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[KENYA TRADE NETWORK AGENCY]
STANDARD OPERATING PROCEDURE (Draft)
Request and Approval for PIP, Seed
Merchants License & Phytosanitary
Certificates
J Syanda
8/20/2013
The purpose of this document is to present the Standard Operating Procedures
(SOP) for the above mentioned Procedures facilitated through the Kenya
Electronic Single Window System (KESWS)
1
1. INTRODUCTION
Purpose of Document
The purpose of this document is to present the Standard Operating Procedures
(SOP) for the following Procedures facilitated through the Kenya Electronic Single
Window System (KESWS). These include:
i. Application and approval for plant Import Permit
ii. Application and approval for Seed Import Permit
iii. Application and approval for Biological organism
iv. Application and approval for Seed Merchants License
The SOP defines the interaction of above mentioned KEPHIS processes through
Kenya Electronic Single Window System (KESWS) with other stakeholders involved in
trade and logistics procedures.
Once signed-off and approved, the SOPs shall serve as a roadmap to assist KEPHIS
users in the use of KESWS. The SOP shall be used in conjunction with the KESWS user
guide that provides specific details regarding use of the KESWS.
Terminology used in this SOP:
Process is a set of activities designed to accomplish a specific objective relevant to
trade and logistics procedures. A process takes one or more inputs and turns them
into outputs. Processes will be elaborated graphically through swim-lane diagrams
wherein the roles and responsibilities of different organizations will be depicted.
2
Process Mapping Symbols
Process Diagram Symbol Meaning
An activity within a process
Process Start and End
Decision
Single document or Product
Multiple documents or products
Electronic Data
Direction of Process flow
Table 1: Process Mapping Symbols
3
1.1 Plant Import Permit
SOP Number: 0001 Title: Import Permit request process
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KEPHIS Date: 31/10/2013
A. OVERVIEW:
Consignment document process enables the importer to request for consignment
related permits which shall be used for clearance of related imported
consignment. The responsibility is on the importer to select the correct Principal
OGA or importer can identify process through decision tree, Document code and
Process code.
B. SCOPE OF PROCEDURE:
The procedure entails request for issuance of Plant Import Permit, Biological Import
Permit and or Seed Import Permit; these documents are a pre-requisite for
Importation of Plants, plant products and other regulated articles.
RESPONSIBILITIES:
B.1 The importer is responsible for entering details required for successful
processing of permits through KESWS
B.2 KESWS is responsible for transmitting the permit details to the KEPHIS system for
processing
B.3 Kenya Plant Health Inspectorate Service is responsible for Processing,
approving the request and issuing the Permit
C. REQUIREMENTS
All traders dealing with seeds must be registered with KEPHIS and seed sellers’
license issued.
4
D. DEFINITIONS
D.1 CD – Consignment Document
D.2 XML- Extensible Mark-up Language
D.3 KEPHIS – Kenya Plant Health Inspectorate Service
D.4 KESWS- Kenya Electronic Single Window System
5
E. PROCEDURE:
Plant Import requisition Procedure
F. STEPS
The steps below describe the creation of Plant Import Permit request by the
Importer. Details of interaction are available in the KESWS user guide.
F.1 Enter Consignment Document details (Plant Import Permit)
The importer creates the Plant Import request in KESWS by selecting OGA KEPHIS,
consignment type, document type, and process required for the request. The
system will display an online form based on the selection.
Importer fills required details in the online form validates and saves.
Enter details
Submit
KESWS
Receive MD request
Evaluate request
NPS EXIM
KEPHIS
Start
Permitted?
Yes
No
Approval Notification
Approve
Advice client
Facility Inspection
Evaluation
Risk Level
Low
High
Make payments
6
F.2 Submit request for consignment document
The importer submits the request. The system generates a reference number
which is used for tracking the request
F.3 Payment
The trader generates an eslip in KESWS for payment through the NPS and the
status of the application changes.
