PHEATS User Guide

Contents

• Introduction
• Background to Phytosanitary Certification
• Eligibility to Join the Scheme
• Inspecting Consignments
• Phytosanitary Certification of Consignments
• Audits
• Charges
• Non-compliance
• Applying to Join the Scheme
• How to access and register for export applications online
• Appeals
• Conflict of Interest
• Certificates of Conformity - Approved Trader Scheme (ATS)
• Annex 1 - Biosecurity Control Management Plan Requirements

Introduction

This document explains the arrangements for the phytosanitary certification of consignments of produce, cut flowers and ware potatoes being exported through the Plant Health Exports Audited Trader Scheme (PHEATS), including eligibility and application for the scheme, inspection requirements and certification procedures.

This scheme is designed to facilitate the export of produce and cut flower consignments destined for export and has been implemented to address the expected increase in export demand.

As of September 2024, in this guide produce refers to fresh fruit, vegetables, ware potatoes and cut flowers for England and Wales.

Delegated official inspections will be carried out by an authorised person(s) to ensure any consignments exported under the scheme meet the requirements of the importing country.

Audits will be carried out by the competent authority for England and Wales, Animal and Plant Health Agency (APHA), and delivered by public officers of the Plant Health and Seed Inspectorate (PHSI).

PHEATS does not cover any matters other than those relating to plant health, for example marketing, human or animal health matters.

All aspects of PHEATS are subject to frequent review, and APHA may amend or withdraw access to the scheme at any time.

If you are unclear on any points please do not hesitate to seek advice from the Animal and Plant Health Agency (APHA-CIT), 1st Floor, Foss House, Kings Pool, 1-2 Peasholme Green, York, YO1 7PX; Tel. 0300 1000 313; Email pheats@apha.gov.uk.

Background to Phytosanitary Certification

With the purpose of applying effective control to prevent the spread and introduction of pests of plants, plant products and other objects, countries will undertake legislative, administrative or technical measures to mitigate or remove the risk in the international movement of goods. This can lead to certain goods being regulated by an importing country in which certain import requirements need to be met, before goods can be successfully imported. Regulated plants, plant products and other objects, including produce, need to meet import requirements of the receiving country in accordance with International Standards for Phytosanitary Measures (ISPMs), as laid down by the International Plant Protection Convention (IPPC) – an intergovernmental treaty aiming to protect the world’s plant resources from the spread and introduction of pests, and promoting safe trade.

Each contracting party to the treaty has a National Plant Protection Organisation (NPPO), whose responsibilities, amongst others mentioned in the convention’s text, include the issuance of a 'Phytosanitary Certificate’ (PC) for export.

For the United Kingdom this function is provided by the Department for Environment, Food and Rural Affairs (Defra) as the UK’s NPPO.

The UK plant health service is a generic description of the units that co-operate to provide plant quarantine and plant certification services in England, Wales, Scotland, Northern Ireland, the Channel Isles and the Isle of Man.

The Plant Health and Seeds Inspectorate (PHSI) is part of Animal and Plant Health Agency (APHA). It executes plant health policy in England and Wales under a Memorandum of Understanding with Defra and with the Welsh Government. PHSI carry out import, export, monitoring and survey inspections, issue PCs, and oversee import controls, plant passport arrangements and eradication campaigns. They also issue scientific licences for work on prohibited pests and plants. PHSI inspect and certify crops in relation to the statutory seed potato classification scheme and voluntary schemes on certain fruit and ornamental species and hops. It carries out work on seed certification and enforcement for the Plant Variety and Seeds team within Defra’s Policy team.

In England and Wales, third parties may be authorised to perform specific phytosanitary actions on behalf of the NPPO under the Official Controls Regulation 2017/625 (OCR) and, the Official Controls (Animals, Feed and Food, Plant Health etc.) (Amendment) (EU Exit) Regulations 2020 with the exception of the issuance of PC. PHEATS enables authorised persons to perform certain phytosanitary actions, which in this case is the physical inspection of all produce and cut flowers exported under PHEATS. These authorised persons must also ensure phytosanitary security is maintained. This is in contrast to exports outside of PHEATS, where PHSI conduct all physical inspections of plant commodities for export. The NPPO retains ultimate responsibility for ensuring the phytosanitary actions have been performed according to the NPPO’s requirements.

