i 
 NATIONAL STANDARDS FOR PHYTOSANITARY MEASURES  
 
 
 
 
 
 
NSPM: 2 
 
 
 
 
 
 
 
 
 
 
Framework for Pest Risk Analysis  
2013  
 
 
 
 
 
 
 
 
 
 
(This standard is approved by (the NPPO and) the Quarantine Committee of Nepal, chaired by the 
secretary of the Ministry of Agriculture De velopment on 1st December 2013 and, is submitted by National 
Plant Quarantine Program to the National Notification Authority to be notified to the WTO member states)  
  
ii 
 Table of Contents  
 
1. Introduct ion ................................ ................................ ................................ ............................  1 
1.1 Scope ................................ ................................ ................................ ................................ ....... 1 
1.2 References  ................................ ................................ ................................ .............................  1 
1.3 Definitions  ................................ ................................ ................................ ...............................  2 
1.4 Outline of requirements  ................................ ................................ ................................ ........  2 
2. Background  ................................ ................................ ................................ ...........................  2 
3. General requirements  ................................ ................................ ................................ .............  4 
3.1 Regulation/ Authority  ................................ ................................ ................................ .............  4 
3.2 Administrative process  ................................ ................................ ................................ ..........  5 
3.2.1 Init iation  ................................ ................................ ................................ ........................  5 
3.2.2 Scheduling and scoping  ................................ ................................ ............................  6 
3.2.3 Consultations with other agencies  ................................ ................................ ...........  6 
3.2.4 Formation of a PRA team  ................................ ................................ .........................  6 
3.2.5 Stakeholders consultation  ................................ ................................ .........................  6 
3.2.6 Peer review  ................................ ................................ ................................ .................  6 
3.2.7 Notification of draft PRA to WTO  ................................ ................................ .............  6 
3.2.8 Preparation of final report  ................................ ................................ .........................  6 
2.9 Approva l of PRA report  ................................ ................................ ................................ . 7 
3.2.10 Final publications of import regulations  ................................ ................................  7 
4. Technical Process  ................................ ................................ ................................ ...................  7 
4.1 Development of resources  ................................ ................................ ................................ ... 7 
4. 2 Sources of information  ................................ ................................ ................................ .........  7 
4.3 Pest database  ................................ ................................ ................................ ........................  8 
5. PRA Stage 1: Initiation  ................................ ................................ ................................ ............  8 
5.1 Initiation points  ................................ ................................ ................................ .......................  8 
5.1.1 Identification of a pathw ay ................................ ................................ ........................  8 
5.1.2 Identification of a pest  ................................ ................................ ................................  9 
5.1.3 Review of phytosanitary policies  ................................ ................................ ............  10 
5.1.4 Identification of an organism not previously known to be a pest  ......................  10 
5.2 Determination of an organism as a pest  ................................ ................................ ..........  11 
5.2.1 Plants as pests  ................................ ................................ ................................ .........  12 
5.2.2 Biological control agents and other beneficial organisms  ................................ .. 12 
5.2.3 Organisms difficult to i dentify or new to science  ................................ .................  13 
5.2.4 Living modified organisms  ................................ ................................ ......................  13 
5.2.5 Import of organisms for specific uses  ................................ ................................ ... 14 
5.3 Defining the PRA area  ................................ ................................ ................................ ........  14 
5.4 Previous pest risk analyses  ................................ ................................ ...............................  14 
5.5 Conclusion of  the initiation stage  ................................ ................................ ......................  14 
6. Summary of PRA Stages 2 and 3  ................................ ................................ .......................  15 
6.1 Linked standards  ................................ ................................ ................................ .................  15 
6.2 Summary of PRA Stage 2: Pest risk assessment  ................................ ..........................  15 
6.3 Summary of PRA Stage 3: Pest risk management  ................................ ........................  16 
7. Aspects Common to all PRA stages  ................................ ................................ ...................  16 
7.1 Uncertainty  ................................ ................................ ................................ ............................  16  
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 7.2 Information gathering  ................................ ................................ ................................ ..........  17 
7.3 Documentation  ................................ ................................ ................................ .....................  17 
7.3.1 Documenting the general PRA process  ................................ ...............................  17 
7.3.2 Documenting each specific PRA  ................................ ................................ ...........  17 
7.4 Risk communication  ................................ ................................ ................................ ............  18 
7.5 Consistency in PRA  ................................ ................................ ................................ ............  19 
7.6 Avoidance o f undue delay  ................................ ................................ ................................ .. 19 
Appendix 1: Pest risk analysis flow chart  ................................ ................................ ...............  19 
Appendix 1: Pest risk analysis flow chart  ................................ ................................ ...............  20 
Appendix 2: Weed risk analysis flowchart  ................................ ................................ ..............  21 
 
Table 2: Example of Listing Potential Quarantine Pests of Ginger as carried out by Nepal ……26  
Table 3: Example of categorization of certa in pest for a risk analysis for importation of citrus ..26 
Table 4: Refers to a pest database of apple as documented by NPPO of Nepal ………………..27  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
iv 
 Abbreviations (frequently used in the standard ) 
 
