EXDOC Grain _ Horticulture Export Manual by pengxiang

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									           EXDOC
    Grain & Horticulture
 Exporter (EDI User) Manual




Plant Export Operations Electronic Export Certification   January 2011
EXDOC Grain & Horticulture Exporter (EDI User) Manual




                                                        Table of Contents
1.     INTRODUCTION ......................................................................................................................................... 4
     1.1       EXDOC.................................................................................................................................................... 4
     1.2       SPECIAL TERMS ........................................................................................................................................ 5
2.     USERS OF THE GRAIN & HORTICULTURE EXDOC SYSTEM ........................................................ 7
3.     EXPORTER AGENTS .................................................................................................................................. 8
4.     ESTABLISHMENT REGISTER ................................................................................................................. 9
5.     HARDWARE & SOFTWARE ENVIRONMENTS ................................................................................. 10
6.     PROCEDURES FOR CONNECTION TO EXDOC ................................................................................ 11
7.     EXDOC HELP DESK ................................................................................................................................. 12
8.     HOURS OF AVAILABILITY .................................................................................................................... 13
9.     REQUEST FOR PERMIT MESSAGES ................................................................................................... 14
     9.1       INPUT OF EXPORTER INFORMATION ............................................................................................ 14
     9.2       COMPLETION AND SUBMISSION OF RFP ...................................................................................... 14
     9.3       AMENDMENT OF AN RFP ................................................................................................................. 16
     9.4       CANCELLATION / WITHDRAWAL OF AN RFP .............................................................................. 16
10.         LIFE CYCLE OF A TYPICAL RFP ..................................................................................................... 17
     10.1      EXPORTER/AGENT .................................................................................................................................. 17
     10.2      AA ESTABLISHMENT .............................................................................................................................. 18
     10.3      EXPORTER & AA ESTABLISHMENT PACKER/SUPPLIER........................................................................... 19
11.         GRAIN EXDOC PRODUCT & SUPPLEMENTARY CODES .......................................................... 21
     11.1      EXDOC PRODUCT CODES ...................................................................................................................... 21
     11.2      EXDOC SUPPLEMENTARY CODES ......................................................................................................... 21
12.         HORTICULTURE EXDOC PRODUCT & SUPPLEMENTARY CODES ....................................... 22
     12.1      EXDOC PRODUCT CODES ...................................................................................................................... 22
     12.2      EXDOC SUPPLEMENTARY CODES ......................................................................................................... 22
13.         PACKAGING DETAILS ........................................................................................................................ 23
14.         AHECC CODES ...................................................................................................................................... 26
15.         EXDOC INSPECTOR 32 SYSTEM ...................................................................................................... 27
16.         ISSUE OF EXPORT PERMIT NUMBER ............................................................................................ 28
17.         GENERATION OF EXPORT DOCUMENTATION .......................................................................... 29
     17.1      REQUESTING ENDORSEMENT CODES. ..................................................................................................... 30
     17.2      CUSTOM CERTIFICATES. ......................................................................................................................... 31
18.         ERROR MESSAGES FROM DATA ENTRY ...................................................................................... 32
19.         STAGED INPUT OF RFP ...................................................................................................................... 33
20.         STATUS OF AN RFP .............................................................................................................................. 34
21.         RFP STATUS TRANSITION DIAGRAM ............................................................................................ 35
22.         FORWARD & TRANSFER OF RFP .................................................................................................... 36
23.         THE ROLE OF THE CARRIER ........................................................................................................... 37
24.         SINGLE ELECTRONIC WINDOW / EDNS........................................................................................ 38
25.         ABS DATA ............................................................................................................................................... 39


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26.     AUDITABILITY...................................................................................................................................... 40
27.     OVERSEAS COUNTRY REQUIREMENTS ....................................................................................... 41


Appendices:

       A           OVERVIEW OF EXDOC NETWORK                                                                                                    A-1
       B           PHYTOSANITARY CERTIFICATE EXAMPLES                                                                                           B-1

       C           CHANGES PERMITTED BY EDI USERS TO AN RFP for                                                                                 C-1
                   GRAIN/HORTICULTURE
       D           PACK TYPES, SUPPLEMENTARY CODES, PRESERVATION CODES & UNIT                                                                   D-1
                   OF MEASURE TYPES

       E           TREATMENT CODES                                                                                                              E-1

       F           CERTIFICATE TEMPLATES                                                                                                        F-1




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1.        INTRODUCTION


1.1       EXDOC

          EXDOC is AQIS‟s electronic Export Documentation system originally developed for Australian
          meat exporters. EXDOC has been redeveloped to encompass the AQIS certification
          requirements of all meat; dairy; fish; hides, skins & wool; grain and horticulture commodities
          exported from Australia and is currently being further developed for other commodities
          including live animals and inedible meats. EXDOC will also provide a single message conduit
          into government whereby EXDOC will act as the agent for the Australian Customs Service ICS
          system. AQIS intends to extend EXDOC to cover all foodstuffs and products prescribed under
          the Export Control Act 1982.
          The EXDOC system supports Government inspection and certification of goods for export and
          currently covers meat; dairy; fish; hides, skins & wool; grain and horticulture exports. EXDOC
          changes the way details associated with identifying export shipments are collected, forwarded
          and validated - it does not alter the Australian Government inspection processes or the way
          packers and exporters prepare product for export. In the case of Grain & Horticulture EXDOC,
          the system enables provision of the Phytosanitary Certificate, the Certificate as to Condition
          for Prescribed Goods and other supporting documentation.
          This document provides an overview of EXDOC for grain and horticulture exports, and how it
          fits into the commercial and governmental export processes. It describes who uses the
          system, the sequence of events surrounding its use, the documents, which are processed and
          the computing facilities, which comprise the environment.
          The EXDOC system supports four major functions:
              Processing of Request for Permit (RFP) documents (EX28/222)
              Issue of Export Permit Numbers (EPN) – (PIG / PIH No.)
              Generation of Phytosanitary Certificates, Certificates as to Condition and other
               certificates/declarations eg. empty container declaration, ship hold certificate, sack
               certificate
              Processing of Export Declaration Numbers (EDN) with the Customs ICS System




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1.2       Special Terms

          The following special terms are used in this document.


