INTERNATIONAL STANDARDS FOR PHYTOSANITARY MEASURES
ISPM 6
GUIDELINES FOR SURVEILLANCE
(1997)
Produced by the Secretariat of the
International Plant Protection Convention
© FAO 2011
Publication history
1994-05 CEPM-1 added topic - Standards for pest surveillance (1994-001)
1994 EWG (facilitated by USDA) developed draft text
1995-05 CEPM-2 revised draft text and approved for MC
1995 Sent for MC
1996-05 CEPM-3 revised draft text for adoption
1997-11 29th FAO Conference adopted standard
ISPM 6. 1997. Guidelines for surveillance. Rome, IPPC, FAO.
Publication history: Last modified August 2011
© FAO 2011
Publication history
1994-05 CEPM-1 added topic - Standards for pest surveillance (1994-001)
1994 EWG (facilitated by USDA) developed draft text
1995-05 CEPM-2 revised draft text and approved for MC
1995 Sent for MC
1996-05 CEPM-3 revised draft text for adoption
1997-11 29th FAO Conference adopted standard
ISPM 6. 1997. Guidelines for surveillance. Rome, IPPC, FAO.
Publication history: Last modified August 2011
CONTENTS
ENDORSEMENT.......................................................................................................................................................... 69
INTRODUCTION
SCOPE............................................................................................................................................................................. 69
REFERENCES ................................................................................................................................................................ 69
DEFINITIONS ................................................................................................................................................................ 69
OUTLINE OF REQUIREMENTS .................................................................................................................................. 69
REQUIREMENTS
1. General Surveillance
1.1 Sources .............................................................................................................................................................. 70
1.2 Collection, storage and retrieval of information ................................................................................................. 70
1.3 Use of information............................................................................................................................................. 70
2. Specific Surveys ............................................................................................................................................... 70
2.1 Pest surveys ....................................................................................................................................................... 70
2.2 Commodity or host surveys ............................................................................................................................... 71
2.3 Targeted and random sampling.......................................................................................................................... 71
3. Good Surveillance Practice............................................................................................................................. 71
4. Technical Requirements for Diagnostic Services ........................................................................................... 71
5. Record Keeping................................................................................................................................................ 72
6. Transparency ................................................................................................................................................... 72
ENDORSEMENT.......................................................................................................................................................... 69
INTRODUCTION
SCOPE............................................................................................................................................................................. 69
REFERENCES ................................................................................................................................................................ 69
DEFINITIONS ................................................................................................................................................................ 69
OUTLINE OF REQUIREMENTS .................................................................................................................................. 69
REQUIREMENTS
1. General Surveillance
1.1 Sources .............................................................................................................................................................. 70
1.2 Collection, storage and retrieval of information ................................................................................................. 70
1.3 Use of information............................................................................................................................................. 70
2. Specific Surveys ............................................................................................................................................... 70
2.1 Pest surveys ....................................................................................................................................................... 70
2.2 Commodity or host surveys ............................................................................................................................... 71
2.3 Targeted and random sampling.......................................................................................................................... 71
3. Good Surveillance Practice............................................................................................................................. 71
4. Technical Requirements for Diagnostic Services ........................................................................................... 71
5. Record Keeping................................................................................................................................................ 72
6. Transparency ................................................................................................................................................... 72
ENDORSEMENT
This standard was endorsed by the 29th Session of the FAO Conference in November 1997.
INTRODUCTION
SCOPE
This standard describes the components of survey and monitoring systems for the purpose of pest detection and the
supply of information for use in pest risk analyses, the establishment of pest free areas and, where appropriate, the
preparation of pest lists.
REFERENCES
Agreement on the Application of Sanitary and Phytosanitary Measures, 1994. World Trade Organization, Geneva.
Bayer coding system, 1996. European and Mediterranean Plant Protection Organization, Paris.
Glossary of phytosanitary terms, 1997. ISPM No. 5, FAO, Rome.
International Plant Protection Convention, 1992. FAO, Rome.
