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Official Assurances Programme

15 Security Paper and Form Management

Version 6

June 2006

15.1 Application

This part applies to:

a. the production, ordering, distribution and security of preprinted export certificate forms;

b. the ordering, distribution and security of security paper.

15.2 Approved supplier of pre-printed export certificate forms

15.2.1 Preprinted export certificate forms may only be printed by a supplier approved by the Director-General under section 158 of the Act.

15.2.2 No preprinted export certificate forms may be produced, modified or made obsolete by the approved supplier without the prior approval of the Director-General.

15.2.3 The approved supplier of preprinted export certificate forms must keep records for not less than 5 years detailing the mechanisms used for ordering, distribution, security, inventory supply and control.

15.3 Ordering of pre-printed export certificate forms

15.3.1 Preprinted export certificate forms may only be ordered from the approved supplier by and supplied to:

a. an operator;

b. an exporter registered under Part 5 of the Animal Products Act 1999;

c. an official assurance verifier or an authorised person; and

d. an official of NZFSA.

15.3.2 When ordering preprinted export certificate forms from an approved supplier, the order form must contain:

a. the name and physical address of the operator, exporter or NZFSA location (this is the company/office which will be invoiced, and to where the certificate forms will be delivered);

b. in the case of exporters and operators only, the exporter or operator identifier;

c. the quantity and type of certificate forms ordered;

d. the signature of a person authorised by the registered exporter or operator to make such an order. (The Verification Agency must verify this authority as part of the audit conducted under clause 15.5);

e. the date, address, imprint of the signatory seal, signature and block stamp of the authorised person, authorising the order;

f. the requested delivery time parameters.

15.3.3 The approved supplier must, at the time of dispatch, send a copy of the packing slip or equivalent under separate cover to the person who authorised the order.

15.3.4 The receiver of the dispatched preprinted export certificate forms must confirm receipt to the approved supplier and the Verification Agency person who approved the order.

15.4 Control of pre-printed export certificate forms

15.4.1 Blank preprinted export certificate forms held by an exporter or operator must be kept secure, in a lockable facility, at all times.

15.4.2 The exporter or operator must keep preprinted export certificate forms under inventory control. The inventory must include:

a. the order number;

b. the packing slip number or equivalent;

c. the date the certificate forms were received and issued;

d. the certificate form number or title; and

e. the quantities received and used.

15.4.3 All preprinted export certificates forms bearing out-dated or obsolete print numbers and any which have been damaged, entered in error or cancelled, must be retained and the exporter or operator must submit these forms to an authorised person for destruction and keep a record of these actions.

15.4.4 Upon cessation of operations by a person specified in subclause 15.3.1, all unused export certificate forms must be handed over to an authorised person to return them to the Director-General.

15.4.5 No compensation will be paid for unused forms.

15.4.6 The exporter or operator must keep records for not less than 5 years detailing the mechanisms used for ordering, security, inventory supply and control of export certificate forms.

15.5 Audit of pre-printed export certificate forms

15.5.1 The Verification Agency must have a programme, which verifies the inventory control of export certificate forms kept by all exporters or operators at least once every 6 months.

15.5.2 The Verification Agency must immediately report to the Director-General any discrepancies or apparent misuse of forms or procedures.

15.6 Management of security paper – NZFSA Export Standards

15.7 Management of security paper – Verification Agency bulk stores

15.7.1 The Verification Agency must maintain, at the bulk store, an inventory that accounts for, and records, each sheet of security paper.

15.7.2 Records are required to show the:

a. date the security paper was received in the controlled store;

b. number of sheets received;

c. serial numbers of the sheets received;

d. order number ex printer;

e. date of despatch to the Verification Agency office;

f. location of Verification Agency office;

g. name of the authorised person making the request for supplies;

h. method of despatch and relevant reference numbers, e.g. courier docket;

i. quantity despatched;

j. serial numbers of the sheets despatched;

k. serial numbers of waste or damaged sheets;

l. balance of inventory;

m. evidence that the number and serial numbers of despatched sheets was the same as that which was received by the Verification Agency office.

15.7.3 The Verification Agency person responsible for the secure paper must destroy waste or damaged sheets.

15.7.4 Records must be kept for 7 years.

15.8 Management of security paper – Verification Agency offices

15.8.1 Verification Agency offices receiving supplies of security paper must keep records to show the:

a. date the security paper was received at the office;

b. number of the sheets received;

c. serial numbers of sheets received;

d. notification to the Verification Agency bulk store of the number, and serial numbers of the sheets received;

e. date of despatch to operators where relevant;

f. location of operators where relevant;

g. name of registered E-cert user requesting and receiving the sheets on behalf of the operator;

h. method of despatch and relevant reference numbers, e.g. courier docket;

i. quantity despatched;

j. serial numbers of the sheets despatched;

k. serial numbers of waste or damaged sheets;

l. balance of inventory;

m. evidence that the number, and serial numbers of despatched sheets was the same as that which was received by the registered E-cert user.

15.8.2 The Verification Agency person responsible for the secure paper must destroy waste or damaged sheets.

15.8.3 Records must be kept for 7 years.

15.8.4 Verification Agency offices ordering sheets must notify, in writing, the store the sheets were ordered from, the date, the quantity and the serial numbers of the sheets received.

15.9 Management of security paper – registered E-cert users

15.9.1 Security paper held by registered E-cert users must be kept secure, in a lockable facility, at all times.

15.9.2 Registered E-cert users obtaining security paper from Verification Agency offices on behalf of the operator must keep records to show the:

a. date the security paper was received at their office;

b. number of sheets received (not to exceed a month’s expected usage);

c. serial numbers of the sheets;

d. notification to the Verification Agency office of the number, and serial numbers of the sheets received;

e. serial numbers of waste or damaged sheets;

f. balance of inventory.

15.9.3 All waste or damaged sheets must be held and returned to Verification Agency at the earliest opportunity.

15.9.4 Records must be kept for 4 years and made available for audit by NZFSA.

15.9.5 Registered E-cert users ordering sheets must notify, in writing, the Verification Agency office from which the sheets were ordered, the date, the quantity and the serial number of the sheets received.

15.10 Audit of security paper

15.10.1 The Verification Agency must check the security paper held by registered E-cert users, and their records, every fortnight.

15.10.2 Any discrepancies in the records kept by operators will lead to a NZFSA response that may include removal of E-cert printing access and investigation for the purposes of prosecution under the Act.