It is essential that all businesses participating in the scheme have an understanding of the rules and procedures involved in phytosanitary certification of their export commodities, and training and assessments will be provided.

Further information about plant health exports is available from the GOV.UK.

Eligibility to Join the Scheme

Information relating to plant health exports is available from the GOV.UK webpages.

To be eligible to join PHEATS, the applicant must:

• Export fresh produce and / or cut flowers (the scheme does not apply to produce or cut flowers that are prohibited entry to the importing country or ware potatoes)
• Apply for export services online, using the Plant Health Exports Audited Trader Scheme application
• Identify a “Person(s) Responsible” (PR) for overall management of the scheme and to act as a point contact for the “Authorised Business” (AB).
• Nominate an “Authorised Person(s)” (AP) on site who are to be authorised to conduct the official export inspections.
• Create, implement and monitor an approved “Biosecurity Control Management Plan” (BCMP) for PHEATS.

Acceptance on to PHEATS will be decided by an independent representative of APHA.

Commodities

This scheme only covers regulated goods for which a phytosanitary certificate is required for import. Commodities that do not require a PC, and commodities that are prohibited in the importing country, are not within the scope of this scheme.

Biosecurity Control Management

Plant health biosecurity concerns the procedures and measures put in place by the authorised business and persons, to protect against the introduction and movement of harmful pests and diseases. This relates to introduction and movement both within Great Britain and any consignments exported from Great Britain, for example by identifying plant health risks and implementing action to mitigate these risks.

The Biosecurity Control Management Plan (BCMP) is a key set of documents.

The PR(s), AB and AP(s) must implement this plan, and take steps to correct any non-conformities. All AP(s) and the PR must be able to demonstrate competency in the implementation of the BCMP.

The checklist at Annex 1 outlines the information that will be required as part of the BCMP. If the information in Part A is not submitted with your application this may lead to delays in approval of your application to access PHEATS. If the information in Part B is not demonstrated at the initial site inspection, this may lead to delays in approval or rejection of your application to access PHEATS.

Pest and disease and export application training

Following review of your application, the PR and the Authorised Person(s) will be sent a link to online pest and disease and export application training. All AP(s) and the PR must complete the training and pass the assessments for the application to progress.

Initial site inspection and inspection training

Upon completion of the pest and disease and export application training and assessments, your local PHSI inspector will arrange an authorisation inspection of the business site to determine whether it is suitable for acceptance on to PHEATS, in accordance with the requirements of the BCMP. This includes AP(s) and the PR demonstrating the implementation of the BCMP (parts A and B of Annex 1) and knowledge of the training that was provided.

All candidate AP(s) and the PR must attend the inspection training at this visit, and pass an assessment.

Acceptance on to PHEATS

Following successful completion and demonstration of all eligibility requirements, your application to join PHEATS will be considered by the APHA Exports Manager.

Inspecting Consignments

Once accepted on to PHEATS, the AP(s) will be authorised to inspect commodities being exported under the scheme. The responsibility of the phytosanitary function of official inspection is delegated to the Authorised Person(s) as per Article 31(2) of the OCR who may carry out this function only in relation to PHEATS.

To ensure consignments meet the plant health requirements of the importing country, at least one AP must officially inspect every consignment being exported under PHEATS at the business site to ensure freedom from relevant pests and diseases, and to ensure that the consignment meets the importing country’s requirements.

A requirement of the BCMP includes designating and using an area suitable for these plant health inspections.

Export requirements

Export requirements vary by commodity, source and export country, and therefore it is essential that the PR and all AP(s) are aware of, and regularly review, the plant health requirements of the importing country. This is a requirement of the BCMP.

Demonstration of a knowledge and understanding of the export requirements of the commodities being exported under PHEATS is a requirement of the BCMP, including where such information may be found. Export requirements (including whether an Import Permit is required) must be known prior to the physical inspection of the commodities.

Training and assessments relating to pests and diseases, official inspections, record keeping, legislation and resources as well how to submit export applications will be provided by APHA. These elements of training must be completed and passed by all the AP(s) and the PR before being accepted onto PHEATS.