Principles of plant quarantine as related to international trade, 1995. ISPM No. 1, FAO, Rome.
Requirements for the establishment of pest free areas, 1996. ISPM No. 4, FAO, Rome.
DEFINITIONS
Definitions of phytosanitary terms used in the present standard can be found in ISPM No. 5 (Glossary of phytosanitary
terms).
OUTLINE OF REQUIREMENTS
Under the international standard for phytosanitary measures: Principles of plant quarantine as related to international
trade, countries are required to justify their phytosanitary measures on the basis of pest risk analysis. These principles
also endorse the concept of “pest free areas”, a description of which is provided in the standard: Requirements for the
establishment of pest free areas. These concepts are also referred to in the World Trade Organization’s “Agreement on
the Application of Sanitary and Phytosanitary Measures”. The collecting and recording of pest information is
fundamental to all these concepts. The implication is that National Plant Protection Organizations (NPPOs) should be in
a position to validate declarations of the absence or limited distribution of quarantine pests.
There are two major types of surveillance systems:
- general surveillance
- specific surveys.
General surveillance is a process whereby information on particular pests which are of concern for an area is gathered
from many sources, wherever it is available and provided for use by the NPPO.
Specific surveys are procedures by which NPPOs obtain information on pests of concern on specific sites in an area over
a defined period of time.
The verified information acquired may be used to determine the presence or distribution of pests in an area, or on a host
or commodity, or their absence from an area (in the establishment and maintenance of pest free areas).
This standard was endorsed by the 29th Session of the FAO Conference in November 1997.
INTRODUCTION
SCOPE
This standard describes the components of survey and monitoring systems for the purpose of pest detection and the
supply of information for use in pest risk analyses, the establishment of pest free areas and, where appropriate, the
preparation of pest lists.
REFERENCES
Agreement on the Application of Sanitary and Phytosanitary Measures, 1994. World Trade Organization, Geneva.
Bayer coding system, 1996. European and Mediterranean Plant Protection Organization, Paris.
Glossary of phytosanitary terms, 1997. ISPM No. 5, FAO, Rome.
International Plant Protection Convention, 1992. FAO, Rome.
Principles of plant quarantine as related to international trade, 1995. ISPM No. 1, FAO, Rome.
Requirements for the establishment of pest free areas, 1996. ISPM No. 4, FAO, Rome.
DEFINITIONS
Definitions of phytosanitary terms used in the present standard can be found in ISPM No. 5 (Glossary of phytosanitary
terms).
OUTLINE OF REQUIREMENTS
Under the international standard for phytosanitary measures: Principles of plant quarantine as related to international
trade, countries are required to justify their phytosanitary measures on the basis of pest risk analysis. These principles
also endorse the concept of “pest free areas”, a description of which is provided in the standard: Requirements for the
establishment of pest free areas. These concepts are also referred to in the World Trade Organization’s “Agreement on
the Application of Sanitary and Phytosanitary Measures”. The collecting and recording of pest information is
fundamental to all these concepts. The implication is that National Plant Protection Organizations (NPPOs) should be in
a position to validate declarations of the absence or limited distribution of quarantine pests.
There are two major types of surveillance systems:
- general surveillance
- specific surveys.
General surveillance is a process whereby information on particular pests which are of concern for an area is gathered
from many sources, wherever it is available and provided for use by the NPPO.
Specific surveys are procedures by which NPPOs obtain information on pests of concern on specific sites in an area over
a defined period of time.
The verified information acquired may be used to determine the presence or distribution of pests in an area, or on a host
or commodity, or their absence from an area (in the establishment and maintenance of pest free areas).
REQUIREMENTS
1. General Surveillance
1.1 Sources
Within countries there are many sources of pest information. These sources may include: NPPOs, other national and
local government agencies, research institutions, universities, scientific societies (including amateur specialists),
producers, consultants, museums, the general public, scientific and trade journals, unpublished data and contemporary
observations. In addition, the NPPO may obtain information from international sources such as FAO, Regional Plant
Protection Organizations (RPPOs), etc.