          Term                    Meaning

          AA                      Approved Agreement (with AQIS)
          ABS                     Australian Bureau of Statistics
          ACS                     Australian Customs Service
          AQIS                    Australian Quarantine and Inspection Service
          AHECC                   The Australian Harmonised Export Commodity
                                  Classification assigned by the Australian Customs
                                  Service
          AFFA                    Department of Agriculture, Forestry and Fisheries -
                                  Australia, was previously known as the Department of
                                  Primary Industries and Energy (DPIE).
          EDI                     Electronic Data Interchange
          EDIFACT                 UN Standard EDI for Administration, Commerce and
                                  Transport
          EDI User                An exporter or agent who has Third Party Interface
                                  Software and is registered for a particular commodity
          EDN                     Export Declaration Number obtained from ACS
          EDS                     Electronic Documentation Section of AQIS Central
                                  Office
          EPN                     AQIS Export Permit Number ( PIG / PIH number)
          ER                      AQIS Establishment Register System
          EXDOC                   Export documentation software
          ICS                     Customs Exports integration system software.
                                  EXDOC interfaces with it to obtain an EDN
          LAN                     AQIS Local Area Network running EXDOC programs
          NPPO                    National Plant Protection Organisation
          Prescribed              Fresh fruit, Fresh vegetables, Dried fruit, Prescribed
          Goods                   grain, Plants or Plant products for which a
                                  Phytosanitary certificate or any other official certificate
                                  is required by an importing country authority
          RAS                     AQIS Remote Area Site running EXDOC programs
          RFP                     Request for Permit to Export „Prescribed‟ Goods
                                  (EXDOC EDI message) (old EX28/EX222 document)
          RO                      AQIS Regional Office
          SANCRT                  The United Nations EDIFACT registered global
                                  electronic certificate covering animal, plant and fish
                                  products
          Third Party             Software developed by 3rd party software developers
          Interface               as the interface between the exporter and EXDOC
          Software



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          UN                      United Nations
          VAN                     Value Added Network (an alternative name for Carrier)
          WAN                     AQIS Wide Area Network running EXDOC programs




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2.        USERS OF THE GRAIN & HORTICULTURE EXDOC SYSTEM


          Grain & Horticulture EXDOC interacts electronically with three basic categories of users:
          members of the exporting community, AQIS inspection and support staff and Australian
          Government agencies, which have a legislative involvement in the export of Grain &
          Horticulture product.
          User groups within the basic categories and their interaction with the system, are:
              Exporters and their agents (EDI Users), who communicate electronically with EXDOC
               using approved interface software for the submission of RFP documents, and to update,
               query, forward or transfer RFPs. This includes the process of generating phytosanitary
               certificates. EDI Users connect to EXDOC via a carrier, and exchange RFP documents
               using EDI techniques.
              AQIS Regional and Central Office staff who have direct access to the ER and EXDOC
               systems to access and maintain information about establishments and RFPs. Access is
               via the AQIS WAN, a private network linking AQIS Central and Regional offices.
              EXDOC provides ACS with the details required to obtain an ACS EDN for AQIS controlled
               product. This information is forwarded to the ACS ICS system using a special set of EDI
               messages over a direct leased line link.
           The ABS receives statistical information on Grain & Horticulture exports from ACS.
          See the diagram at Appendix A for an overview of the EXDOC network




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3.        EXPORTER AGENTS


          Of the user groups identified above, the role of exporter agents may warrant further
          explanation. It is a commercial reality that quite a number of entities may be involved in the
          export of a particular consignment of Grain & Horticulture products, including the processing
          establishment, packer, forwarding agent, transport company, shipping company, Customs
          agent, and of course the exporter. Any of these entities could in theory raise an electronic
          RFP.
          EXDOC recognises this situation by allowing the registration of exporter agents, a group of
          users who may act on behalf of an exporter. The exporter controls who may act on his/her
          behalf through a formal registration process administered by AQIS. The registration
          procedures differentiate between the exporter, additional users within the exporter
          organisation (such as exporter branch offices or wholly owned but autonomous processing or
          packing establishments), and agents external to the exporter organisation (such as
          independent processors or packers, or independent export facilitation agents, for example
          Customs agents). However, once registered, in terms of submission of documents to EXDOC
          there is no differentiation - they are all able to act on behalf of the exporter, and could
          therefore all be viewed as agents. There is no restriction on the number of agents an exporter
          may utilise. Similarly, there is no restriction on the number of exporters for whom an agent
          may operate. Any registered agent will be able to raise an RFP on behalf of their exporter
          client, however, the clearance of the RFP requires processing by an AQIS officer before an
          EPN or certificate is generated.
          All exporters and agents, who wish to access EXDOC directly, are allocated a unique EDI
          User Identifier when they are registered. This enables users to address RFP documents they
          wish to pass on to another user. See Section 18 - Forward & Transfer of RFP.
          In general, AQIS approves RFP‟s, but where registered establishments have entered into an
          Approved Agreement with AQIS Exporters, Pack houses or Agents may be given access to
          approve an RFP (final approval by AQIS may be required in some instances).




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4.        ESTABLISHMENT REGISTER


          The Establishment Register system (ER) is closely integrated with EXDOC and co-exists on
          the AQIS LAN. ER provides a register of export establishments and is used to maintain
          details of establishments producing foods which come under the jurisdiction of AQIS, including
          details of establishments involved in the export of Grain & Horticulture products. The
          establishments are registered to perform certain operations on certain products, and the
          premises are subject to an inspection regime to ensure they remain fit to perform these
          operations. A list is maintained of countries to which an establishment is registered to export
          and the type of goods it is permitted to export. ER allows the input and maintenance of these
          registration details.
          A registration certificate is issued to all registered establishments and details the operations
          the establishment is registered to perform for export. This certificate must be displayed at all
          times at each establishment.
          To ascertain registration requirements for your establishment please contact the Regional
          Office in your state.
          EXDOC is required to access the information in ER as part of the validation process for all
          RFP submissions. EXDOC interrogates ER to ensure that the product declared on an RFP is
          eligible to be packed and / or inspected at the nominated establishment.
          Among the details maintained for establishments, both current and historical, are:
              Establishment name and address
              Registered operations
              Overseas country eligibility
              Establishment inspection and review details
           Persons who manage and control an establishment
          ER is regularly used by AQIS staff to produce lists of Australian export establishments and the
          types of goods they are registered to produce for export. These lists are sent to customer
          countries to inform them of approved export establishments.
          As with EXDOC, a system-controlled audit trail is kept of all amendments to Establishment
          data. Establishment information, including its audit trail, is kept on-line until an establishment
          has been de-registered for 7 years.




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5.        HARDWARE & SOFTWARE ENVIRONMENTS


          EXDOC system databases and programs, reside on the AQIS Canberra LAN and enables
          links with all areas of the export meat, fish, dairy, hides, skins & wool and grain & horticulture
          industries and AQIS, as well as Customs and ABS.
          The systems have been principally developed in SQL Windows and C++. Data is stored in a
          Sybase database.
          The exporter systems can run on a variety of equipment, ranging from personal to mainframe
          computers. The interface to EXDOC is achieved through the use of common carriers and the
          use of standard EDI messages. This enables end-users the flexibility to choose whatever
          environment best suits their purposes.




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6.        PROCEDURES FOR CONNECTION TO EXDOC

          Hardware requirements
              You will need an IBM-PC compatible computer with a Hayes compatible auto-dial modem.
               This, however, must be confirmed with software suppliers.
              Laser printer capable of processing PCL4 or better language.
              You will also need access to an analogue phone line for the PC (ie: a standard phone line
               not connected through a PABX). You can connect via a PABX, however it is not
               recommended and is strongly recommended that you utilise a dedicated line.
             Connection to an X400 data line or internet email connection – please refer to your
              software supplier,
          Software requirements
              You will need an AQIS accredited computer software program which is able to send EDI
               messages to EXDOC.
              Access to the Internet is recommended.
              Contact either the Plant Export Operations electronic export certification team or EXDOC
               helpdesk for details of accredited software suppliers.:

          Exporter systems must have been developed to specifications drawn up by AQIS in the
          document titled „EXDOC Non-Meat Exporter System Interface Specification‟, to ensure that
          the RFP‟s produced are of a format suitable for submission into the EXDOC system.
          After deciding which software package you intend using, you will be required to connect to
          your software provider‟s carrier. Details and registration processes are available from the
          software provider.