Inspection Procedure

The Consignment Inspection Procedure table below outlines the inspection requirement. Where no tolerance is specified in the importing country’s plant health requirements a 2% tolerance for the presence of seeds, weeds and soil, is to be applied.

Recording Official Inspections

A requirement of the BCMP is for the Authorised Person(s) to keep a record of all official inspections they carry out under PHEATS.

Official inspection records must be retained for 3 years, and made available for review by APHA inspectors on request.

Phytosanitary Certification of Consignments

APHA is responsible for issuing phytosanitary certificates in England and Wales for regulated plants, plant products and other objects.

Following the export consignment passing the physical official inspection undertaken by an AP(s), an application for export can be made for a PC for those commodities that have passed the official inspection. Where goods have not passed the physical inspection then this will need to be recorded in the official records and be made available to APHA upon request.

All applications for PCs under PHEATS must be made online for members in England and Wales. Submission of an application will be taken to mean that the goods subject to the application have passed their physical inspection and meet the importing country’s plant health requirements.

In order for APHA to successfully work with you to provide PCs, during the registration process you will be asked about how your business operates in terms of plant health exports. This will include understanding the demand, volumes and timings of your phytosanitary requirements so that we can most effectively and reasonably provide a service to you. These discussions will form the basis of how we will work together.

APHA will aim to issue a scanned copy of the original phytosanitary certificate within 5 hours of receipt of a correct application, providing all required documentation has been received and no other problems are identified. Please note:

• The application number for exports from England and Wales must be sent to the Centre for International Trade (CIT) mailbox (pheats@apha.gov.uk)

Further to this, the original paper-based phytosanitary certificate will be mailed to the exporter and must be provided as soon as technically feasible to the importing country’s plant health services.

You may provide pre-paid special delivery envelopes or arrange a courier to collect PC from an approved office location, but this will be at your own expense.

The applicant is responsible for declaring the commodities correctly on their application, following the official inspection. If any information is missing from the application CIT / may reject the application and the applicant must resubmit the information in full. Information submitted will be audited by PHSI.

For commodities that are sourced from outside GB, a copy of the PC that accompanied these commodities upon entry into GB must be submitted with the related export application, if these goods contain special requirements for the exporting country that pertain to the country of origin, or the  IPAFFS import application number. The PC must include references to any special requirements that are needed for that commodity’s export to another country.

3rd countries are able to specify periods of validity in their import controls.

In the absence of specific periods set by the country of destination, the UK will consider PCs to be valid for 14 days from the date of issue.

Any PC issued under PHEATS for consignments that are subsequently not exported must be physically voided by the AP(s) and returned to APHA by the business in accordance with their BCMP. Records of the voided PC must be kept for a minimum of 3 years, and made available to APHA at all times upon request.

A PC will not be issued if APHA has reason to believe that any information supplied by the applicant is incorrect or inaccurate, or that any conditions prescribed by the importing country relating to the treatment or movement of material intended for export have not been met.

Further guidance about exports can be found online at GOV.UK.

Records

The business must make and retain accurate records and information for the purposes of implementing the BCMP and any records otherwise related to the scheme.

These records will be audited by APHA Inspectors. These records must be retained for a minimum of 3 years, and made available to APHA at all times upon request.

Audits

Businesses accepted on to PHEATS will receive regular audits of the export site by official APHA inspectors, to monitor conformity with the scheme and their BCMP.

Every audit includes a requirement for AP(s) or the PR to demonstrate export, scheme and inspection knowledge. A minimum of one AP or the PR must be available at each audit to complete this assessment. After acceptance on to the scheme, all AP(s) and the PR must be available for, and pass an audit assessment at least annually.

Refresher training will be provided by , which must be completed by all AP(s) and the PR. It is a requirement of the BCMP that AP(s) and the PR maintain their knowledge of relevant pests and diseases and the countries’ import requirements.

Sites will be audited weekly for the first month; fortnightly the following month; and monthly thereafter. If non-conformities are identified, additional audits within this frequency will be undertaken. Unannounced audits, or audits within the above frequency may also be undertaken by PHSI.