APPPC    – Asia Pacific Plant Protecti on Commission  
GMO   – Genetically Modified Organism  
IP – Import Permit  
IPPC   – International Plant Protection Convention  
ISPM  – International Standard for Phytosanitary Measures  
LMO  – Living Modified Organism  
MoAD  – Ministry of Agriculture Development  
NSPM  – National Standards for Phytosanitary Measures  
NPPO   – National Plant Protection Organization  
NPQP  – National Plant Quarantine Programme  
PC – Phytosanitary certificate   
PFA    – Pest free area  
PRA      – Pest Risk Analysis  
PP     – Plant Protection  
PPD – Plant Protec tion Directorate  
RNQP  – Regulated Non Quarantine Pest  
RPPO      – Regional Plant Protection Organization  
RSPM   – Regional Standard for Phytosanitary Measures  
SPS    – Sanitary and Phytosanitary  
WTO   – World trade organization  
 
 
 
 
 
 
 
 
 
 
 
 
 
  
1 
 1. Introduction  
1.1 Scope  
This standard provides framework on pest risk analysis (PRA) and technical and administrative 
process to be used by the NPPO so as to justify their phytosanitary measures. It covers the 
three stages of pest risk analysis – initiation, pest risk asses sment and pest risk management.  
The standard focuses on the initiation stage . Generic issues of information gathering, 
documentation, risk communication, uncertainty and consistency are addressed. NSPM 
preparation is based on guidelines and recommendation s developed within the framework of the 
IPPC. This standard also adopted the principles, recommendations and format of ISPM to 
achieve international harmonization of phytosanitary measures with the aim to facilitate trade.  
 
1.2 References  
IPPC . 1997. International Plant Protection Convention . Rome, IPPC, FAO.  
IPPC Procedural Manual, 2006. Website: www.ippc.int/id/159891?language=en  
ISPM 1 . 2006. Phytosanitary principles for the protection of plant s and the application of 
phytosanitary measures in international trade . Rome, IPPC, FAO.  
ISPM 2 . 2007.  Framework for Pest risk analysis. Rome, IPPC, FAO.  
ISPM 3 . 2005. Guidelines for the export, shipment, import and release of biological control 
agents a nd other beneficial organisms . Rome, IPPC, FAO.  
ISPM 5 . Glossary of phytosanitary terms . Rome, IPPC, FAO.  
ISPM 5 Supplement 2. 2003. Guidelines on the understanding of potential economic 
importance and related terms including reference to environmental c onsiderations . Rome, IPPC, 
FAO.  
ISPM 8:       Determination of pest status in an area . Rome, IPPC, FAO.  
ISPM 11 . 2004. Pest risk analysis for quarantine pests including analysis of environmental risks 
and living modified organisms . Rome, IPPC, FAO.  
ISPM 14. 2002. The use of integrated measures in a systems approach for pest risk 
management . Rome, IPPC, FAO.  
ISPM 21 . 2004. Pest risk analysis for regulated non -quarantine pests . Rome, IPPC, FAO.  
Plant Pest Risk Analysis Reference Manual  (2004, November Edit ion) Compiled by  
Biosecurity Australia. 185 pp  
Plant Protection Act , 2007, NPQP, PPD, Nepal  
Plant Protection Regulation , 2010. NPQP, PPD, Nepal  
WTO . 1994. Agreement on the Application of Sanitary and Phytosanitary Measures . Geneva,  
2 
 World Trade Organization .  
1.3 Definitions  
Definition of phytosanitary terms used in the present standard can be found in ISPM 5 ( Glossary 
of phytosanitary terms ) and PP Act, 2007 and Regulation, 2010.  
1.4 Outline of requirements  
     The PRA is the only mechanism by which NPPO  can justify any regulatory actions taken against 
trading partners. PRA is a technical tool developed by the ISPM of IPPC and recognized by 
WTO/SPS Agreement as a decision -making process for analyzing the pest risk.  Pest Risk 
Analysis (PRA) is done to prot ect the country’s agriculture from damages that can be caused by 
harmful (quarantine) pests which can be brought in along with imported commodities.  
The PRA process may be used for organisms not previously recognized as pests (such as 
plants, biological c ontrol agents or other beneficial organisms, living modified organisms), 
recognized pests, pathways and review of phytosanitary policy. The process consists of three 
stages: 1: Initiation; 2: Pest risk assessment; and 3: Pest risk management.  
This standar d provides administrative process and detailed guidance on PRA Stage 1, 
summarizes PRA Stages 2 and 3, and addresses issues generic to the entire PRA process. For 
Stages 2 and 3 it refers to NSPM : “Pest risk analysis for quarantine pests including analysis  of 
environmental risks and living modified organisms ” and NSPM:  “Pest risk analysis for regulated 
non-quarantine pests ” dealing with the PRA process.  
The PRA process is initiated in Stage 1 with the identification of an organism or pathway that 
may be con sidered for pest risk assessment, or as part of the review of existing phytosanitary 
measures, in relation to a defined PRA area. The first step is to determine or confirm whether or 
not the organism being considered is a pest. If no pests are identified, the analysis need not 
continue. The analysis of pests identified in Stage 1 continues to Stages 2 and 3 using gui dance 
provided in this standard .  
2. Background  
PRA is the process of evaluating biological or other scientific and economic evidence to 
determine  whether a pest should be regulated and the strength of any phytosanitary measures 
to be taken against it. The unwanted pests may be introduced into  the country through potential 
carriers such as people, commodities and conveyances. For excluding foreign p ests, 
recognition of these risks measures should be reflected in quarantine legislation to control the 
movement of consignments as a way of protecting plant life and health. All these quarantine 
policy and risk management measures should be based on risk a nalysis to minimize the trade 
barrier.  
NPPO  and quarantine authorities have the mandate for protecting the plant resources, (both 
natural and cultivated ) of their countries from invasive pests entering from outside their borders. 
Nepal being the contractin g party of IPPC and member country of WTO/ SPS attempts to 
prevent the international spread of plant pests through the application of phytosanitary 
measures.  
These measures should be based on pest risk analysis for technical justification and scientific 
evidence to determine whether an organism is a pest.   
3 
 PRA can be regarded as a process to answer the following questions:  
o Is the organism a pest?  
o What is the likelihood of introduction, establishment and spread?  
o How much economic (including environmen tal and social) damage (unacceptable 
impacts) does it cause?  
o What can be done to mitigate unacceptable impacts?  
PRA is conducted  
o To evaluate and manage risk from specific pests and internationally traded commodities  
o Identify and assess risks to agri cultural and  horticultural crops, forestry and the 
environment from plant pests  
o To create lists of regulated pests  
o To produce lists of prohibited plants and plant products  
o To assist in identifying appropriate management options  
NPPO may use PRA for  a variety of reasons - 
o Analyzing risks associated with specific organisms as a pest  
o Analyzing risks associated pathways  
o Analyzing risks associated commodities (such as plants for planting, biological control 
agents and other beneficial organisms, and  living modified organisms (LMOs)) may pose 
a risk of accidentally spreading to unintended habitats causing injury to plants or plant 
products  
o Supporting new policies or changes to existing policies  
The standard does not cover the analysis of risks beyon d the scope of the IPPC.  
This standard provides administrative process to be followed while preparing PRA report and 
detail guidance on PRA stage 1 and issues generic to all PRA s tages, and refers to other ISPM  
/ NSPM s (identified in Table 1) as appropria te for further analysis through PRA stages 2 and 3. 
This standard is conceptual and is not a detail operational or methodological guide for 
assessors. An  
Overview of the full PRA process is illustrated in Appendix 1 and weed risk assessment in 
Appendix 2.  
The standard recognizes three main technical  stages in a PRA:  
      