1.2 Collection, storage and retrieval of information
To utilize data from these sources, it is recommended that NPPOs develop a system whereby appropriate information on
the particular pest(s) of concern is collected, verified and compiled.
Components of such a system should include:
- the NPPO or another institution designated by the NPPO acting as the national repository for plant pest records
- a record keeping and retrieval system
- data verification procedures
- communication channels to transfer information from the sources to the NPPO.
Components of such a system may also include:
- incentives to report such as:
• legislative obligations (for the general public or specific agencies)
• cooperative agreements (between the NPPO and specific agencies)
• use of contact personnel to enhance communication channels to and from NPPOs
• public education/awareness programmes.
1.3 Use of information
Information gathered through such general surveillance will most often be used:
- to support NPPO declarations of pest freedom
- to aid early detection of new pests
- for reporting to other organizations such as RPPOs and FAO
- in the compilation of host and commodity pest lists and distribution records.
2. Specific Surveys
Specific surveys may be detection, delimiting or monitoring surveys. These are official surveys and should follow a plan
which is approved by the NPPO.
The survey plan should include:
- definition of the purpose (e.g. early detection, assurances for pest free areas, information for a commodity pest
list) and the specification of the phytosanitary requirements to be met
- identification of the target pest(s)
- identification of scope (e.g. geographical area, production system, season)
- identification of timing (dates, frequency, duration)
- in the case of commodity pest lists, the target commodity
- indication of the statistical basis, (e.g. level of confidence, number of samples, selection and number of sites,
frequency of sampling, assumptions)
- description of survey methodology and quality management including an explanation of:
• sampling procedures (e.g. attractant trapping, whole plant sampling, visual inspection, sample
collection and laboratory analysis); the procedure would be determined by the biology of pest and/or
purpose of survey
• diagnostic procedures
• reporting procedures.
2.1 Pest surveys
Surveys for specific pests will provide information to be used mainly:
- to support NPPO declarations of pest freedom
1. General Surveillance
1.1 Sources
Within countries there are many sources of pest information. These sources may include: NPPOs, other national and
local government agencies, research institutions, universities, scientific societies (including amateur specialists),
producers, consultants, museums, the general public, scientific and trade journals, unpublished data and contemporary
observations. In addition, the NPPO may obtain information from international sources such as FAO, Regional Plant
Protection Organizations (RPPOs), etc.
1.2 Collection, storage and retrieval of information
To utilize data from these sources, it is recommended that NPPOs develop a system whereby appropriate information on
the particular pest(s) of concern is collected, verified and compiled.
Components of such a system should include:
- the NPPO or another institution designated by the NPPO acting as the national repository for plant pest records
- a record keeping and retrieval system
- data verification procedures
- communication channels to transfer information from the sources to the NPPO.
Components of such a system may also include:
- incentives to report such as:
• legislative obligations (for the general public or specific agencies)
• cooperative agreements (between the NPPO and specific agencies)
• use of contact personnel to enhance communication channels to and from NPPOs
• public education/awareness programmes.
1.3 Use of information
Information gathered through such general surveillance will most often be used:
- to support NPPO declarations of pest freedom
- to aid early detection of new pests
- for reporting to other organizations such as RPPOs and FAO
- in the compilation of host and commodity pest lists and distribution records.
2. Specific Surveys
Specific surveys may be detection, delimiting or monitoring surveys. These are official surveys and should follow a plan
which is approved by the NPPO.
The survey plan should include:
- definition of the purpose (e.g. early detection, assurances for pest free areas, information for a commodity pest
list) and the specification of the phytosanitary requirements to be met
- identification of the target pest(s)
- identification of scope (e.g. geographical area, production system, season)
- identification of timing (dates, frequency, duration)
- in the case of commodity pest lists, the target commodity
- indication of the statistical basis, (e.g. level of confidence, number of samples, selection and number of sites,
frequency of sampling, assumptions)
- description of survey methodology and quality management including an explanation of:
• sampling procedures (e.g. attractant trapping, whole plant sampling, visual inspection, sample
collection and laboratory analysis); the procedure would be determined by the biology of pest and/or
purpose of survey
• diagnostic procedures
• reporting procedures.