References
K E S W S – OGA Trader user guide
7
1.2 Plant Import Permit approval (PIP,SIP & BIP)
SOP Number: 0002 Title: Import Permit Approval process
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KEPHIS Date: 31/10/2013
A. OVERVIEW:
This approval process enables KEPHIS to receive Import permit request through the
KESWS and determine if to approve and issue import permit or reject. Upon receipt
of the permit request, the KEPHIS officer reviews the application details and
depending on outcome updates the status of the request. The status can either
be: Approved, Rejected, On-Hold or Query.
B. SCOPE OF PROCEDURE:
This SOP covers procedures to be followed in processing of Import permit by KEPHIS
from receipt of request for Import permit to issuance or rejection. Permits covered in
this procedure include Plant Import Permit (PIP), Biological Import Permit (BIP) and
Seed Import Permit (SIP); these documents are a pre-requisite for Importation of
Plants, plant products and other regulated articles.
RESPONSIBILITIES:
B.1 The importer is responsible for entering correct details required for successful
processing of permits through KESWS
B.2 KESWS is responsible for transmitting the permit details to the KEPHIS system for
processing
B.3 Kenya Plant Health Inspectorate Service is responsible for Processing,
approving and issuing the Permit
C. REQUIREMENTS
KEPHIS approving officer must be authorised KEPHIS employee.
8
D. DEFINITIONS
D.1 CD – Consignment Document
D.2 PIP – Plant Import Permit
D.3 BIP – Biological Import Permit
D.4 SIP – Seed Import Permit
D.5 XML- Extensible Mark-up Language
D.6 KEPHIS – Kenya Plant Health Inspectorate Service
D.7 KESWS- Kenya Electronic Single Window System
E. PROCEDURE:
Import Permit approval Procedure
Enter details
Submit
KESWS
Receive MD
request
Evaluate request
KENTRADE EXIM
KEPHIS
Start
XML
Permitted?
XML Yes
No
Approval Notification
Approve
Advice client
Facility Inspection
Evaluation
Risk Level
Low
High
Make payments
9
F. STEPS
The steps below describe the approval and issuance process of Import Permit
request by the Importer. Details of interaction are available in the KESWS user
guide.
F.1 Receive requests
The requests made by importer are transmitted to KEPHIS import system.
F.2 Evaluate Request
KEPHIS approving officer evaluates import permit request that he/she has
received and decides whether required documents are attached and if the
material is permitted or prohibited. (Refer Plant Import order book)
F.3 payment
F.4 Approve request
If the request is for importation of commodities that pose low risk and is
permitted, the request is approved.
If the request is for commodities that pose medium to high plant health risk, the
applicant is informed to request for containment facility inspection or evaluation
in the case of high risk material.
If facility inspection report is provided or evaluation report, the approval is
evaluated as in step F.2 above.
If the request is for importation of prohibited material, the request is rejected and
the applicant notified through KESWS.
F.5 Issue Permit
A permit is issued describing specific conditions under which the plant material
may be imported.
10
1.3 Seed Merchants License
SOP Number: 0003 Title: Request for Seed Merchants License
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KEPHIS Date: 31/10/2013
A. OVERVIEW:
Master document process enables the importer to request for Seed Merchants
License which allows the trader to import or export products covered in the
license. The responsibility is on the trader to select the correct Principal OGA or
importer can identify process through decision tree, Document code and Process
code.
B. SCOPE OF PROCEDURE:
The procedure outlines steps to be followed by a trader while making a request for
issuance of Seed Merchants License. This license is a pre-requisite for Importation of
seed for commercial purposes.
RESPONSIBILITIES:
B.1 The importer is responsible for entering correct details required for successful
processing of the license
B.2 KESWS is responsible for transmitting the application details to the KEPHIS
system for processing
B.3 Kenya Plant Health Inspectorate Service is responsible for Processing,
approving and issuing the license
C. REQUIREMENTS
The trader must meet fill the seed regulation form (SR3) and forward to the
Managing director KEPHIS
The prescribed fee must be paid before processing of the license.
The trader’s facility shall be inspected before issuance of the permit
11
.