  Stage 1:  Initiation of the analysis;   
4 
 
    Stage 2:  Risk assessment -the scientific evaluation of the biological risk and potential 
consequences; and  
 
    Stage 3:  Risk management - a process of determining appropriate measures to reduce 
risk. 
Informat ion gathering, documentation and risk communication are carried out throughout the 
PRA process. PRA is not necessarily a linear process because, in conducting the entire 
analysis, it may be necessary to go back and forth between various stages.  
Provisions  of the IPPC regarding pest risk analysis  
The International Plant Protection Convention (IPPC, Article VII.2(a)) requires that: “Contracting 
parties shall not , under their phytosanitary legislation, take any of the measures specified in 
paragraph 1 of th is Article unless such measures are made necessary by phytosanitary 
considerations and are technically justified.”  
Article VI.1(b) requires that phytosanitary measures are: “limited to what is necessary to protect 
plant health and/or safeguard the intende d use and can be technically justified by the 
contracting party concerned.”  
“Technically justified” is defined in Article II.1 as: “justified on the basis of conclusions reached 
by using an appropriate pest risk analysis or, where applicable, another comp arable 
examination and evaluation of available scientific information.”  
Article IV.2(f) states that the responsibilities of the national plant protection organization (NPPO) 
include “the conduct of pest risk analyses”. The issuing of regulations is a resp onsibility of the 
contracting party to the IPPC (Article IV.3(c)), although contracting parties may delegate this 
responsibility to the NPPO.  
In conducting a PRA, the obligations established in the IPPC should be taken into account. 
Those of particular re levance to the PRA process include:  
- cooperation in the provision of information  
- minimal impact  
- non-discrimination  
- harmonization  
- transparency  
- avoidance of undue delay.  
3. General requirements   
3.1 Regulation/ Authority  
The Plant Protectio n Act, 2007 in Article V. 17(1) refers to conduct PRA for determining the 
regulated pests. The PP Act also states the notifying the regulated pests in Gazette (Article V. 
17(2)). The PP Regulation, 2010 in Article II 3(b) prescribes conducting PRA for LMO and GMO  
5 
 for the application of import measures for such.  
 