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7.        EXDOC HELP DESK


          A key factor to the successful operation of any computer-based system is the support offered
          to the parties concerned. Training by the exporter interface software developers should have
          provided the basic operational understanding of the exporter's interface with EXDOC, but
          specific business and program requirements / functionality will be taught directly through
          EXDOC Administrator (Grain / Horticulture). Day to day problems will arise which may not
          have been covered by a training session and in such instances your first port of call is the
          software provider.
          If you have trouble connecting to your value added network, or you do not receive messages
          back from EXDOC, you should contact your value added network provider.
          If the problem does not reside with the software provider or the value added network provider,
          you should contact AQIS. There are two contact areas in AQIS - the EXDOC Administrator
          (Grain / Horticulture) and the EXDOC Help Desk. Table 1 outlines the type of problem and the
          relevant contact.

          Table 1. Contact details for EXDOC problems.
                                  Type of Problem                           Contact details
           Interface software issues                               EXDOC Interface software supplier
           -     Interface software error messages                 (various)
           -     Interface software unable to send messages to
                EXDOC
           Value Added Network (VAN), issues                       VAN provider (various)
           -   Unable to connect to VAN
           -   Messages not received from EXDOC
           Grain & Horticulture technical issues                   Regional AQIS Grain & Horticulture
           -   Importing country requirements                      Program Staff or PEOB Export
           -   Certificate review                                  Certification team
           -   Day to day issues regarding export of Grain &
               Horticulture products
           Systems administration and test issues                  PEOB Export Certification team:
           -    Maintenance of EXDOC tables                        Grain exports email:
           -    Allocation of new Grain & Horticulture product     ExdocPhytoGrains@aqis.gov.au
           codes                                                   Telephone: 02 6272 3201
           -    Translation of Grain & Horticulture technical
               requirements into EXDOC                             Horticulture exports email:
           -   Specific program functionality                      ExdocPlantPrograms@aqis.gov.au
                                                                   Telephone: 1300 763 551


           EXDOC Production system problems                        EXDOC Help Desk
           -  Problem EXDOC error messages                         02 6272 4700
           -  Not receiving messages from EXDOC
           -  Custom EDN queries




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8.        HOURS OF AVAILABILITY


          The EXDOC system operates 24 hours a day, 7 days a week. The system is attended by the
          Plant Export Operations staff between departmental core hours of duty, Monday to Friday,
          excluding nationally gazetted public holidays.
          Unattended operation is available outside these hours through the EXDOC helpdesk staff but
          only for specific issues as detailed above. The EXDOC helpdesk staff are available during
          weekdays between 0730 - 1800 AEST, Monday to Friday, excluding nationally gazetted public
          holidays.
          Access to the EDI carrier network is required 24 hours a day, seven days a week.
          On Tuesdays and Wednesdays commencing 2000 AEST, Central Office undertakes regular
          maintenance of its systems, which includes back-ups and updates to software programs, and
          may take a number of hours. During these periods, an exporter can successfully transmit an
          RFP message but may not obtain a response from EXDOC until completion of the back-ups,
          updates or maintenance.
          Therefore, the EXDOC system operates 24 hours a day, 365 days a year, except for
          necessary down-time for routine maintenance. However, should problems occur with the
          software or hardware during the period of unattended operation, then the system will not be
          rectified until attended by staff within normal hours.




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9.        REQUEST FOR PERMIT MESSAGES


9.1       INPUT OF EXPORTER INFORMATION

          EDI Users notify AQIS of a potential export of product using the request for permit (RFP) suite
          of messages. The receipt of an RFP initiates a regime of validation activities to ensure that
          the product complies with Australian and NPPO country standards. The final step in the
          approval process for RFPs is the allocation of an Export Permit Number (EPN) where
          applicable and production of the appropriate certificate by AQIS.
          RFPs are initially prepared by exporters or agents using their local (generally PC-based)
          EXDOC Interface software.
          The RFP describes in detail the nature of the product and the how, when and where of the
          proposed export process. For example, an RFP will include:
              Grain & Horticulture export registered/listed establishment, where the product is to be
               inspected
              quantity, description and identification marks of product
              description of how the product is packed, and container number(s) if applicable
              exporter details
              name of vessel, voyage number (or alternatively flight details), date of departure
              consignee, country of destination, port of discharge and place of final destination
           the type of Certificates and endorsements required, if applicable.
          The EXDOC RFP includes all the data previously required on the paper Notice of Intention
          (EX28 and EX222) and additional data required for phytosanitary certificates. Some additional
          data fields have been included both to replace the necessity for separate arrangements for
          ACS and ABS functions and to facilitate computer processing of the document.
          The EXDOC system may also be used by the exporter to obtain a Customs EDN from the
          ACS ICS system. The RFP can then be used as a single entry for data necessary to fulfil
          AQIS, ACS and ABS requirements.




9.2       COMPLETION AND SUBMISSION OF RFP

          In the preparation of RFP messages, it is desirable for exporter systems to perform as much
          checking and validation as possible locally before RFPs are submitted to EXDOC, both to
          minimise delays and transmission costs. It is open to the designer of the exporter system
          whether or not to provide validation. If such facilities are provided, it is the responsibility of the
          operator of the exporter system how often the facilities are updated on the locally operated
          exporter system.
          The RFP data to be sent to EXDOC may first be validated by the exporter's system. RFP data
          is packaged into messages by this software and passed on, using EDI techniques, to a
          common carrier. The packaging rules for RFP messages are the United Nations international
          standard: EDI for Administration, Commerce and Transport (EDIFACT). Included in the RFP
          message suite are distinct messages to submit, to subsequently maintain, and to query an
          RFP.