D. DEFINITIONS
D.1 MD – Master Document (License)
D.2 SIP – Seed Import Permit
D.3 XML- Extensible Mark-up Language
D.4 KEPHIS – Kenya Plant Health Inspectorate Service
D.5 KESWS- Kenya Electronic Single Window System
E. PROCEDURE:
License approval Procedure
Enter details
Submit
KESWS
Receive MD request
Inspect premises
KENTRADE EXIM
KEPHIS
Start
Compliant
No
Approval Notification
Issue license Approve
Make payments
Reject
12
F. STEPS
The steps below describe the process of requesting for Seed merchants’ license by
the Importer. Details of interaction are available in the KESWS user guide.
F.1 Enter Master Document details (Seed Merchants License)
The seed merchant creates a license request in KESWS by selecting OGA KEPHIS,
consignment type, document type, and process required for the request. The
system will display an online form based on the selection.
Importer/customs agent fills required details in the online form validates and
saves.
F.2 Submit request
The merchant submits the request. The system generates a reference number
and the applicant cannot change any information in the request.
The system routes the request to KEPHIS for approval
F.3 Payment
The KESWS generates an eSlip and sends a payment notification to the trader
for the necessary payment
The trader or customs agent makes payments through the KESWS and the status
of the application changes.
13
1.4 Approval process for Seed Merchants License
SOP Number: 0004 Title: Seed Merchants License Approval process
Revision No: Effective Date: 31/10/2013
Issued By: TRADE FACILITATION MANAGER Date: 31/10/2013
Approved By: KEPHIS Date: 31/10/2013
A. OVERVIEW:
This approval process enables KEPHIS to receive request for Seed Merchants
license through the KESWS and determine if to approve and issue License or to
reject. Upon receipt of the request, the KEPHIS officer reviews the application
details and depending on outcome updates the status of the request. The status
can either be: Approved, Rejected, On-Hold or Query.
B. SCOPE OF PROCEDURE:
This SOP covers procedures to be followed in processing of Seed Merchants License
by KEPHIS from receipt of request to issuance or rejection. The license is a pre-
requisite for seed for commercial purposes
RESPONSIBILITIES:
B.1 The importer is responsible for entering correct details required for
successful processing of permits through KESWS
B.2 KESWS is responsible for transmitting the permit details to the KEPHIS system
for processing
B.3 Kenya Plant Health Inspectorate Service is responsible for Processing,
approving and issuing the Permit
C. REQUIREMENTS
KEPHIS approving officer must be KEPHIS employee authorised to issue Seed
Merchants License.
14
D. DEFINITIONS
D.1 CD – Consignment Document
D.2 PIP – Plant Import Permit
D.3 BIP – Biological Import Permit
D.4 SIP – Seed Import Permit
D.5 XML- Extensible Mark-up Language
D.6 KEPHIS – Kenya Plant Health Inspectorate Service
D.7 KESWS- Kenya Electronic Single Window System
E. PROCEDURE:
License approval Procedure
Enter details
Submit
KESWS
Receive MD request
Verification
KENTRADE EXIM
KEPHIS
Start
Compliant
No
Approval Notification
Issue license Approve
Make payments
Reject
15
F. STEPS
The steps below describe the approval and issuance process of Seed Merchants
license. Details of interaction are available in the KESWS user guide.
F.1 Receive requests
The requests made by importer are transmitted to KEPHIS import system via M-
HUB message exchange. If this module is not operational, the KEPHIS officer
shall view all the requests through the single window system.
F.2 Evaluate Request
KEPHIS approving officer evaluates the request that he/she has received and
determines whether required documents are attached.
F.3 Approve request
Seed inspector appraises the request for Seed Merchants License to and ensures
all requirements are met. If not the application is rejected and merchant
advised to re-apply.
If requirements are met the seed inspector inspects the premises where the seed
is to be stored
If the Premises where the seed is to be stored is compliant, the inspector writes a
recommendation letter to the Managing Director KEPHIS who issues the license
If premises are not compliant the merchant is advised to rectify and re-apply.
If the documents presented are invalid and or the premises is non compliant,
the application is declined and the applicant notified.
F.4 Issue license
A Seed Merchants License is issued to the trader
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