The NPPO shall be the sole authority to conduct and to forward the final PRA to Plant 
Quaran tine Committee for the approval,  publication of final PRA and enforcement of import 
phytosanitary regulati on as per risk analysis  
3.2 Administrative process  
• PRA Methodology : For conducting PRA, the methodologies should be followed as 
instructed in the National Standard, that is in consistent with the relevant ISPM 5 and the 
requirements of WTO/ SPS Agreement.  
• Communication with stakeholders : NPPO should maintain a register of stakeholders to 
assist effective consultation and communication. Stakeholders may be government 
organization, NPPO members, individual growers and commercial growers or industry 
groups.  
3.2.1 Initiation  
• PRA request :  Requests for PRA seeking to export by the relevant government authorities 
or industry organization may arise or through application to NPPO for import permit for a 
new commodity or review of policy . 
Initiation is the identifica tion of organisms and pathways that may be considered for pest risk 
assessment in relation to the identified PRA area.  
A PRA process may be triggered in the following situations (initiation points, section 4.1): 
- a request is made to consider a pathway th at may require phytosanitary measures  
- a pest is identified that may justify phytosanitary measures  
- a decision is made to review or revise phytosanitary measures or policies  
- a request is made to determine whether an organism is a pest.  
When the PRA pr ocess has been triggered by a request to consider a pathway, the above steps 
are preceded by  assembling a list of organisms of possible regulatory concern because they are 
likely to be associated with a pathway.  
At this stage, information is necessary to i dentify the organism and its potential economic 
impact, which includes environmental impact . 
Other useful information on the organism may include its geographical distribution, host plants, 
habitats and association with commodities (or, for RNQP candidates , association with plants for 
planting).  
The initiation stage involves four steps:  
- determination whether an organism is a pest (section 4.2)  
6 
 - defining the PRA area (section 4.3) 
- evaluating any previous PRA (section 4.4) 
- conclusion (section 4.5). 
3.2.2 Scheduling and scoping  
• PRA work program : NPPO should examine proposals or request to determine which 
one requires  PRA. Required PRA should be scheduled, taking into factors as qualified 
PRA experts, resources & availability of information necessary t o support the analysis.  
•  NPPO should notify about PRA work program with status currently underway to 
stakeholders through mail, letter or website. Provision should be made for changing 
priorities, research needs and resource constraints.  
3.2.3 Consultati ons with other agencies  
• NPPO should closely work with relevant organization/ agencies on PRA work program & 
an arrangement  for PRA that reflects MOU between agencies.  
3.2.4 Formation of a PRA team  
• PRA team members should be able to analyze with sound s cientific judgment as per the 
objectives. A team of experts, including all disciplines (pathologist, entomologist, 
nematologist, weed scientist) should be formed for conducting PRA. Such expertise 
should understand PRA and may be drawn from variety of plac es as government 
agencies, industry, scientific research organization, academic, private consultant. 
Information source should be collected by PRA team so as to prepare the pest list for 
developing the draft PRA.  
3.2.5 Stakeholders consultation  
• When work  on draft PRA is about to commence, NPPO should comment with variety of 
stakeholders for getting information & viewpoints.  
3.2.6 Peer review  
• Before finalizing either the draft or the final PRA report, the team may seek advice from 
independent peer reviewer s  
3.2.7 Notification of draft PRA to WTO  
• The PRA draft should be notified to WTO for the comments  
3.2.8 Preparation of final report  
• PRA team identifies need s to make significant changes to analysis in finalizing report.   
7 
 2.9 Approval of PRA report  
• The PRA team submits the final report to NPPO along with the parameters for import 
and recommendations are forwarded to PQC (Plant Quarantine Committee) for the 
approval for a policy determination  
3.2.10 Final publications of import regulations  
• The import regulati on are then published in Nepal gazette, notified to WTO and also 
placed on website for public  
4. Technical Process  
4.1 Development of resources  
The PRA experts should be provided with National pest database, pest information and  access 
to international dat abases to work with.  
4. 2 Sources of information  
It is important to ensure that the information used to support the PRA is both reliable and  
relevant. The information should be verifiable and retrievable at a later date. Information  
sources should be pro perly cited in the PRA.  In addition to the information provided by the 
exporting country’s NPPO (which can include  official pest lists and pest reports) other sources 
of scientific information may include:  
• published scientific literature, such as reference  books and journals  
• previous PRAs (national or international) and/or PRAs from similar pests or  pathways  
• official files, published and unpublished reports and other correspondence from  
      plant health and quarantine authorities, information from RPPOs  
• pest or commodity databases (e.g. CAB International Crop Protection  
Compendium, and CAB International Forestry Compendium), and other abstract  
compilation services  
• climate data, maps, and models  
• crop production data from the PRA area  
• pest and disease interc eption databases from quarantine authorities  
• data on control or mitigation measures  
• pest records and pest reports  
• the internet and online information sources and list servers   
8 
 • reference collections of plants, insect pests and plant pathogens of agricultural  
      importance  
• trade data  
• expert judgment  (consultation with botanists, entomologists, nematologists,  
      pathologists, plant health and quarantine officers and other experts)  
• national IPPC contact points  
• environmental impact assessments  
4.3 Pest database  
The pest database of commodities should be documented for the information in conducting risk 
assessment and to provide trading partners on request ( see Table 4).  
5. PRA Stage 1: Initiation  
The PRA process begins with the initiation stage. Initiation  is the identification of organisms and 
pathways that may be considered for pest risk assessment (Stage 2).  
PRA may be initiated as a result of:  
o  identification of a pathway that presents a potential pest risk (i.e. is a means of pest 
introduction or sp read)  
o  identification of a pest that may require phytosanitary measures (pest may have been 
detected or intercepted, a request made to import it, or it may have been reported 
elsewhere)  
o review or revision of existing phytosanitary policies and prioriti es  
o  identification of an organism not previously known to be a pest (such as an ornamental 
plant, a biological control agent or LMO)  
PRA’s are most often initiated following a request for market access  
5.1 Initiation points  
5.1.1 Identification of a pa thway  
Any means that allow the entry or spread of a pest could be a pathway eg.  
o An imported commodity (A commodity is a plant or plant product being moved for trade 
or other purposes)  
o a means of transportation or storage   
9 
 o packaging, or other articles  associated with the commodity  
o a natural means of spread (e.g., wind)  
A requirement for a new or revised PRA originating from a specific pathway will most frequently 
arise in the following situations:  
o A request to import something that has not previou sly been imported from the proposed 
