North American Plant Protection Organization Ian McDonell NAPPO Executive Director 21 st . Technical Consultation among Regional Plant Protection Organizations Entebbe, Uganda November 30 to December 3, 2009
Apr 01, 2015
North American Plant Protection
Organization
Ian McDonell
NAPPO Executive Director21st. Technical Consultation among Regional Plant Protection Organizations
Entebbe, Uganda
November 30 to December 3, 2009
What is E-CERT for Plant Protection
Definition of Electronic Phytosanitary Certification
Electronic phytosanitary certification is the authenticated and secure electronic transmission of phytosanitary certification data, including the certifying statement, from the National Plant protection Organization (NPPO) of the exporting country to the NPPO of the importing country.
E-cert
EXPORTING COUNTRYNPPO
IMPORTING COUNTRYNPPO
Certification processInspection procedure, testing,…
Import proceduresInspection, release,…
Sending certificate
Receiving certificate
What is not Electronic Phytosanitary Certification
All inputs to phytosanitary certification activities outside of the definition
EXPORTING COUNTRYNPPO
IMPORTING COUNTRYNPPO
Certification processInspection procedure, testing,…
Import proceduresInspection, release,…
Sending certificate
Receiving certificate
Principal objective
Standardizing the electronic exchange of phytosanitary certificates
E-cert
Movement and format of the certificate data
Two components to Electronic Certification
E-cert
1. A standard Message
2. An Exchange Mechanism
Towards developing a Standard Message
E-cert
-Universally accepted message format (XML)
- Common understanding of the organisation of the information (XML Schema)
- Common dictionary (data elements)
EXtensible Markup Language
E-cert
XML –A standard format for organizing and describing data. In XML, information is organized into ‘Elements’, similar to the boxes on a Certificate.
Extract from Jason Dittrich presentation done at the Ottawa EPCW May 2009.
What is an XML Schema
E-cert
An XML Schema provides means for describing a particular type of document (ex. Phytosanitary Certificate). It can define:
1. The data elements that are allowed in the document and the order in which they appear
2. The type of information each element can contain
3. Which individual elements are requiredExtract from Jason Dittrich presentation done at the Ottawa EPCW May 2009.
Extract from Jason Dittrich presentation done at the Ottawa EPCW May 2009.
Example XML Schema
Extract from Jason Dittrich PowerPoint presentation done at the Ottawa EPCW May 2009.
An XML schema can specify the type of information each
data element can contain
Extract from Jason Ditrich powerpoint presentation done at the Ottawa EPCW May 2009.
An XML schema can specifya list of possible values
Extract from Jason Ditrich powerpoint presentation done at the Ottawa EPCW May 2009.
An XML schema can specify required data elements
• Phytosanitary Certificate Data can be represented electronically using XML
• This electronic representation of Certificate data is defined by an XML Schema
A Standard E-Cert MessageUsing XML and XML Schema
“UN Centre for Trade Facilitation and Electronic Business supports activities dedicated to improving the ability of business, trade and administrative organizations, from developed, developing and transitional economies, to exchange products and relevant services effectively.”
UN/CEFACT - Roles
Mid 1990s• Exporting countries were looking for a more secure and
efficient means to exchange export certification• Australia had developed an ‘edi’ or code based system
to exchange information system to system (1998 Japan)• New Zealand was in the process of developing a web
based system
2002-2003• Food Safety Quadrilaterals for meat recognised the need
to collaborate to develop a system (CA/US/NZ/AU)• AU and NZ collaborated to harmonise data requirements
and technical design
UN/CEFACT eCert SPS Project - Background
It is an authorised document which provides statements about the compliance of an animal/plant based agricultural commodity to the requirements of the Export Regulator and/or Import Regulator.
The schema has been published in 2009 and can be found at: http://www.unece.org/uncefact/data/standard/SPSCertificate_3p0.xsd
The UN/CEFACT Sanitary/Phytosanitary (SPS) Certificate
This standard adopts an XML Schema-based solution and uses data elements from the published UN/CEFACT core component library
UN/CEFACT (SPS) Certificate Schema
UN/CEFACT Core components
1. Universal Schema was designed to allow for use with more than one type of certificate, e.g. phytosanitary certificates, live animal certificates, meat certificates, etc.
2. Because of this design, few restrictions are imposed by the schema itself and any ISPM12-specific requirements for phytosanitary certificates must defined separately.
Characteristics of the UN/CEFACT (SPS) Certificate
Schema
1. Due to its universal design, the SPS Schema is complex and data elements are named generically. Every data item in ISPM12 must be identified and mapped to the correct element within the SPS Certificate Schema.
2. Few ISPM12 restrictions are imposed in the SPS Schema itself. How might these be implemented?
Current Challenges
An “XML Datamap” and a UN/CEFACT implementation guide have been prepared.