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          The carrier delivers the messages to an electronic mailbox assigned to AQIS. The EXDOC
          system continually interrogates the mailbox to see if there are any messages to process. If
          there are, they are collected from the mailbox and processed by EXDOC.
          On receipt by EXDOC, the initial RFP is checked for errors and subjected to more stringent
          validation checks by EXDOC. It verifies information cited on RFPs by checking internal
          reference tables. It cross-references with ER to ensure the operations and products are valid
          for the establishment/s within the date range/s specified and for the country of destination.
          EXDOC ensures sufficient data is present to proceed with an inspection process.
          Valid RFPs are allocated an RFP number and status and an acknowledgment is sent back to
          the EDI User indicating the result of processing. Valid RFPs are made available to AQIS staff
          for their appropriate input of details following a successful inspection.
          The RFP number is a seven character numeric field.
          RFPs when first submitted will normally progress to a status of INIT or FINL.
          Once authorised, whether by AQIS or where approved under an AA, the RFP will progress to
          a status of INSP, HCRD or COMP.
          If there are serious problems with the RFP, such as the nomination of an establishment, which
          is not registered or listed to handle the specified product for the specified market, it is returned
          to the exporter or agent for correction. The returned message will list the errors detected, and
          it is up to the exporter system to extract and display these (see Section 18 - Error Messages
          from Data Entry).
          If the RFP is acceptable, it is recorded on the EXDOC database, and an acknowledgment is
          sent back to the EDI User indicating the result of processing. Subsequent messages that
          update an RFP are also checked on receipt for errors, and if acceptable, result in an update of
          the EXDOC database and an acknowledgment message back to the EDI User. Messages
          that query an RFP result in a copy of the RFP being sent back to the inquirer.
          In summary, the RFP related messages that may be initiated by EDI Users are:
              Order Request for Permit
              Lodge Request for Permit
           Amend Request for Permit
          Any of which may include a request for EXDOC to obtain Customs clearance (ECN);
          or
              Mini Amend Request for Permit
              Delete Request for Permit
              Copy Request for Permit
           Transfer/Forward Request for Permit
          The RFP related messages that may be initiated by AQIS are:
              RFP Acknowledgment (which may include EDN data or Error messages)
              Reissue RFP
              Copy RFP Advice
              Accept RFP Advice
              Transfer/Forward RFP Advice




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9.3       AMENDMENT OF AN RFP

          The EDI Users may amend certain fields on the RFP prior to export. Certain fields, such as
          the product code, country of final destination, inspection establishment, cannot be amended
          and, if incorrect, require either the withdrawal or cancellation of the RFP and the lodgement of
          a new RFP or the amendment made online by the appropriate Plant Export Operations
          contact. A complete listing of when and where changes can occur is available at Appendix C -
          Changes Permitted by Exporter to RFP under EXDOC Grain & Horticulture.
          The EDI Users may obtain a copy of the current version of an RFP from the AQIS database.
          Access is restricted to RFPs belonging to the EDI User and submitted in the past 13 months.
          The EDI User can use this facility, to recover data lost from their own system or to get the
          current version if confusion exists due to multiple versions.
          Whenever the status or data content of an RFP is amended by an AQIS officer, a message is
          returned to the EDI User.




9.4       CANCELLATION / WITHDRAWAL OF AN RFP

          The EDI User may delete an RFP any time prior to the authorisation of the RFP. The EDI
          User who wishes to cancel/withdraw an RFP may do so up to and including the status of FINL.
          This action will delete the record from the database.
          Once an RFP has been authorised, it can only be cancelled by a Plant Export Operations
          Administrator (if permitted). It cannot be deleted.




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10.       LIFE CYCLE OF A TYPICAL RFP

          There are many variations on the way RFPs can be submitted. The following examples
          explain some of these variations.


10.1      Exporter/Agent
          The export process is initiated when an exporter receives an order from an international buyer
          and in turn raises an RFP for Grain or Horticulture product for which EXDOC may also obtain
          ACS clearance (EDN) on behalf of the exporter.
          The exporter/agent creates an RFP which contains expected details pertaining to the
          consignment and to obtain ACS clearance (EDN),
                 -----> Lodge RFP submitted to obtain status of INIT or FINL
          The EDI User updates the RFP with all the detail necessary for certification, including actual
          quantities, containers, seals
                 -----> RFP updated to maintain current status of FINL or progress from INIT to FINL
          RFP is checked (inspection may be arranged and completed) and if all is correct the RFP is
          validated, and an EPN (if applicable) will be issued.
                 -----> RFP to status INSP or HCRD
          If the RFP is at INSP status, the EDI User must amend the RFP as per the messages sent
          from EXDOC.
                 -----> RFP to status HCRD
          At this stage, the EDI User may request that Certificates be generated.
                 -----> RFP to status COMP



                            EDI USER LODGES AN RFP WITH REQUEST FOR AN
                            EDN


                                                                       EXDOC VALIDATES THE MESSAGE, OBTAINS EDN AND RETURNS BOTH
                                                                       RFP NUMBER, STATUS AND EDN TO THE EDI USER




                          EDI USER AMENDS RFP WITH FURTHER DETAILS



                                                                     EXDOC VALIDATES RFP AND ASSIGNS OR MAINTAINS A STATUS
                                                                     OF FINL




                                                                     AQIS OFFICER AUTHORISES RFP AND EXDOC ASSIGNS A STATUS OF
                                                                     EITHER INSP OR HCRD OR COMP




                         EDI USER MUST SEND IN AMENDED RFP IF STATUS IS INIT
                         OR INSP



                                                                       EXDOC WILL ASSIGN A STATUS OF EITHER HCRD OR COMP




                                                                     IF APPLICABLE, AQIS OFFICER PERFORMS FINAL SECURITY CHECK ON
                                                                     RFP WITH HCRD STATUS EXDOC ASSIGNS A STATUS OF COMP



                                   EXDOC GENERATES A CERTIFICATE WHEN RFP HAS A STATUS OF COMP




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10.2      AA Establishment
          The export process is initiated when an exporter receives an order from an international buyer
          and in turn requests his/her AA establishment to raise an RFP for Grain or Horticulture product
          for which EXDOC may also obtain ACS clearance (EDN) on behalf of the exporter.
          This causes the AA establishment (who is the EDI User) to formally lodge an RFP with AQIS
          for clearance.
          The AA establishment would create an RFP which contained expected details pertaining to
          the consignment and to obtain ACS clearance (EDN)..
                 -----> Lodge RFP submitted to obtain status of INIT or FINL
          The AA Establishment updates the RFP with all the detail necessary for certification, including
          actual quantities passed for export, containers, seals
          RFP is checked, and if all is correct the RFP is validated either by AQIS or, if the functionality
          activated, the EDI User following the inclusion of the AA inspection/inspector/comment details
          and an EPN (if applicable) will be issued.
                 -----> RFP to status INSP or HCRD
          If the RFP is at INSP status, the AA establishment must amend the RFP as per the messages
          sent form EXDOC.
                 -----> RFP to status HCRD
          At this stage, the AA establishment may request that Certificates be generated.
                 -----> RFP to status COMP



                          AA ESTABLISHMENT LODGES AN RFP WITH A
                          REQUEST FOR AN EDN


                                                                    EXDOC VALIDATES THE MESSAGE, OBTAINS EDN AND RETURNS
                                                                    RFP NUMBER, STATUS AND EDN TO THE EDI USER




                         AA ESTABLISHMENT AMENDS RFP WITH FURTHER
                         DETAILS


                                                                  EXDOC VALIDATES RFP AND ASSIGNS A STATUS OF EITHER INIT OR
                                                                  FINL




                                                                  AA ESTABLISHMENT AUTHORISES RFP AND EXDOC ASSIGNS A
                                                                  STATUS OF EITHER INSP OR HCRD OR COMP




                        AA ESTABLISHMENT MUST SEND IN AMENDED RFP IF
                        STATUS IS INIT OR INSP



                                                                    EXDOC WILL ASSIGN A STATUS OF EITHER HCRD OR COMP




                                                                  IF APPLICABLE, AQIS OFFICER PERFORMS FINAL SECURITY CHECK
                                                                  ON RFP WITH HCRD STATUS EXDOC ASSIGNS A STATUS OF COMP