country of origin  
o New plant species are imported for selection and scientific research purposes.   
o A pathway other than commodity import is identified ( natural spread, mail, garbage,  
      passenger’s baggage etc.)      
o A different end -use is proposed for a commodity that is already being imported  
      Potato tubers for propagation vs. consumption  
o A new treatment is proposed for a commodity that is already being imported       
o An interception is made  
o Live pe sts are found on a previously unidentified pathway or commodity  
The pathway should be defined as precisely as possible. A list of pests likely to be associated 
with the pathway (e.g. carried by the commodity) may be generated. This is commonly referred 
to as a pest list. When a PRA is carried out for a commodity, records of actual pest interceptions 
should be used to form the basis of the pest list. Regulated pest lists are produced in order to 
inform other countries of the plant quarantine import requireme nts of the NPPO. In developing a 
pest list for a PRA, it may be helpful to examine regulated pest lists of the exporting country to 
determine if a pest is present or not, and if present is under official control. If no potential 
quarantine pests are identi fied as likely to follow the pathway, the PRA may stop at this point 
and the rationale should be recorded.  
Compilation of commodity pests lists (bacteria, fungi, nematodes, viruses, mycoplasms, insects, 
mites, mollusks  & weeds) needs to be developed as per  the guidelines provided by ISPM No.8 “ 
Determination of pest status in an area”.  -   
5.1.2 I dentification of a pest  
A new or revised PRA may become necessary as a result of identification or a report of a 
specific pest, for example:  
•  An emergency arise s on discovery of an established infestation or an outbreak of a new 
pest within the PRA area  
•  An emergency arises on interception of a new pest on an imported commodity  
•  A new pest is identified by scientific research   
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 •  A pest is reported to be more injurious than previously known.  
•  There is a change in the status or incidence of a pest in the PRA area.  
•  A pest is introduced into an area  
•  A pest is reported to be more damaging in an area other than in its area of origin  
•  A pest is repeatedly i ntercepted  
•  A request is made to import an organism for research or other purpose  
•  An organism is identified as a vector for other pests  
•  An organism is genetically altered in a way that impacts its potential to be a pest of plants.  
5.1.3 R eview of p hytosanitary policies  
A requirement for a new or revised PRA originating from policy reviews may arise in the 
following situations:  
•  an NPPO decides to review its phytosanitary regulations, requirements or operations . 
• an official control program is de veloped to avoid unacceptable economic impact of specified 
regulated non -quarantine pests (RNQPs) in plants for planting . 
•  a proposal made by another country or by an international organization is reviewed . 
• a new treatment is developed or proposed, an approved treatment process becomes 
unavailable due to regulatory, economic or technical reasons, or new treatment information 
on an existing treatment influences an earlier decision . 
•  a dispute arises over a phytosanitary measure . 
•  the phytosanitary si tuation in a country changes, a new country is created, or political 
boundaries are changed . 
A request for a PRA may also arise if a country’s policies differ from those of another country 
relative to a specific commodity which is proposed for trade.  
5.1.4 Identification of an organism not previously known to be a pest  
An organism may be considered for PRA in situations such as when:  
- a proposal is made to import a new plant species or variety for cropping, amenity or      
environmental purposes .  
- a proposal is made to import or release a biological control agent or other beneficial organism .  
- an organism is found that has not yet been fully named or described or is difficult to identify   
11 
 - a proposal is made to import an organism for research, analys is or other purpose .  
- a proposal is made to import or release an LMO.  
In these situations it would be necessary to determine if the organism is a pest and thus subject 
to PRA Stage 2. Section 4.2 provides fur ther guidance in this matter.  
5.2 Determinat ion of an organism as a pest  
Many kinds of organisms may come to the attention of an NPPO, either by way of their  
association or potential association, with plants and plant products, or as a result of a request  to 
import or export a product. Before comme ncing the pest risk assessment stage of the PRA,  it is 
necessary to determine if the organism is a pest according to the IPPC definition.  The 
taxonomic identity of the organism should be specified so that any biological and other 
information used should be  relevant to the organism in question. If the organism has not yet 
been fully named or described, then, to be determined as a pest, it should at least have been 
shown to be identifiable, consistently to produce injury to plants or plant products (e.g. 
symp toms, reduced growth rate, yield loss or any other damage) and to be transmissible or able 
to disperse.  
The taxonomic level for organisms considered in PRA is usually the species. The use of a 
higher or lower taxonomic level should be supported by a scien tifically sound rationale. In cases 
where levels below the species level are being analyzed, the rationale for this distinction should 
include evidence of reported significant variation in factors such as virulence, pesticide 
resistance, environmental adap tability, host range or its role as a vector.  
Predictive indicators of an organism are characteristics that, if found, would suggest the 
organism may be a pest. The information on the organism should be checked against such 
indicators, and if none are fou nd, it may be concluded that the organism is not a pest, and the 
analysis may be ended by recording the basis of that decision.  
The following are examples of indicators to consider:  
- previous history of successful establishment in new areas  
- phytopath ogenic characteristics  
- phytophagous characteristics  
- presence detected in connection with observations of injury to plants, beneficial organisms etc. 
before any clear causal link has been established  
- belonging to taxa (family or genus) commonly con taining known pests  
- capability of acting as a vector for known pests  
- adverse effects on non -target organisms beneficial to plants (such as pollinators or predators 
of plant pests).  
Particular cases for analysis include plant species, biological cont rol agents and other beneficial 
organisms, organisms which have not yet been fully named or described, or are difficult to  
12 
 identify, intentional import of organisms and LMOs. The pest potential of LM -plants should be 
determined as outlined in section 5.2.4.  
5.2.1 Plants as pests  
Plants as pests may also be introduced unintentionally into a country, for example as weeds, 
contaminants of seeds for sowing, grain for consumption or fodder, wool, soil, machinery, 
equipment, vehicles, containers or ballast wate r.  
Plants as pests may affect other plants by competing for water, light, minerals etc. or through 
direct parasitism and thus suppressing or eliminating other plants. Imported plants may also 
affect, by hybridization, plant populations under cultivation o r in the wild flora, and may become 
pests for that reason. For further information details is provided in NSPM : pest risk analysis for 
quarantine pests including analysis of environmental risks and living modified organisms .  
The primary indicator that a p lant species may become a pest in the PRA area is the existence 
