsibility of
sub-national authorities.
REGULATORY CONDITIONS FOR IMPLEMENTATION
APHIS-PPQ has the primary authority and responsibility for phytosanitary measures
associated with preventing the introduction and spread of exotic plant pests. In instances
where a plant pest has become established in the United States but APHIS-PPQ decides
not to take regulatory actions or establish regulatory programs, States may take actions
and establish programs domestically. APHIS-PPQ can officially recognize these
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programs as the basis for taking regulatory actions at ports of entry which are consistent
with the intent of the State-managed program.
There are two situations where States may apply for Federal recognition of their
phytosanitary programs:
1. When APHIS-PPQ does not regulate a plant pest of limited distribution in the
United States, a State that has that pest within its own borders may implement
procedures to eradicate the plant pest or to contain the plant pest within its
borders.
2. When APHIS-PPQ does not regulate a plant pest of limited distribution in the
United States, a State without that pest may implement procedures to exclude the
pest in order to prevent the risk of introduction of the plant pest within its borders.
When there is a possibility that a trading partner may challenge APHIS-PPQ’s import
requirements based on the presence of a regulated pest in the United States, APHIS-PPQ
may encourage a State where that pest occurs to establish a State Managed Phytosanitary
Program which can be recognized by APHIS-PPQ and thereby provide the justification
for consistent actions against the same pest when found with imports at ports of entry.
Without federal recognition of a State Managed Phytosanitary Program, the pest’s
regulatory status when found with imports may change from actionable to nonactionable, i.e. no action will be taken if the pest is detected at ports of entry.
Establishing a State Managed Phytosanitary Program that is officially recognized by
APHIS-PPQ ensures that action will be taken at ports of entry if the imported article is
destined to a recognized State and avoids potential discrimination claims by trading
partners.
To obtain a program’s designation as a FRSMP Program, States (through the National
Plant Board) must petition APHIS-PPQ to recognize their established or proposed
programs to exclude, eradicate or contain a regulated plant pest.
PETITION PROCEDURES
The State should provide the following supporting information and documentation.
1. Presence.
Evidence the pest does not exist in the State, or if it does exist, that it is being contained
or there are programs in place for eradication. Include appropriate survey data, define
the infested area(s), endangered area(s), and protected area(s), and the procedures used
for establishing containment (including exclusion) or eradication.
2. Possible entry and establishment.
Evidence that the pest could enter and become established in the State, or if it already
exists in the state, that it could become widespread.
3. Economic/ environmental harm.
Evidence that the pest could cause economic and/or environmental harm in
the State.
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4. Maintenance/ Verification.
A description of the State actions used to maintain and monitor for pest freedom, limit
distribution, or containment (including exclusion) including a description of monitoring
programs.
5. Quarantine regulations.
A copy of the State, local or tribal quarantine regulations that provide for enforcement of
the appropriate programs.
PROTOCOL FOR REGULATED NON-QUARANTINE PESTS
The State should provide the following supporting information and documentation.
1. Economic harm/ Vulnerability.
Evidence that a particular pest could cause significant harm to plants for planting if the
pest was not managed through a certification program.
2. Quarantine regulations/ Testing.
Evidence the State has regulatory authority and a program established to manage the
levels of the pest in plants for planting that are the hosts for the pest and a copy of the
State, local or tribal quarantine regulations that provide for the enforcement of a
management program, and testing protocols. Provide a description of recent State
actions taken under these regulations and the testing protocols used in the program.
3. Management/ Verification.
A description of State actions to manage the level and/or verify producers’ management
of pest in the plants for planting, where the pest is maintained below a level that can
affect production, health, or marketability of plants for planting and cause an
unacceptable economic impact to those plants.
WHERE TO SEND A PETITION
Please send your Petitions for federal recognition of a state managed phytosanitary
program for both quarantine and regulated non-quarantine pests, or your questions
regarding the program, to Ms. Diane Schuble, Staff Officer, Emergency and Domestic
Programs, PPQ, APHIS, at [email protected].
ADMINISTRATIVE REQUIREMENTS
APHIS-PPQ will require State Plant Regulatory Officials, to commit, in writing, the
willingness to allocate resources necessary to implement and maintain the program. State
Plant Regulatory Officials will identify the State’s authority by citing the relevant
regulations. State Plant Regulatory Officials will provide a description of how to
implement the program, such as surveys, inspections, and compliance agreements.

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CRITERIA USED TO EVALUATE THE PETITION
The criteria will be available electronically in the Federally Recognized State Managed
Phytosanitary Program manual. [Insert link]
AUDIT/REVIEW REQUIREMENTS
States will submit annual accomplishment reports and APHIS-PPQ will audit programs
for survey and monitoring in order to confirm compliance. APHIS-PPQ will base the
audits on the procedures submitted in protocol items 1, 4, and 5 for Quarantine Pests and
protocol item 3 for Regulated Non-Quarantine Pests. Any non-compliance must be
addressed appropriately.
DEFINITIONS
From ISPM No 5
Endangered Area –

An area where ecological factors favor the establishment of
a pest whose presence in the area will result in
economically important loss

Monitoring -

An official ongoing process to verify phytosanitary
situations

Protected Area -

A regulated area that an NPPO has determined to be the
minimum area necessary for the effective protection of an
endangered area

Quarantine Pest -

A pest of potential economic importance to the area
endangered thereby and not yet present there, or present but
not widely distributed and being officially controlled

Regulated Non-Quarantine Pest - A non-quarantine pest whose presence in plants for
planting affects the intended use of those plants with an
economically unacceptable impact and which is therefore
regulated within the territory of the importing contracting
party
Surveillance -

An official process which collects and records data on pest
occurrence or absence by survey, monitoring or other
procedures

Survey -

An official procedure conducted over a defined period of
time to determine the characteristics of a pest population or
to determine which species occur in an area

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From Plant Protection Act of 2000
State-

The term “State” means any of several States of the United
States, the Commonwealth of the Northern Mariana
Islands, the Commonwealth of Puerto Rico, the District of
Columbia, Guam, the Virgin Islands of the United States,
or any other territory or possession of the United States.

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and
a person is not required to respond to, a collection of information unless it displays a valid OMB
control number. The valid OMB control number for this information collection is 0579-0365. The
time required to complete this information collection is estimated to average 80 hours per
response, including the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing the collection of
information.

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OMB APPROVED:
0579-0365
Exp: XX/XXXX

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