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6. Documentation

6.1. Procedures

The NPPO should maintain guidance documents, procedures and work instructions covering all aspects of the operation of the import regulatory system. Procedures to be documented include:

- preparation of pest lists

- pest risk analysis

- where appropriate, establishment of pest free areas, areas of low pest prevalence, pest free places of production or production sites, and official control programmes

- inspection, sampling and testing methodology (including methods for maintaining sample integrity)

- action on non-compliance, including treatment

- notification of non-compliance

- notification of emergency action.

6.2. Records

Records should be kept of all actions, results and decisions concerning the regulation of imports, following the relevant sections of ISPMs where appropriate, including:

- documentation of pest risk analyses (in accordance with ISPM No. 11: Pest risk analysis for quarantine pests, including analysis of environmental risks and living modified organisms, 2004, and other relevant ISPMs)

- where established, documentation of pest free areas, areas of low pest prevalence, and official control programmes (including information on the distribution of the pests and the measures used to maintain the PFA or area of low pest prevalence)

- records of inspection, sampling and testing

- non-compliance and emergency action (in accordance with ISPM No. 13: Guidelines for the notification of non-compliance and emergency action).

If appropriate, records may be kept of imported consignments:

- with specified end-uses
- subject to post-entry quarantine or treatment procedures
- requiring follow up action (including traceback), according to pest risk, or
- as necessary to manage the import regulatory system.

7. Communication

The NPPO should ensure that it has communication procedures to contact:

- importers and appropriate industry representatives
- NPPOs of exporting countries
- the Secretariat of the IPPC
- the Secretariats of the RPPO(s) of which it is a member.

8. Review Mechanism

8.1. System review

The contracting party should periodically review its import regulatory system. This may involve monitoring the effectiveness of phytosanitary measures, auditing the activities of the NPPO and authorized organizations or persons, and modifying the phytosanitary legislation, regulations and procedures as required.

8.2. Incident review

The NPPO should have procedures in place to review cases of non-compliance and emergency action. Such a review may lead to the adoption or modification of phytosanitary measures.

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