Temporary Cessation of Activities

Those businesses who only export at certain times of the year, due to seasonal fluctuations, may temporarily cease participation in the scheme.

Any business wishing to suspend their participation will need to notify APHA by emailing pheats@apha.gov.uk. Upon notification APHA will immediately cease a client’s ability to export under the scheme.

Recommencing Activities

To resume participation in PHEATS, the business should contact APHA by emailing pheats@apha.gov.uk. Refresher training must then be completed by both the PR and all the APs and an audit carried out by APHA to ensure the BCMP is still being followed. The business then will be notified if they are accepted back onto the scheme; any auditing will resume at the frequency achieved prior to cessation.

If a business ceases their participation and does not reengage with the scheme within 5 years of their last formal training with APHA, their access to the scheme will be removed and any further involvement with PHEATS will require the business to re-register as a new client.

Charges

Fees will be charged for the issuing of Phytosanitary Certificates.

Details of the fees in England and Wales are available online from the GOV.UK webpages. There is a fee for registering to join the scheme, training and the initial site inspection. This will be charged following the initial site inspection.

There is a fee for the audits undertaken by PHSI.

Applicants for PHEATS will not be eligible for concessionary rate exports.

Moving goods to Northern Ireland

For businesses who move their goods exclusively to NI, there will be no fees raised that are specific to PHEATS. This is in line with the Movement Assistance Scheme (MAS).

Exporting to the EU and moving goods to NI

Where a business exports to the EU and moves goods to Northern Ireland under PHEATS, the Initial Site Visit will always be charged.

The charging of the ongoing audit will depend on which countries have been exported to since the time of the last audit. There will be no charge for the audit if a business has exclusively moved goods to Northern Ireland during this period. Further information can be found in the PHEATS FAQ.

Non-compliance

A business’ access to PHEATS will be subject to review at any time, upon evidence of non-compliance to the requirements of the scheme.

Business’ who participate in PHEATS will be subject to any requirements imposed by APHA inspectors deemed necessary to ensure that any non-compliance issues are addressed.

If any consignments are rejected by the importing country you must notify APHA as soon as possible.

All aspects of PHEATS are subject to frequent review, and APHA may amend or withdraw access to the scheme at any time.

Critical non-compliance

A critical non-compliance is one that immediately impacts the integrity and trust in the NPPO’s phytosanitary system or its elements, and requires a rapid corrective action to be identified and implemented.

Examples include, but are not limited to:

• NPPO interception
• Fraudulent PC
• Failure to comply with phytosanitary import requirements
• Detection of a quarantine pest and failure to remove this pest or infected commodity from the export consignment prior to export
• Detection of a regulated or quarantine pest above tolerance and failure to remove this pest or infected commodity from the export consignment prior to export
• Not supplying a PC when there is a requirement for regulated commodities to be accompanied by a PC when exporting a consignment
• Uncertified amendments or erasure to a PC
• Prohibited commodities exported
• Failure to carry out remedial action of a non-compliance in the timescale given
• Repeated non-critical non-conformities

Non-compliance

A non-compliance is one that does not immediately or directly impact the integrity or trust in the NPPO’s phytosanitary system or its elements, and is not considered a critical non-compliance.

Examples include, but are not limited to:

• Failure to detect non-quarantine pests
• Failure to maintain records
• Failure to attend training and maintain plant health knowledge
• Failure to record relevant changes to commodities handled
• Failure to hold officially inspected commodities for export separate from non-inspected commodities

Non-conformity Table of Actions

Applying to Join the Scheme

Eligible businesses wishing to participate in PHEATS must complete the application form “Application for Plant Health Registration for Plant Health Exports Audited Trader Scheme (PHEATS)” and provide the relevant sections of their BCMP (Annex 1).

Completed forms and relevant accompanying documentation should be sent to pheats@apha.gov.uk.

The application form is available from your local PHSI, and can be digitally signed. The diagram below describes the PHEATS export process.

The text in bold describes the stages to join the scheme.

Where approval to join the scheme is not deemed appropriate, the reasons for refusal will be given. The applicant can make the necessary adjustments and reapply if they wish to.

How to access and register for export applications online

Exports applications must be made online. The registration guidance for PHES can be found here: Apply for plant export certificates and inspections - GOV.UK (www.gov.uk).