of reports that the plant species has been recorded as a pest elsewhere. Some intrinsic 
attributes that may indicate that a plant species could be a pest include:  
- adaptability to a wide ran ge of ecological conditions  
- strong competitiveness in plant stands  
- high rate of propagation  
- ability to build up a persistent soil -seed bank  
- high mobility of propagules  
- allelopathy  
- parasitic capacity  
- capacity to hybridize.  
However, it should be noted that plants without such attributes may nevertheless become pests 
and that long time lags have often been observed between the introduction of a new plant 
species and evidence that the plant is a pest.  
5.2.2 Biological control agents and ot her beneficial organisms  
Biological control agents and other beneficial organisms are intended to be beneficial to plants. 
Thus, when performing a PRA, the main concern is to look for potential injury to non -target 
organisms3. Other concerns may include:  
- contamination of cultures of beneficial organisms with other species, the culture thereby acting 
as a pathway for pests  
- reliability of containment facilities when such are required.   
13 
 5.2.3 Organisms difficult to identify or new to science  
During insp ection of imported consignments or during surveillance, organisms may be  detected 
that are difficult to identify (e.g., damaged specimens or unidentifiable life stages) or  are new to 
science. Although in such cases the information available may be very lim ited, a  decision may 
need to be made as to whether phytosanitary action is justified. When  organisms  have been 
detected that are difficult or impossible to identify, recommendations for  phytosanitary measures 
may have to be made based on incomplete identif ication or  information.  These should be based 
on a PRA using the information available, even if very limited. It is recommended that, in such 
cases, specimens are deposited in an accessible reference collection for future further 
examination.  
5.2.4 Living  modified organisms  
LMOs are organisms that possess a novel combination of genetic material, obtained through the 
use of modern biotechnology and are designed to express one or more new or altered traits. 
Types of LMOs for which a PRA may be conducted inc lude:  
- plants for use in agriculture, horticulture or silviculture, bioremediation of soil, for industrial 
purposes, or as therapeutic agents (e.g. LMO plants with an enhanced vitamin profile)  
- biological control agents and other beneficial organisms m odified to improve their performance  
- pests modified to alter their pathogenic characteristics.  
The modification may result in an organism with a new trait that may now present a pest risk 
beyond that posed by the non -modified recipient or donor organis ms, or similar organisms. 
Risks may include:  
- increased potential for establishment and spread  
- those resulting from inserted gene sequences that may act independently of the organism with 
subsequent unintended consequences  
- potential to act as a vec tor for the entering of a genetic sequence into domesticated or wild 
relatives of that organism, resulting in an increase in the pest risk of that related organism  
- in case of a modified plant species, the potential to act as a vector for the entering of  an 
injurious genetic sequence into relatives of that species.  
PRA is usually concerned with phenotypic rather than genotypic characteristics. However, 
genotypic characteristics should also be considered when assessing the pest risks of LMOs.  
Predictive indicators more specific to LMOs include intrinsic attributes such as:  
- phenotypic similarities or genetic relationships to known pest species  
- introduced changes in adaptive characteristics that may increase the potential for introduction 
or spread  
- phenotypic and genotypic instability.   
14 
 For LMOs, identification requires information regarding the taxonomic status of the recipient and 
the donor organism, and description of the vector, the nature of the genetic modification, and 
the genetic sequence an d its insertion site in the recipient genome.  
Further potential risks of LMOs are outlined in Annex 3 to NSPM : pest risk analysis for 
quarantine pests including analysis of environmental risks and living modified organisms . A PRA 
may be carried out to dete rmine whether the LMO is a pest, and subsequently assess the pest 
risk. 
5.2.5 Import of organisms for specific uses  
When a request is made to import an organism that may be a pest for use in scientific research, 
education, industry or other purposes, the identity of the organism should be clearly defined. 
Information on the organism or closely related organisms may be assessed to identify indicators 
that it may be a pest. For organisms determined to be pests, pest risk assessment may be 
carried out.  
5.3 Defining the PRA area  
The PRA may be a whole country, part of a country or several countries together. It is  important 
that the PRA clearly define the area to which it applies, and that all considerations in the PRA 
(i.e., assessment of potential distributio n or potential impacts, consideration of other influences, 
or evaluation of phytosanitary measures) apply to the same area.  
5.4 Previous pest risk analyses  
Before performing a new PRA, a check should be made to determine if the organism, pest or 
pathway h as ever been subjected to a previous PRA. The validity of any existing analysis 
should be verified because circumstances and information may have changed.  
The possibility of using a PRA of a similar organism, pest or pathway may also be investigated, 
particularly when information on the specific organism is absent or incomplete. Information 
assembled for other purposes, such as environmental impact assessments of the same or a 
closely related organism may be useful but cannot substitute for a PRA.  
5.5 Conclusion of the initiation stage  
At the end of Stage 1, the pests and pathways of concern have been determined and the PRA 
area identified. Relevant information has been gathered, pathways and pests have been 
identified for further assessment either commodi ty wise (pathway) or individually (pest wise).. If 
the pests need to be regulated as an RNQP, the process may proceed immediately to the pest 
categorization step of pest risk assessment ( PRA stage 2) of NSPM  pest risk analysis for 
quarantine pests includi ng analysis of environmental risks and living modified organisms  
. 
Organisms that have been determined not to be pests, and pathways not carrying pests, do not 
need to be assessed further. The decision and rationale to stop the PRA at this point should be 
recorded a nd communicated, as appropriate.   
15 
 6. Summary of PRA Stages 2 and 3  
6.1 Linked standards  
The PRA process for different pest categories is described separate ly in NSPMs  and ISPM , as 
summarized in Table 1.  
Table 1: Standards linked to NSPM 2  
NSPMs  Title  Coverage of PRA  
NSPM :  
 Pest risk analysis for 
quarantine pests including 
analysis of environmental 
risks and living modified 
organisms  Specific guidance on PRA 
of quarantine pests 
including:  
- Stage 1: Initiation1  
- Stage 2: Pest risk 
assessm ent including 
environmental risks and 
LMO assessment  
- Stage 3: Pest risk 
management  
NSPM:   Pest risk analysis for 
regulated non -quarantine 
pests  Specific guidance on PRA 
of regulated non -
quarantine pests including:  
- Stage 1: Initiation1  
- Stage 2: Pest risk 
assessment especially of 
plants for planting as the 
main source of infestation 
and economic impact on 
their intended use  
- Stage 3: Pest risk 
management  
ISPM 3:  Guidelines for the export, 
shipment, import and 
release of biological 
control age nts and other 
beneficial organisms  Specific guidance on pest 
risk management for 
biological control agents 
and beneficial organisms2  
 