                                 EXDOC GENERATES A CERTIFICATE WHEN RFP HAS A STATUS OF COMP




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10.3      Exporter & AA Establishment Packer/Supplier
          The export process is initiated when an exporter receives an order from an international buyer
          and in turn raises an RFP for Grain or Horticulture product for which EXDOC may also obtain
          ACS clearance (EDN) on behalf of the exporter.
          The exporter would forward the RFP to the AA establishment packer/supplier (EDI User) at a
          designated status eg: FINL.
                 -----> Lodge RFP submitted to obtain status of INIT or FINL
          EXDOC will acknowledge the exporter forwarding request and forward the RFP to the
          nominated AA establishment . From this point, the AA establishment has sole access rights to
          the RFP.
          The AA establishment updates the RFP with all the detail necessary for certification, including
          actual quantities passed for export, containers, seals
                                            -----> RFP updated to obtain status INIT or FINL
          RFP is checked, and if all is correct the RFP is validated either by AQIS or, if the functionality
          activated, the EDI User following the inclusion of the AA inspection/inspector/comment details
          and an EPN (if applicable) will be issued.
          The AA establishment packer/supplier (EDI User) would forward the RFP to the exporter (EDI
          User) at a designated status eg: HCRD.
                 -----> RFP to status INSP or HCRD
          If the RFP is at INSP status, the AA establishment must amend the RFP as per the messages
          sent form EXDOC.
                 -----> RFP to status HCRD
          EXDOC will acknowledge the AA establishment packer/supplier forwarding request and
          forward the RFP to the nominated exporter. From this point, the exporter has sole access
          rights to the RFP.
          At this stage, the exporter may request that Certificates be generated.
                 -----> RFP to status COMP


                                EXPORTER LODGES AN RFP WITH REQUEST FOR AN EDN
                                AND REQUESTS THE RFP TO BE FORWARDED TO THE AA                                   AA ESTABLISHMENT
                                ESTABLISHMENT AT FINL STATUS


                                                                        EXDOC VALIDATES THE MESSAGE, OBTAINS EDN AND RETURNS THE RFP
                                                                        NUMBER, STATUS AND EDN TO THE EXPORTER OR AA ESTABLISHMENT



                               EDI USER AMENDS RFP WITH FURTHER DETAILS                 IF A STATUS OF INIT          IF A STATUS OF FINL



                                                                          EXDOC VALIDATES RFP AND ASSIGNS A STATUS OF EITHER INIT OR
                                                                          FINL



                                                                          AA ESTABLISHMENT AMENDS & AUTHORISES RFP AND FORWARDS
                                                                          THE RFP TO THE EXPORTER AT HCRD STATUS.  EXDOC ASSIGNS A
                                                                          STATUS OF EITHER INSP OR HCRD OR COMP



                              AA ESTABLISHMENT MUST AMEND RFP IF STATUS IS INSP                               EXPORTER




                                                                           EXDOC WILL ASSIGN A STATUS OF EITHER HCRD OR COMP




                                                                          AQIS OFFICER PERFORMS FINAL SECURITY CHECK ON RFP WITH
                                                                          HCRD STATUS. EXDOC ASSIGNS A STATUS OF COMP



                                        EXDOC GENERATES A CERTIFICATE WHEN RFP HAS A STATUS OF COMP




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                                    Figure 1 - Lifecycle of Typical RFP



                                                          EDI USER



                                         RFP
                                       REQUESTED               RFP
                                                               VALIDATED
                                                               EDN SUPPLIED         EXPORT CERTIFICATION
                                                                                      READY TO PRINT




                                                          EXDOC




                                RFP
                             AUTHORISED                                        EDN
                                                                              SUPPLIED


                                                                EDN
                                                             REQUESTED




                                  AQIS
                                 OFFICER                                             ACS
                                                                                     EXIT

   COMMODITY
   INSPECTED




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11.       GRAIN EXDOC PRODUCT & SUPPLEMENTARY CODES


11.1      EXDOC Product Codes

          The EXDOC Product Code is comprised of three segments:
              a 3 letter code representing the GRAIN PRODUCT TYPE
                         eg WHT (Wheat)
              a 2 letter code representing the PACK TYPE
                         eg BG (Bag)
             a 1 letter PRESERVATION TYPE code
                        eg X -        As grain does not require preservation codes, an „X‟ is to be placed in
                        this field in all instances.
          The combination of these 3 sections forms the complete EXDOC Product Code:
                        eg WHT BGX
          This code, together with the Country of Destination, determines whether product is eligible for
          export to that country and which default certificates and endorsements are required.
          Descriptions of each of these codes are at Appendix E & G.


11.2      EXDOC Supplementary Codes

          Supplementary codes are additional descriptive codes used in conjunction with the Product
          Code to identify the final use of the goods. It gives the exporter the ability to further define the
          end use of the product.
          The Supplementary Codes currently available for grain products are:
           GC Grain for Consumption
           GS Grain for Sowing

          All RFPs must contain the appropriate supplementary code except for RFPs being lodged for
          the following products:

          -    Hay
          -    Straw
          -    Stockfeed
          -    Cotton (baled)




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12. HORTICULTURE EXDOC PRODUCT & SUPPLEMENTARY
CODES


12.1      EXDOC Product Codes

          The EXDOC Product Code is comprised of three segments:
              a 3 letter code representing the HORTICULTURE PRODUCT TYPE
                         eg APP (Apple)
              a 2 letter code representing the PACK TYPE
                         eg CT (Carton)
             a 1 letter PRESERVATION TYPE code
                        eg X -      As horticulture does not require preservation codes, an „X‟ is to be
                        placed in this field in all instances.
          The combination of these 3 sections forms the complete EXDOC Product Code:
                        eg APP CTX
          This code, together with the Country of Destination, determines whether product is eligible for
          export to that country and which default certificates and endorsements are required.
          Descriptions of each of these codes are at Appendix F & G.


12.2      EXDOC Supplementary Codes

          Supplementary Codes are not required for horticulture products.




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13.       PACKAGING DETAILS


          In addition to providing details relating to the Product Type, Pack Type and Preservation Type,
          the exporter has the option to provide details that describe the individual Packaging details.
          These details shall be printed on the phytosanitary certificate after the EXDOC generated
          Product description.

          This information consists of 3 sections:
          -    Outer Package
          -    Intermediate Package
          -    Inner Package

          Each of these sections is made up of 5 components:
          - Package type                  = the type of individual package
                                            eg: bags, cartons
          - Package quantity              = the total number of packages for the RFP line
                                             eg: 850
          - Package weight unit           = the weight unit of the individual package
                                             eg: kilograms, grams
          - Package weight amount         = the weight of the individual package
                                             eg: 25
          - Accuracy indicator            = describes if the weight amount is an
                                            Exact weight OR Approximate weight


          Whilst most of this information is optional, two of the fields are mandatory and must be
          completed. The two mandatory fields are:
          - Outer Package Type
          - Outer Package Quantity

          The exception to this is when the Outer Package Type = Bulk.
          Where the Outer Package Type is entered as „Bulk‟, the Outer Package Quantity is not
          required and can be left blank.