2.1 Pest surveys
Surveys for specific pests will provide information to be used mainly:
- to support NPPO declarations of pest freedom
but also:
- to aid early detection of new pests
- for reporting to other organizations such as RPPOs and FAO.
The selection of suitable survey sites may be determined by the:
- previously reported presence and distribution of the pest
- biology of the pest
- distribution of host plants of the pest and especially of their areas of commercial production
- climatic suitability of sites for the pest.
The timing of survey procedures may be determined by:
- the life cycle of the pest
- the phenology of the pest and its hosts
- the timing of pest management programmes
- whether the pest is best detected on crops in active growth or in the harvested crop.
For pests which are only likely to be present as a result of recent introduction, the selection of suitable survey sites may
in addition relate, for example, to points of possible entry, possible pathways of spread, sites where imported
commodities are marketed, and sites where imported commodities are used as planting material.
The selection of survey procedures may be determined by the type of sign or symptom by which the pest can be
recognized, and by the accuracy or sensitivity of techniques used to test for the pest.
2.2 Commodity or host surveys
Specific commodity surveys can provide useful information for pest lists of commodities produced under specific
cultural practices. Surveys could also be used for the preparation of host pest lists where data from general surveillance
is lacking.
The selection of suitable survey sites may be determined by:
- geographical distribution of production areas and/or their size
- pest management programmes (commercial and non-commercial sites)
- cultivars present
- points of consolidation of the harvested commodity.
Survey procedures will be timed in relation to crop harvesting and will depend on the selection of a sampling technique
appropriate to the type of harvested commodity.
2.3 Targeted and random sampling
Surveys should normally be designed to favour detection of specific pests concerned. However, the survey plan should
also include some random sampling to detect unexpected events. It should be noted that if a quantitative indication of
the prevalence of a pest in an area is required, the results from targeted surveys will be biased and may not provide an
accurate assessment.
3. Good Surveillance Practice
Personnel involved in general surveillance should be adequately trained in appropriate fields of plant protection and data
management. Personnel involved in surveys should be adequately trained, and where appropriate audited, in sampling
methods, preservation and transportation of samples for identification and record keeping associated with samples.
Appropriate equipment and supplies should be used and maintained adequately. The methodology used should be
technically valid.
4. Technical Requirements for Diagnostic Services
The NPPO should provide appropriate diagnostic services to support general surveillance and specific survey activities,
or ensure access to such services. Characteristics of the diagnostic services include:
- expertise in disciplines relevant to pest (and host) identification
- adequate facilities and equipment
- access to specialists for verification where necessary
- facilities for record keeping
- facilities for processing and storing of voucher specimens
- use of standard operating procedures, where appropriate and available.
- to aid early detection of new pests
- for reporting to other organizations such as RPPOs and FAO.
The selection of suitable survey sites may be determined by the:
- previously reported presence and distribution of the pest
- biology of the pest
- distribution of host plants of the pest and especially of their areas of commercial production
- climatic suitability of sites for the pest.
The timing of survey procedures may be determined by:
- the life cycle of the pest
- the phenology of the pest and its hosts
- the timing of pest management programmes
- whether the pest is best detected on crops in active growth or in the harvested crop.
For pests which are only likely to be present as a result of recent introduction, the selection of suitable survey sites may
in addition relate, for example, to points of possible entry, possible pathways of spread, sites where imported
commodities are marketed, and sites where imported commodities are used as planting material.
The selection of survey procedures may be determined by the type of sign or symptom by which the pest can be
recognized, and by the accuracy or sensitivity of techniques used to test for the pest.
2.2 Commodity or host surveys
Specific commodity surveys can provide useful information for pest lists of commodities produced under specific
cultural practices. Surveys could also be used for the preparation of host pest lists where data from general surveillance
is lacking.