   
6.2 Summary of PRA Stage  2: Pest risk assessment  
Stage 2 of PRA is the assessment of pest risk. There are three ste ps to this stage:  
• Step 1: pest categorization  
• Step 2: assessment of the probability of introduction (entry and establishment) and spread  
• Step 3: assessment of potential impacts of introduction and spread  
• Conclusion, summarizing the overall pest ris k on the basis of assessment results regarding 
introduction, spread and potential economic impacts for quarantine pests, or economically 
unacceptable impacts for regulated non -quarantine pests.   
16 
 The outputs from pest risk assessment are used to decide if th e pest risk management stage 
(Stage 3) is required..  
6.3 Summary of PRA Stage 3: Pest risk management  
Stage 3 involves the identification of phytosanitary measures that (alone or in combination) 
reduce the risk to an acceptable level.  
Phytosanitary meas ures are not justified if the pest risk is considered acceptable or if they are 
not feasible (e.g. as may be the case with natural spread). However, even in such cases 
contracting parties may decide to maintain a low level of monitoring or audit regarding the pest 
risk to ensure that future changes in that risk are identified.  
The conclusion of the pest risk management stage will be whether or not appropriate 
phytosanitary measures adequate to reduce the pest risk to an acceptable level are available, 
cost-effective and feasible.  
7. Aspects Common to all PRA stages  
7.1 Uncertainty  
Uncertainty is inherent to any PRA as complete information is seldom available. Most  
analyses performed during pest risk assessment use historical data to predict the future, a ndthis 
can result in varying degrees of uncertainty. It is a component of risk and needs to recognize  
and document when performing PRA.  
Uncertainty can be grouped into types of uncertainty and sources of uncertainty, as described  in 
the following table.  
Type of 
uncertainty  Possible sources of 
uncertainty  Methods to cope with 
uncertainty  
 