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          The following are examples of how these fields are used:
          (a blank cell indicates no information is entered)

          Bulk Grain shipments:
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                BULK
           Intermediate
           Inner

          Bulk Containerised Grain shipments:
                                Package Type        Package    Package       Package   Accuracy
                                                    Quantity   Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CONTAINER           3          TNE           21.5      APPROX
           Intermediate
           Inner

          Bagged Grain shipments: Example A – Bag description only
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                BAGGED            850          KGM           25        EQUAL
           Intermediate
           Inner

          Bagged Grain shipments: Example B – Bag & Container description
                                Package Type        Package    Package       Package   Accuracy
                                                    Quantity   Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CONTAINER           1
           Intermediate
           Inner                BAGGED              850        KGM           25        EQUAL

          Baled Plant Product shipments: Example A – Bale description only
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                BALES             275
           Intermediate
           Inner

          Baled Plant Product shipments: Example B – Bale description only
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                BALES             275          KGM           150       APPROX
           Intermediate
           Inner

          Baled Plant Product shipments: Example C – Bale & Container description
                                Package Type        Package    Package       Package   Accuracy
                                                    Quantity   Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CONTAINER           6
           Intermediate
           Inner                BALES               1650




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          Horticulture shipments: Example A – Package description only
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CARTONS           350          KGM           15.5      APPROX
           Intermediate
           Inner


          Horticulture shipments: Example B – Package & Container description
                                Package Type        Package    Package       Package   Accuracy
                                                    Quantity   Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CONTAINER           1
           Intermediate
           Inner                CARTONS             765        KGM           18        EQUAL


          Horticulture shipments: Example C – Multi Package details (eg: Blueberries)
                                Package           Package      Package       Package   Accuracy
                                Type              Quantity     Weight Unit   Weight    Indicator
                                                                             Amount
           Outer                CARTONS           10           KGM           150       EQUAL
           Intermediate         TRAYS             5            KGM           15        EQUAL
           Inner                PUNNETS           12           GRM           250       APPROX




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14.       AHECC CODES


          AHECC codes are required to be included on the RFP to advise ABS the identity of the
          product being exported. AHECC codes have a different description to EXDOC product codes
          as they refer to ABS categories.
              it is the EDI Users responsibility to provide the appropriate AHECC codes for each RFP.
              these codes are printed on the phytosanitary certificate



          AHECCs are updated twice each year where applicable, being 1 Jan and 1 July of each year.
          EDI Users should check the ABS or ACS web sites for any changes to AHECCs and action
          with their third party service provider accordingly.




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15.       EXDOC INSPECTOR 32 SYSTEM


          The EXDOC Inspector 32 system is the application used by AQIS staff to authorise the RFP,
          when required. This system is not available to exporters. Where an EDI User is operating
          under an AA arrangement, they will be able to enter their inspection details via their third party
          software interface.




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16.       ISSUE OF EXPORT PERMIT NUMBER

          An Export Permit Number (EPN) is required for all prescribed grain & horticulture.

          Grains: whole seeds of -
              wheat
              oats
              barley
              canola
              dried field peas
              sorghum
              soybeans
              mung beans

          Grains: whole and split seeds of –
              vetch
              lentils
              chickpeas
              lupins
              faba beans

          Grains: plant products
              hay and straw of cereal origin

          Horticulture:
              fresh fruit & vegetables
              cut flowers (phytosanitary required only)
              nursery stock (phytosanitary certificate only)
              dried fruits

              Plants or Plant products for which a Phytosanitary certificate or any other official certificate
               is required by an importing country authority

          An Export Permit Number (EPN) is issued by EXDOC when the RFP is authorised by an AQIS
          authorised officer.
          When the RFP is authorised, EXDOC automatically sends messages back to the EDI user
          and to ACS advising the EPN.
          EXDOC will prefix an EPN with either:
              PIG = Primary Industry Grain
              PIH = Primary Industry Horticulture




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17.       GENERATION OF EXPORT DOCUMENTATION


          The Phytosanitary Certificate is the official means by which the Australian Government
          certifies to the NPPO of the importing country that the product meets that country‟s import
          standards and regulations. The Australian Government requires the export inspection of
          prescribed grains & horticulture products before they are exported from Australia. The type of
          product and the destination determines which, if any, certificates are required. EXDOC
          maintains many formats of certificates to satisfy the specifications of importing countries,
          which vary in style and content.
          It is the responsibility of the exporter to ensure that importing country requirements are
          met. Only these requirements can be included on the approved forms of certificates.
          In addition, many certificates may have optional or mandatory endorsement text (an Additional
          Declaration), again determined by the type of product and destination. Endorsements are in
          effect an extension of the basic certification, and may for example state that Australia is free
          from a particular disease, or that product has been processed in a specific way. With manual
          documentation the exporter may have been faced with many valid certificate formats and
          endorsement combinations, but with EXDOC a system of defaults exists to simplify the
          selection process.
          It is recommended that the EDI User not nominate which certificates and endorsements they
          require when submitting the RFP, but to rely on the defaults unless otherwise requested by
          market forces. The minimisation of certification provided is essential in order to minimise the
          costs of export.
          However where more than one endorsement exists, the EDI User still has the ability to select
          an alternative endorsement simply by requesting the relevant endorsement code. See Section
          16.1 – Requesting Endorsement Codes.
          EXDOC produces the physical certificates by transmitting either RFP data to laser printers
          located in AQIS Regional Offices or a Remote Print file message for printing in an approved
          EDI Users office, known as remote printing. The AQIS laser printers hold internally on disk,
          basic form layout information, known as overlays, for each certificate format. The overlays are
          merged with the variable RFP data, which is transmitted at print time to produce the complete
          certificate. Only variable data is sent to minimise transmission overheads. The overlay data
          consists of logos, field captions, fixed text and the like, while variable data consists of the
          certificate number and RFP fields such as quantity of product, packaging marks, product
          description, consignee name, vessel name, departure date and, when required, endorsement
          text.
          In the case of remote EDI User printed certificates, the whole image is transmitted in a single
          message to the EDI User. By transmitting the whole image within a message, the EDI User
          does not need to purchase the software to produce the certificate and can therefore print it on
          a standard PostScript capable printer.
          All certificates are produced with a facsimile signature and printed seal alleviating the need for
          the exporter to present the certificate to an AQIS officer for signing and sealing.
          See Appendix B for examples of certificates.
          Certificates may be generated at an AQIS Regional Office (that has a LAN connection. AQIS
          RAS offices are unable to print EXDOC certificates) or EDI User office, which is designated as
          a “print” location, regardless of where product was prepared, or the port from which it will be
          exported, (see software for details). For example, the product may have been prepared in
          Adelaide, trucked to Melbourne for shipping, and the certificates printed for collection in
          Sydney. When printed in an AQIS Regional Office, four copies of each certificate are
          produced: three for the exporter and a file copy for AQIS. The generation of certificates is
          normally the final activity for the RFP.




