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Official Assurances Programme

17 Business Continuity Plan - Transfer Documentation

Version 6

June 2006

17.1 Application

This Part applies to those operators that raise:

a. paper documents in place of electronic documents when access to E-cert is interrupted; or;

b. eligibility documents to accompany transfers of animal material or animal product of a class where electronic documents are not required.

17.2 Business continuity plan

17.2.1 Operators and official assurance verifiers using E-cert must have a business continuity plan in place to ensure:

a. continued access to E-cert where ever possible; and

b. continued compliance with the requirements of this programme.

17.2.2 Where paper eligibility documents or eligibility declarations are used as part of the operator’s business continuity plan and the E-cert system becomes available, the data on the paper eligibility declaration or eligibility document must be entered into the E-cert system within 5 working days and the paper eligibility declaration or eligibility document cancelled. All data entered must be identical to the data on the paper document.

17.2.3 The electronic version of the eligibility declaration or eligibility document must:

a. Have the same shoulder number as the paper version; and

b. Include “Previously raised on paper under BCP, on [date] and issued on [date]” in the product item comments box.

17.2.4 Notwithstanding subclause 17.2.3, where the paper version was only in a raised state prior to the E-cert system coming available, the electronic version must include the statement “Previously raised on paper under BCP, on [date]” in the product item comments box.

17.3 Requirements for paper eligibility documents

Where this programme provides for the use of paper documents, including as part of an operator’s Business Continuity Plan, the following requirements apply.

17.3.1 Every signed paper eligibility document must have:

a. A shoulder number sequence unique to the signing location. An E-cert style numbering format must be used, with the first part the New Zealand identifier and the year, the middle part the consignor premise identifier, and the last part the unique document serial number, e.g. NZL2000/PH654/342T; and

b. The official assurance verifier’s name and qualifications (where applicable) shown legibly below their signature; and

c. The date of signature; and

d. In the case of the Verification Agency official assurance verifiers only, the signatory seal affixed to the document.

17.3.2 Corrections to paper eligibility documents

a. All corrections, except for corrections to port of loading, flight or ship references, or port of discharge (within the same country), must be additionally signed with a full signature by an official assurance verifier familiar with the operation.

b. Operators may take a maximum of four corrections per paper eligibility document and each error may be corrected once only. Where more than four corrections are necessary then a replacement issued in accordance with clause 17.3.6 is required.

17.3.3 Obligations on receipt of paper eligibility documents.

a. The operator of the animal product business receiving animal material or product, must provide the issued paper eligibility document to the official assurance verifier of the business as soon as practicable.

17.3.4 Records and storage of paper eligibility documents

a. The consignor operator must keep a copy of all raised paper eligibility documents for a period of 4 years after the paper eligibility document has been exhausted.

b. Where a paper eligibility document has been issued to support the processing or dispatch of animal material or product, other requirements notified by the Director-General, the consignee operator must keep a copy of the document.

c. Each original issued paper eligibility document covering animal material or product received by an operator must be kept by the official assurance verifier of the receiving premises for 7 years.

d. The official assurance verifier must keep a copy of all paper eligibility documents they sign for a period of 7 years.

e. Any file copy of a paper eligibility document, unless a photocopy of the original, must be a faithful replica including the shoulder number, date of signature, official assurance verifier’s name in a legible form and, where applicable, the signatory seal.

17.3.5 Use of faxed eligibility documents

a. An official assurance verifier must not issue an outgoing eligibility document, supported only by a faxed copy of the incoming eligibility document.

b. Notwithstanding subclause a. the official assurance verifier may, at their discretion issue outgoing eligibility documents based on faxed incoming eligibility documents for urgent airfreight consignments where the operator can show that standard procedures were impossible to apply.

c. Faxed signed eligibility documents may be used to allow processing or despatch of animal material or animal product as required by subclause 5.8.1.

d. When faxed copies of eligibility documents are used, they must be authenticated by the receiving premises within 5 working days by either:

i. receipt of the signed original paper eligibility document; or

ii. the eligibility document raised electronically on E-cert to replace the paper raised eligibility document.

17.3.6 Replacement of incorrect paper eligibility documents

a. Where a paper eligibility document contains or requires more than four separate corrections, the operator must prepare a new eligibility document and provide it and the original eligibility document to the office where the original eligibility document was signed

b. The official assurance verifier may issue a new eligibility document endorsed, after the last data entry and above any delimiter line, with the statement:
”Replacement of eligibility document No …… Dated …… which is cancelled”.

c. The issuing official assurance verifier must retain the incorrect original along with the file copy of the replacement document.

