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Official Assurances Programme

4 Transfer Documentation - General

Version 6

June 2006

4.1 Application

This part sets out the requirements that apply to all forms of transfer documentation approved for use within this Programme.

4.2 Preparation of transfer documents

4.2.1 Transfer documents must be prepared by an operator in accordance with this Programme and other relevant export requirements.

4.2.2 Operators must ensure that the transfer document is correctly prepared.

4.2.3 Transfer documents must be prepared by an operator in the following manner:

a. All information on paper transfer documents must be legible, consistently formatted, starting as close as practicable to the top left space provided, keeping the information even, closely spaced, and within the boundaries of the allocated space.

b. The minimum entry for the consignor and consignee is the operator identification number.

c. Any production dates must be in-clear, or in-clear and code if the animal material or product is marked in code. Official assurance verifiers must regularly audit the code used, to ensure that the explanation used remains correct.

d. Animal material and product must be accurately described and phrases such as “no more than” or “said to contain” are not permitted, except in the case of bulk loads (such as bulk tallow, rendered materials and green runners) where it is not reasonable for the consignor to weigh the consignment, prior to departure. For bulk loads that fit this criterion, an estimate of the weight, based upon experience may be recorded.

4.2.4 Subject to clause 4.7, the inclusion of country eligibility in any transfer document means that all export requirements appropriate to that country have been met. Where the export requirements of the eligible country or countries specify a range of options, the operator must endorse the transfer document with the option complied with.

4.3 Requirements of paper transfer document

4.3.1 The original signed paper transfer document must be sent by the operator as appropriate to:

a. the operator of the animal product business receiving transferred animal material or product, or

b. the exporter of the product, or

c. the authorised person issuing the certificate.

4.4 Corrections to paper transfer documents

4.4.1 Errors in paper transfer documents must be struck out so that the previous wording remains legible and may be corrected by hand.

4.4.2 Corrections must be endorsed by a signatory with the appropriate signing authorities and be made as close as possible on the paper transfer document to the erroneous entry.

4.5 Alteration to eligibility documents or eligibility declaration forms

4.5.1 Any alteration to the wording of any eligibility document or eligibility declaration by an operator is prohibited unless the prior approval of the Director-General has been obtained.

4.6 Imported animal material or product

4.6.1 In addition to the requirements of Part 23 of this Programme, all transfer documentation that is prepared to accompany the transfer of imported animal material or product must:

a. identify the country or countries of origin of the animal material or product concerned; and

b. refer to the relevant documentation issued by the foreign government; and

c. where paper transfer documentation is used, identify if the imported animal material or product has been further processed in New Zealand.

4.6.2 Consignor operators transferring imported animal material or product must, where applicable, ensure that a copy of all relevant import certificates are available to the consignee operator to support the issuing of official assurances in accordance with subclauses 23.3.1, 23.3.6, and 23.3.7.

4.7 Control declarations

4.7.1 Notwithstanding clause 4.5, where the outgoing transfer documentation lists eligible countries, an operator must include on that documentation a declaration stating precisely and succinctly additional controls and procedures if:

a. controls additional to those in specifications are necessary to achieve or maintain country eligibility; or

b. country eligibility requires additional controls which are covered by specifications;

c. and the controls do not undermine existing specifications in any way.

4.7.2 The operator must keep a copy of all control declarations and a record of the circumstances in which each was required, for a period of four years.

4.7.3 In the case of eligibility documents:

a. all control declarations must additionally be approved by the official assurance verifier responsible for verifying the premises, prior to their use; and

b. the official assurance verifier must keep a copy of all control declarations and a record of the circumstances in which each was required, for a period of 7 years after the last use of the declaration.

4.8 Changes to country eligibility

4.8.1 Where the incoming transfer documentation lists eligible countries and an operator of a receiving premises wishes to extend the eligibility of animal material or product to a country or countries other than those already shown on that documentation, the following procedure applies:

a. the operator of the receiving premises must identify any differences between requirements for the additional country or countries and the countries on the incoming transfer document;

b. the operator must keep auditable records to support the extended eligibility. These records must clearly demonstrate the resolution and verification of any differences through examination of the animal material or product, and the processes or procedures that have been applied at the consigning animal product business;

c. the outgoing transfer documentation must include the declaration “eligibility extended”, when extending eligibility to a market with additional requirements to those countries listed in the incoming transfer documentation.

4.8.2 Where it is not possible to follow the procedure in subclause 4.8.1(b) the operator of the receiving premises must require the operator of the consigning premises to amend, or produce a replacement of the incoming transfer document.

4.8.3 Where eligibility documents are used, the official assurance verifier must identify any differences between the requirements for the additional country(ies) on the outgoing eligibility document and the countries on the incoming eligibility document.

4.8.4 The official assurance verifier can issue the eligibility document with extended eligibility where this is supported by:

a. official assurance verification of the receiving premises, or

b. subject to this Programme providing for its use, the compliance database.

4.9 Records and storage of transfer documents

4.9.1 An operator must keep a record of all their transfer documents for a period of four years.

4.9.2 Any file copy of a transfer document must be a faithful replica.

4.10 Airline holding facilities

4.10.1 This clause relates to facilities that are unlicensed, have no risk management programme, handle only consignments fully prepared and packaged for final export, and are situated within the security confines of the airport.

4.10.2 An inter-premises transfer document is not required for animal material or product sent to an airline holding facility that is within the airport confines, and adjacent to the tarmac.

4.10.3 The animal material or product intended for consignment in an airline holding facility in subclause 4.10.2 must be clearly identifiable so that verification can be carried out before export.

4.10.4 Airline holding facilities must not hold product for more than 24 hours after receipt and all product must be loaded directly onto an aircraft.