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          Phytosanitary certificates which are generated for a remote printing location, ie: an EDI User‟s
          office, will not print until the certificate is electronically cleared by an AQIS officer. The
          certificate when printed will be authorised by a facsimile signature and seal generated by
          EXDOC.
          When generated at a remote printing location, 3 copies of the Phytosanitary Certificate are
          produced:
              an Original certificate
              a Duplicate copy
           a Triplicate copy
          Certificate generation can occur in the following circumstances:
              AA establishments inputting their own inspection details (date and name of the authorised
               inspector) and requesting a certificate that does include any free text fields;
               endorsements; treatment details or request for other export certificates, review by an
               AQIS officer is required
              when the consignment has been validated and the data is complete
           when the RFP data is amended, thus requiring a reprint of the certificate
          An EDI User can elect to print their certificate whenever they choose after AQIS has
          completed their requirements.
          It is useful to note that EXDOC has the facility to transmit certificates electronically to overseas
          destinations, via a separate eCert message. In the longer term the eCert message, which is
          fully EDIFACT compliant, may do away with the need to generate paper certificates. This will
          depend on the uptake of eCert among Australia's trading partners, and on the removal of the
          dependence of many commercial transactions on the presentation of paper certificates,
          particularly in the area of funds release for payment of product.
          This application of EXDOC is available for Grain & Horticulture exports, where overseas
          trading partners choose to adopt.


17.1      Requesting Endorsement Codes.

          Where an EDI User has a multi-line RFP consisting of products that have different importation
          requirements, and therefore different endorsements, or an RFP in which the default
          endorsements are not applicable, they may override the EXDOC default settings by including
          in their RFP message the required certificate template and appropriate endorsement code.

          In general this information is entered into the H/C Format field and/or Statement/Endorsement
          Code field (sometimes known as Coded Statements).




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          For a single line RFP where the EDI User requires an endorsement other than the EXDOC
          default setting the format is to be entered into the H/C Format field as:

          Grains RFP:
          E16/765                        E16 = template code for a Grain phytosanitary certificate
                                         765 = endorsement code other then the default endorsement code

          Horticulture RFP:
          H16/1258                       H16 = template code for a Horticulture phytosanitary certificate
                                         1258 = endorsement code other then the default endorsement code


          For a multi line RFP where the EDI User requires all products and applicable endorsements to
          be printed onto the one phytosanitary certificate, the format is to be entered into the H/C
          Format field AND the Statement code / Endorsement code fields as:

          Grains RFP:
           H/C Format field:            E16       template code for a Grain phytosanitary certificate
           Statement Code               765       endorsement code other then the default endorsement code
           or
           Endorsement Code

          Horticulture RFP:
           H/C Format field:            H16       template code for a Horticulture phytosanitary certificate
           Statement Code               1258      endorsement code other then the default endorsement code
           or
           Endorsement Code

          This format needs to be entered for each line within the RFP



17.2      Custom Certificates.

          EXDOC has the ability to allow EDI Users to manipulate RFPs, after authorisation but before
          certificates are generated.
          ie: combining a maximum of 3 RFPs into one certificate or splitting an RFP into multiple
          certificates.

          EDI Users must be mindful of several issues for this function to be permissible, which include:
           EXDOC Product Group must be the same for each of the RFPs
           Destination Country must be the same for each of the RFPs
           OwnerExporter Number must be the same for each of the RFPs
           Transport Mode must be the same for each of the RFPs
           Departure date must be the same for each of the RFPs
           the print indicator must be set on C = Custom Certificate for each of the RFPs

          For further details on this function EDI Users should contact their third party software
          suppliers.




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18.       ERROR MESSAGES FROM DATA ENTRY


          The validation carried out by the EXDOC system on receipt of the Request for Permit will
          either allow the granting of an RFP number or, if errors are detected, the return of the
          information to the EDI User defining the location and type of error. These errors are returned
          to the EDI User electronically using specific Error messages from EXDOC to the EDI Users
          EXDOC interface software.
          For assistance, clarification or interpretation of EXDOC error messages, contact the EXDOC
          Administrator (Grain / Horticulture)..




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19.       STAGED INPUT OF RFP


          Commercial realities dictate that any registered EDI User be able to raise an RFP. It is also a
          commercial requirement that an RFP be able to be submitted in stages, probably with input
          from more than one recognised EDI User in the export chain. This reflects the fact, that
          information required on an RFP typically becomes known over a period, from the time an
          order for product is first raised by an international buyer to the time the product has been
          packaged and is ready for export.
          EXDOC addresses this through an RFP status arrangement and the ability to forward and/or
          transfer an RFP.
          See Section 20 – Status of an RFP.




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20.       STATUS OF AN RFP


          An RFP can be input in a single submission with all the information necessary to obtain an
          EDN, EPN and Certificates, or it can be input in partial form with further information added as
          it becomes available. The way in which RFPs are submitted is entirely up to the EDI User,
          exporter or his/her agent(s) and can be tailored to suit the way they do business.
          Within EXDOC, the status of an RFP may include one or all of the following through its life
          (refer to Appendix D for a complete listing of where and when changes can occur to an RFP):


            ORDR            The RFP does not necessarily have the basic information sufficient to allow
                            AQIS inspection, but the EDI User has requested either an RFP number to
                            be reserved by EXDOC or an EDN number to be allocated by ICS. The RFP
                            need only have the exporter reference details and may include any other
                            RFP information including ACS data.
                            Note: RFPs of this status are not accepted by the Plant Export Operations
                            Branch for the purpose of inspection or notification of intention to export
            INIT            The RFP has basic information sufficient to allow AQIS inspection. The
                            product is fully described for inspection purposes, but not necessarily in
                            sufficient detail for inclusion on a Certificate, and consignee and shipment
                            details may not be present. The product has not yet been authorised by
                            AQIS.
            FINL            The RFP has full information to allow both AQIS inspection and generation of
                            Certificates. The product is fully described, and full consignee and shipment
                            details are present. The product has not yet been authorised by AQIS.
            INSP            The RFP has been authorised by AQIS. It has all the information necessary
                            for inspection, and now includes the results of successful inspection; EPN,
                            inspector comments and container seal numbers if appropriate. It does not
                            have sufficient information to enable the generation of Certificates, ie
                            consignee or shipment details.
            HCRD            The RFP has been authorised by AQIS. It has full details of product and
                            inspection, including EPN, and sufficient information to allow generation of
                            Certificates. Certificates have not yet been generated.
            COMP            Certificates have been generated if required. The RFP has full details of
                            product, inspection and certification.

          As well as the above, the status of the RFP may also be extended to one of the following:


           SUSP            An RFP may be suspended before Certificates are generated if there is a
                           problem with the product that must be fixed before export can occur.
                           Suspension will only be carried out by the PEOB National Systems Manager.
                           A suspended RFP can be reinstated subsequently to its previous status.
           CANC            An RFP may be cancelled if:
                                                 * the exporter advises that the consignment will not be
                                                     shipped; or
                             *     if data in the RFP is incorrect; or
                             *     if the product is subsequently found „ineligible to export‟; or
                             *     if the registered establishment is subsequently ineligible to export
                           and it is in a state where it cannot be easily corrected.
                           Note: Cancellation will only be carried out following consultation with the
                           PEOB National Systems Manager
                           A cancelled RFP cannot be re-instated or amended in any way.