Appeals

If you are not successful in your application to join PHEATS, you may reapply when any items identified for remedial actions have been completed.

If you would like to raise an issue in relation to a decision made to withdraw your access to the scheme you can appeal.

Appeals relating to decisions to refuse, withdraw or amend access to the scheme should be made in writing to:

Animal and Plant Health Agency (APHA-CIT), 1st Floor, Foss House, Kings Pool, 1- 2 Peasholme Green, York, YO1 7PX; Tel. 0300 1000 313

or

Email pheats@apha.gov.uk If you have concerns or specific complaints about the way APHA operates or the services we provide, please refer to our complaints procedure which can be found on GOV.UK. 

Conflict of Interest

The business must take action to ensure that neither the AP(s) or the PR, nor any of its other staff are placed in the position of an actual or potential conflict between the financial or personal duties of the AB or its staff and the duties owed to Defra under the scheme, in the reasonable opinion of Defra.

The business must promptly notify and provide details to Defra if a conflict of interest occurs or is expected to occur (with the exception of the conflict arising from the employment of the AP(s) and the PR by the business), or if there are any matters that will inhibit the ability of the AP(s) or the PR to carry out their duties under this scheme, or the performance of the official inspections or management of the scheme, impartially.

The AP(s) and the PR must act impartially and free from any actual or potential conflict between any of their other duties and the performance of the inspections under the scheme, or the management of the scheme, in the reasonable opinion of Defra.

The AP(s) and the PR must promptly notify and provide details to Defra if a conflict of interest occurs or is expected to occur (with the exception of the conflict arising from the employment of the AP(s) and the PR by the business), or if there are any matters that will inhibit the ability of the AP(s) or the PR to carry out their duties under this scheme, or the performance of the inspections or management of the scheme, impartially.

Should an AP or the PR feel as though the integrity of the phytosanitary inspection has been influenced or could be potentially influenced, this can be reported anonymously, to the below email addresses:

• pheats@apha.gov.uk

Certificates of Conformity - Approved Trader Scheme (ATS)

As well as the phytosanitary requirements all exports of fruit and vegetables subject to Specific Marketing Standards (SMS)* will require certificate of conformity prior to export (as required by retained EU legislation). HMRC will require confirmation of such a Certificate of Conformity prior to allowing export. You may need to apply for the certificate of conformity as well as a PC. In England and Wales the IPAFFS system will assess the risk of the application.

Products subject to General Marketing Standards (GMS)** and green bananas will not require a certificate of conformity for export.

If the applicant has Approved Trader Status (ATS) a Certificate of Conformity will be automatically supplied for the consignment.

If they are not ATS, IPAFFS will highlight the application to a Horticultural Marketing Inspector (HMI) and they will decide based on risk either to carry out a physical inspection or to provide the certificate of conformity.

In order to facilitate the supply of Certificates of Conformity, any trader selling fruit and vegetables that they either grow and pack, or import, or export, and which consistently meets the requirements of the latest marketing standards in England and Wales, can apply to the HMI for approved trader status. HMI will annually audit ATS traders to renew compliance. 

ATS status means that traders have been approved as being classified in the lowest risk category, and will benefit from fewer inspection visits and the supply of Certificates of Conformity without inspection.

Traders benefiting from this possibility shall:

(a) have inspection staff who have received appropriate training,

(b) have suitable equipment for preparing and packing produce;

(c) commit themselves to carry out a conformity check on the goods they dispatch and have a register recording all checks carried out. 

Further information relating to ATS can be found at GOV.UK or by contacting: APHAHMIATSapproval@apha.gov.uk

*SMS – Specific Marketing Standards (products covered by these are apples, pears, grapes, kiwifruit, citrus, peaches and nectarines, strawberries, tomatoes, lettuce and sweet peppers).

**GMS – General Marketing Standard (this covers most other fruit and vegetables).

Appendix 1 - Biosecurity Control Management Plan Requirements

Checklist for Biosecurity Control Management Plan

This annex is a checklist for applicants to use when applying to join PHEATS. The items are required for each export site.

The items in Part A must be submitted with the application form.

The items in Part B are to be demonstrated at the initial site inspection.