Translates ISPM-12 to the SPS Certificate XML schema
Highlights mandatory vs. optional data requirements in the SPS Schema
Provides real life examples
Provides a single ‘go to’ point when defining the XML message content
Challenge 1:What has been done so far
Simple XML Datamap exampleIn ISPM 12 In the SPS certificate
standardIn the SPS certificate message
Declared name and address of consignee: GAMBLES ONTARIO PRODUCE INC., 302 DWIGHT AVE, TORONTO, M8V 2W7CANADA
MandatorySPS_Consignment.Consignee.SPS_PartySPS_Party.Name.Text
OptionalSPS_Party.IdentifierSPS_Party.RoleSPS_PartyTypeSPS_AddressSPS_ContactSPS_Person
<SPSParty> <Name >Gambles Ontario Produce Inc.</Name> <RoleCode>CN</RoleCode> <SpecifiedSPSAddress> <PostcodeCode>M8V 2W7</PostcodeCode> <LineOne>302 DWIGHT AVE</LineOne> <CityName>Toronto</CityName> <CountryID>CA</CountryID> </SpecifiedSPSAddress></SPSParty>
Towards Paperless CertificationExtract from Peter Johnston, NZ, powerpoint presentation done at the Ottawa EPCW May 2009.
Because ISPM12-specific requirements are not imposed in the SPS Schema itself, these must
be defined and implemented separately.
How might this be accomplished?
Challenge 2: ISPM12 Requirements and the
SPS Schema
Option 1: Each NPPO builds custom message validation into their internal systems
• International community creates a narrative (text) document describing the message requirements
• Pros: Does not rely on a specific technology• Cons: Each participant must build their own
validation system and may interpret the requirements differently
Challenge 2: ISPM12 Requirements and the
SPS Schema
Option 2: Utilize a centralized system for validating requirements
• International Community creates a validation system all E-Cert messages must pass through
• Pros: Single system ensures all participants are using the same set of requirements
• Cons: Costly to build and maintain. Single point of failure.
Challenge 2: ISPM12 Requirements and the
SPS Schema
Option 3: Use an additional technical document as an addendum to SPS Schema
• International Community drafts a technical (computer readable) addendum to the SPS Schema applying ISPM-12 message requirements
• Pros: Technical document limits differences in interpretation of the standard
• Cons: E-Cert standard would need to contain an additional specification in addition to SPS Schema
Challenge 2: ISPM12 Requirements and the
SPS Schema
To implement electronic certificates, the international community must decide:
• How to best represent phytosanitary certificates electronically?
• How does the community want to use the information sent?
• How should ISPM-12 requirements be defined electronically?
E-Cert MessageSummary
Two components to Electronic Certification
E-cert
1. A standard Message
2. An Exchange Mechanism
2. An Exchange Mechanism
1.NPPO-to-NPPO authenticated assurance (of who sent and what info is sent)
2.Universally accepted secure procedure for exchanging certificate data (e.g. notifies, push/pull, acknowledge, etc.)
3.Universally accepted implementation of procedure for exchange (e.g. Web services contract)
Recommendation is to use international standard Web Services technology
System to System Solutions
Toward Paperless Certification
Agree the data tobe exchanged
Agree a mechanism for exchanging data
Develop, implement & testthe software systems
Transition from Paper Basedto Paperless Certification
Extract from Peter Johnston, NZ, PowerPoint presentation done at the Ottawa EPCW May 2009.
Vision: Plug’n’Play Phyto Assurance Network
Toward Paperless Certification
Community of Exporting and Importing NPPOs
Extract from Peter Johnston, NZ, PowerPoint presentation done at the Ottawa EPCW May 2009.
Summary of Technical Elements
of an E-Cert Standard1. Standard Message
1. XML Schema2. XML Datamap3. ISPM-12 Requirements Definition
2.Standard Exchange1. Web Services Contract (WSDL)2. Security Implementation (WS-Security, WS-Digital
Signature)
• The electronic transfer should contain all elements that the paper certificate contains, in accordance with ISPM 12.
• The authenticity of the message certification data should be assured by electronic means. In this way it should be clear that the electronic certification data are provided and supported by the NPPO of the exporting country.
• The assurance/guarantee should/will be assured by electronic means. For this reason, the electronic transfer should be in a protected way such that the data cannot be changed or read by any party during transfer.
• To facilitate communication, this transfer can best be done in a standardized format. For this purpose, the XML format, following an XML schema, is strongly recommended.
E-Cert RequirementsSummary
Electronic Certification
The following nine points summarize the key agreements and recommendations resultingfrom the plenary session on day three of the workshop.
1. Agreement on definition of Electronic Phytosanitary Certification; 2. All elements for electronic phytosanitary certification exchange mechanism
will be derived from ISPM-12; 3. Universally accepted standards for secure certificate exchange, message
format, and implementation of procedures for exchange will be used; 4. UN/CEFACT Schema (data elements, core components) must be reviewed to
ensure consistency with ISPM-12 requirements and a user guide developed to include an 'ISPM-12 Overlay for the UN/CEFACT Schema' (an ISPM-12 specific schema imposing business restrictions on the UN/CEFACT Schema);
Agreed Principles and Recommendations for International Electronic Phytosanitary
Certification Data Exchange
Agreed Principles and Recommendations for International Electronic Phytosanitary Certification Data Exchange
(continued)
5. During transition periods in implementation, current hard-copy practices would still apply;
6. Rely on IT experts to provide advice 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” Questions and Answers.