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21.       RFP STATUS TRANSITION DIAGRAM




                                         Figure 2. RFP Status Transition Diagram.




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22.       FORWARD & TRANSFER OF RFP


          Forwarding is the process of passing ownership of an RFP to another EDI User in a group
          operating for the exporter nominated on the RFP. Ownership of an RFP governs who may
          update it, and forwarding is necessary to change ownership. Therefore, when one user in the
          export chain has finished with his/her input to an RFP but more information is required, he/she
          must forward the RFP to the next user. Forwarding is achieved simply by nominating the EDI
          User Identifier of the intended recipient and the status to be forwarded in an RFP update
          message. This causes EXDOC to acknowledge the forwarding request and to place a copy of
          the RFP in the recipient's mailbox. An RFP could in fact be forwarded any number of times
          among members of the group authorised to act for the exporter, in each case with sole access
          rights moving to the new recipient.
          Transferring is the process of passing ownership of an RFP from one exporter to another
          exporter by changing the name and address of the exporter on the RFP. The transfer function
          addresses the commercial circumstance where product is sold by one exporter to another
          after an RFP has been raised but before certificates have been printed. A transfer is
          necessary to establish the new entity legally responsible for the product. A transfer is
          achieved by nominating the new exporter number in an RFP update message. This causes
          EXDOC to acknowledge the transfer request and to place a copy of the RFP in the recipient's
          mailbox. The transfer is completed when the nominated recipient exporter or his agent
          accepts the RFP (via a further RFP update).



                                                   Exporter                            Packing                            Freight
                                                                                                                          Frowarder
               Forwarding                                                           Establishment

               (Same Exporter)                    EDI User 222                      EDI User 333                     EDI User 444
                                                  Exporter 100                      Exporter 100                     Exporter 100


                                                              EDI User 222 to 333                   EDI User 333 to 444
                                                                Same Exporter                         Same Exporter




              Transfer                            Exporter/Agent                Exporter/Agent

              (Different Exporter)                EDI User 222                      EDI User 555
                                                  Exporter 100                      Exporter 200


                                                              Exporter 100 to 200
                                                          Different Exporter & EDI User

                                   Figure 3. Diagram showing changes in ownership of an RFP




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23.       THE ROLE OF THE CARRIER


          The carrier in the EXDOC network acts somewhat like a postman, delivering EDI messages
          from EDI Users to an electronic mailbox assigned to AQIS, and vice-versa. The EXDOC
          system continually interrogates the AQIS mailbox to see if there are any messages to process,
          and ordinarily will turn around any messages in less than ten minutes. The carrier essentially
          stores and forwards the messages, and therefore serves to regulate traffic and to isolate both
          AQIS and the EDI Users from any outages that might occur in the other. EDI Users can
          therefore submit messages in one session with the carrier, without needing to know the
          current status of EXDOC, terminate that session and reconnect some time later to obtain the
          results of their submissions.
          In the interest of creating a competitive environment, AQIS has adopted an open network
          policy for EDI communication. As a result, any carrier that conforms to certain
          communications protocols defined by AQIS is likely to gain approval to connect to it. EXDOC
          has the capability to interface to multiple carriers, and provided more than one carrier is
          connected, exporters will have the flexibility to elect whichever carrier best meets their needs.
          However, the ability to connect to more than one carrier, is dependent on what is provided by
          each third party software developer.




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24.       SINGLE ELECTRONIC WINDOW / EDNs


          Exporters of Grain & Horticulture and prescribed plant products as defined by the Export
          Control Act and its Orders must apply both to the AQIS EXDOC system for an AQIS Export
          Permit Number (EPN), and to the ACS ICS system for an Export Declaration Number (EDN),
          prior to the export of the consignment.
          It makes no difference to the clearance of the goods as to which order the applications to the
          relevant Australian Government Authorities (AQIS and ACS) are made. Commercial
          circumstances will result in different procedures being followed by different exporters and/or
          for different consignments.
          EXDOC has the functionality to apply, on behalf of the exporter, to the ACS ICS system for an
          EDN. However, the exporter may choose to obtain the EDN direct themselves.
              An EDN - Clear - must be issued by ACS prior to export clearance and, unless EXDOC is
               used on behalf of the exporter, can only be obtained if the exporter quotes an EPN to ICS.
              EPNs will only be issued by AQIS following the inspection of the consignment and
               compliance with importing country requirements.




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25.       ABS DATA


          The Australian Bureau of Statistics (ABS) data is collected via the ICS system and forwarded
          to ABS by the Customs service. ABS utilises this information in compiling balance of
          payments figures.




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26.       AUDITABILITY


          A system-controlled audit trail is kept of all transactions on EXDOC. The audit trail holds
          before and after images of all fields which are changed, together with details of the source and
          time of changes. Records for RFPs, their Certificates and the associated audit trail data are
          kept on-line for thirteen months and are generally available to authorised AQIS personnel for
          interrogation and updating. After that time, the information is archived and stored for a
          minimum of 6 years. This means information concerning RFPs and Certificates is available to
          AQIS officers for many years after original submission.




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27.       OVERSEAS COUNTRY REQUIREMENTS


          It is the responsibility of the exporter to ascertain an importing countries
          conditions/requirements and to comply with these conditions/requirements.
          Details of overseas country requirements may be sourced through the Internet at:

          http://www.aqis.gov.au/phyto/asp/ex_home.asp

          Users of this site need to be aware that the importing country authorities may change their
          import conditions without notice and at any time, therefore it is the responsibility of the
          exporter to ensure that they are aware of the current requirements.

          Any variations should be confirmed through the AQIS Grain or Horticulture Export Program.
          No endorsements are to be provided without approval from the relevant program.

          The requirements of some importing countries are unknown. Exporters should endeavour to
          determine any requirements if they wish to trade with these countries and, where necessary,
          contact the Grain Exports or Horticulture Exports Program for clarification and/or compliance
          with the importing countries requirements.

          There is also inclusion of the EXDOC Endorsement number to assist exporters in ascertaining
          the correct endorsement number for inclusion in the RFP, to enable the correct endorsement
          text to print on the phytosanitary certificate.

          Examples are:

          Grown and packed in an area free from Ceratitis capitata and Bactrocera tryoni.

                                                                         EXDOC Endorsement No 1457

          The produce has been subjected to cold treatment prior to shipping.

                                                                         EXDOC Endorsement No 1458


          Additional information for commercial reasons can be provided on a Certificate as to Condition
          (GX46 or HX46) if they are able to be fully substantiated.

          Those issuing Grain or Horticulture export documentation must ensure that any declarations
          made on the documentation are appropriately substantiated. For example, where analytical
          claims are made regarding the product, then the appropriate government approved laboratory
          certificates substantiating the claim must be attached.

          Further details regarding completion of export documentation and the background provision of
          certificates is contained in the document entitled “Phytosanitary Certificate Completion
          (Exports) Work Instruction”, located on the AQIS website at www.aqis.gov.au

          Page links:
          DAFF Home > Quarantine and Export Services HOME > Plants/Grains and Horticulture >
          Exporting Plants/Grains and Horticulture > Phytosanitary Certificate Completion Work
          Instruction




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