The selection of suitable survey sites may be determined by:
- geographical distribution of production areas and/or their size
- pest management programmes (commercial and non-commercial sites)
- cultivars present
- points of consolidation of the harvested commodity.
Survey procedures will be timed in relation to crop harvesting and will depend on the selection of a sampling technique
appropriate to the type of harvested commodity.
2.3 Targeted and random sampling
Surveys should normally be designed to favour detection of specific pests concerned. However, the survey plan should
also include some random sampling to detect unexpected events. It should be noted that if a quantitative indication of
the prevalence of a pest in an area is required, the results from targeted surveys will be biased and may not provide an
accurate assessment.
3. Good Surveillance Practice
Personnel involved in general surveillance should be adequately trained in appropriate fields of plant protection and data
management. Personnel involved in surveys should be adequately trained, and where appropriate audited, in sampling
methods, preservation and transportation of samples for identification and record keeping associated with samples.
Appropriate equipment and supplies should be used and maintained adequately. The methodology used should be
technically valid.
4. Technical Requirements for Diagnostic Services
The NPPO should provide appropriate diagnostic services to support general surveillance and specific survey activities,
or ensure access to such services. Characteristics of the diagnostic services include:
- expertise in disciplines relevant to pest (and host) identification
- adequate facilities and equipment
- access to specialists for verification where necessary
- facilities for record keeping
- facilities for processing and storing of voucher specimens
- use of standard operating procedures, where appropriate and available.
Verification of diagnoses by other recognized authorities will provide increased confidence in the survey results.
5. Record Keeping
The NPPO should keep appropriate records derived from general surveillance and specific surveys. Information kept
should be appropriate for the intended purpose, for example support of specific pest risk analyses, establishment of pest
free areas and preparation of pest lists. Voucher specimens should be deposited, where appropriate.
Information in the records should include to the extent possible:
- scientific name of pest and Bayer code if available
- family/order
- scientific name of host and Bayer code if available, and plant part affected or means of collection (e.g.
attractant trap, soil sample, sweep net)
- locality, e.g. location codes, addresses, coordinates
- date of collection and name of collector
- date of identification and name of identifier
- date of verification and name of verifier
- references, if any
- additional information, e.g. nature of host relationship, infestation status, growth stage of plant affected, or
found only in greenhouses.
Reports of pest occurrence on commodities need not be so specific on locality or verification, but should refer precisely
to the exact type of commodity, the collector and the date, and if appropriate the means of collection.
Reports of new occurrences of pests should also include information on any measures taken, and such reports made
available on request.
6. Transparency
The NPPO should on request, distribute reports of pest presence, distribution, or absence derived from general
surveillance and specific surveys. Reports should be adequately referenced in relation to pest occurrences.
5. Record Keeping
The NPPO should keep appropriate records derived from general surveillance and specific surveys. Information kept
should be appropriate for the intended purpose, for example support of specific pest risk analyses, establishment of pest
free areas and preparation of pest lists. Voucher specimens should be deposited, where appropriate.
Information in the records should include to the extent possible:
- scientific name of pest and Bayer code if available
- family/order
- scientific name of host and Bayer code if available, and plant part affected or means of collection (e.g.
attractant trap, soil sample, sweep net)
- locality, e.g. location codes, addresses, coordinates
- date of collection and name of collector
- date of identification and name of identifier
- date of verification and name of verifier
- references, if any
- additional information, e.g. nature of host relationship, infestation status, growth stage of plant affected, or
found only in greenhouses.
Reports of pest occurrence on commodities need not be so specific on locality or verification, but should refer precisely
to the exact type of commodity, the collector and the date, and if appropriate the means of collection.
Reports of new occurrences of pests should also include information on any measures taken, and such reports made
available on request.
6. Transparency
The NPPO should on request, distribute reports of pest presence, distribution, or absence derived from general
surveillance and specific surveys. Reports should be adequately referenced in relation to pest occurrences.