17.3.7 Replacement of lost paper eligibility documents

a. Where paper eligibility documents have been lost or inadvertently destroyed, the operator must provide a new eligibility document to the office where the original eligibility document was signed, along with a signed statement explaining the circumstances of the loss or destruction.

b. The official assurance verifier may issue a new eligibility document endorsed, after the last data entry and above any delimiter line, with the statement:
”Replacement of eligibility document No …… Dated …… which has been lost”.

c. The official assurance verifier must not issue a replacement document unless he or she is satisfied with the statement provided under subclause a. of the Animal Products Act 1999. The file copy of the lost or destroyed eligibility document and the new file copy must clearly state the circumstances of the loss or destruction.

17.4 Requirements for paper eligibility declarations

Where this programme provides for the use of paper documents, including as part of an operators Business Continuity Plan, the following requirements apply.

17.4.1 Authorised users may sign paper eligibility declarations, for the transfer of animal material or product, which is eligible for transfer on an eligibility declaration.

17.4.2 Eligibility documents must be raised in place of eligibility declarations where the product is supported by incoming eligibility documents.

17.4.3 Authorised users must not sign eligibility declarations where the product is supported by eligibility documents.

17.4.4 Every signed paper eligibility declaration must have:

a. a shoulder number sequence unique to the signing location. An E-cert style numbering format must be used, with the first part the New Zealand identifier and the year, the middle part the premise identifier, and the last part, the unique document serial number, e.g. NZL2000/PH654/342; and

b. the name of the authorised user signing the eligibility declaration shown legibly below the signature; and

c. the date of signature.

17.4.5 Eligibility documents must be raised in place of eligibility declarations where country eligibility of a product is supported by eligibility documents.

17.4.6 Authorised users must not sign eligibility declarations where the products country eligibility is supported by incoming eligibility documents.

17.4.7 Corrections to paper eligibility declarations

a. All corrections, except for corrections to port of loading, flight or ship references, or port of discharge (within the same country), must be countersigned with a full signature of the authorised user.

b. Operators may make a maximum of four corrections per paper eligibility declaration and each error may be corrected once only. Where more than four corrections are necessary then a replacement prepared in accordance with clause 17.4.11 is required.

17.4.8 Obligations on receipt of paper eligibility declarations

The operator of the animal product business receiving animal material or product must provide a copy of the original paper eligibility declaration to the official assurance verifier of the business as soon as practicable.

17.4.9 Records and storage of paper eligibility declarations

a. The consignor operator must keep a copy of all raised eligibility declarations for a period of 4 years.

b. Each original signed paper eligibility declaration covering fish material or product received by an operator must be kept by the operator of the receiving premises for 4 years.

c. Any file copy of a paper eligibility declaration, unless a photocopy of the original must be a faithful replica including the shoulder number and date of signature.

17.4.10 Use of faxed eligibility declarations

a. An outgoing eligibility declaration, supported only by a faxed copy of the incoming eligibility declaration, must not be signed by an authorised user.

b. Notwithstanding subclause a. the authorised user may, at their discretion, issue outgoing eligibility declarations based on faxed incoming eligibility declarations for urgent airfreight consighnments where the operator can show that standard procedures were impossible to apply.

c. Faxed signed eligibility declarations may be used to allow processing or despatch of fish material or product where required by subclause 6.11.1.

d. When faxed copies of eligibility declarations are used, they must be authenticated by the receiving premises within 5 working days by either:

i. receipt of the signed original paper eligibility declaration; or

ii. the eligibility declaration raised electronically on E-cert to replace the paper raised eligibility declaration.

17.4.11 Replacement of incorrect paper eligibility declarations

a. Where a paper eligibility declaration contains or requires more than four separate corrections, the authorised user must prepare and sign a new eligibility declaration endorsed, after the last data entry and above any delimiter line, with the statement: ”Replacement of eligibility declaration No …… Dated …… which is cancelled”

b. The authorised user must retain the incorrect original along with the file copy of the replacement document.

17.4.12 Replacement of lost paper eligibility declarations

a. Where paper eligibility declarations have been lost or inadvertently destroyed, the authorised user must prepare and sign a new eligibility declaration endorsed, after the last data entry and above any delimiter line, with the statement:
”Replacement of eligibility declaration No …… Dated …… which has been lost”.

b. A signed statement explaining the circumstances of the loss or destruction must be provided.

c. The authorised user must not issue a replacement eligibility declaration unless he or she is satisfied with the statement provided under subclause b. The file copy of the lost or destroyed eligibility declaration and the new file copy must clearly state the circumstances of the loss or destruction.