Uncertainty in data  
value  
 Missing data, inaccurate 
data,  
non-representative data  
 Collect further data, analysis of 
statistical properties of 
datasheets, validate data wi th 
observation  
 
Structural 
uncertainty  Some pathways not 
considered,  
pathways described  
inappropriately, inadequate  
epidemiological models  
 Define limits to the risk being  
examined, specify assumptions,  
compare contrasting models,  
compare model outputs us ing 
different inputs  
  
17 
 Unpredictability  Random events in complex  
systems, pest behaviour,  
human behaviour  
 Specify all plausible scenarios, 
state  
assumptions and subjective  
judgments  
 
 
 
7.2 Information gathering  
Information gathering is essential to comp lete all stages of a PRA.. The risk analyst will  
need to judge all of the information needed to reach recommendations and conclusions. 
Scientific publications as well as technical information such as data from surveys and 
interceptions may be relevant. As the analysis progresses, information gaps may be identified 
necessitating further enquiries or research. Where information is insufficient or inconclusive, 
expert judgment may be used if appropriate.  
Cooperation in the provision of information and respondi ng to requests for information should be 
made through the SPS enquiry point, DFTQC (Department  of food technology and quality 
control)as per IPPC obligations (Articles VIII.1(c) and VIII.2). When requesting information from 
other contracting parties, reque sts should be as specific as possible and limited to information 
essential to the analysis.  
7.3 Documentation  
The principle of transparency requires that contracting parties should, on request, make 
available the technical justification for phytosanitary  requirements. Thus, the PRA should be 
sufficiently documented. Documenting PRA has two levels:  
- documenting the general PRA process  
- documenting each analysis made.  
7.3.1 Documenting the general PRA process  
The NPPO should preferably document proced ures and criteria of its general PRA process.  
7.3.2 Documenting each specific PRA  
For each particular analysis, the entire process from initiation to pest risk management should 
be sufficiently documented so that the sources of information and rationale for management 
decisions can be clearly demonstrated. However, a PRA does not necessarily need to be long 
and complex. A short and concise PRA may be sufficient provided justifiable conclusions can be 
reached after completing only a limited number of steps  in the PRA process.  
The main elements to be documented are:  
- purpose of the PRA  
- identity of the organism   
18 
 - PRA area  
- biological attributes of the organism and evidence of ability to cause injury  
- for quarantine pests: pest, pathways, endangered  area  
- for RNQPs: pest, host, plants and/or parts or class of plants under consideration, sources of 
infestation, intended use of the plants  
- sources of information  
- nature and degree of uncertainty and measures envisaged to compensate for uncertaint y  
- for pathway -initiated analysis: commodity description and categorized pest list  
- evidence of economic impact, which includes environmental impact  
- conclusions of pest risk assessment (probabilities and consequences)  
- decisions and justifications  to stop the PRA process  
- pest risk management: phytosanitary measures identified, evaluated and recommended  
- date of completion and the NPPO responsible for the analysis, including if appropriate names 
of authors, contributors and reviewers.  
 
Other a spects to be documented may include4:  
- particular need for monitoring the efficacy of proposed phytosanitary measures  
- hazards identified outside the scope of the IPPC and to be communicated to other authorities.  
7.4 Risk communication  
Risk communica tion is generally recognized as an interactive process allowing exchange of 
information between the NPPO and stakeholders. It is not simply a one -way movement of 
information or about making stakeholders understand the risk situation, but is meant to reconc ile 
the views of scientists, stakeholders, politicians etc. in order to:  
- achieve a common understanding of the pest risks  
- develop credible pest risk management options  
- develop credible and consistent regulations and policies to deal with pest risk s  
- promote awareness of the phytosanitary issues under consideration.  
At the end of the PRA, evidence supporting the PRA, the proposed mitigations and uncertainties 
should preferably be communicated to stakeholders and other interested parties, includin g other 
contracting parties, RPPOs and NPPOs, as appropriate.   
19 
 As per PRA, phytosanitary requirements, restrictions or prohibitions are adopted, the NPPO 
shall immediately publish and transmit those to contracting parties that it believes may be 
directly a ffected (according to IPPC Article VII.2(b)) and on request make the available to any 
contracting party (according to IPPC Article VII.2(c)).  
7.5 Consistency in PRA  
It is recommended that an NPPO strives for consistency in its conduct of PRAs. Consistenc y 
offers numerous benefits, including:  
- facilitation of the principles of non -discrimination and transparency  
- improved familiarity with the PRA process  
- increased efficiency in completing PRAs and managing related data  
- improved comparability betw een PRAs conducted on similar products or pests, which in turn 
aids in development and implementation of similar or equivalent management measures.  
Consistency may be assured through, for example, the elaboration of generic decision criteria 
and procedura l steps, training of individuals conducting PRA, and review of draft PRAs.  
7.6 Avoidance of undue delay  
Where other contracting parties are directly affected, the NPPO should, on request, supply 
information about the completion of individual analyses, an d if possible the anticipated time 
frame, taking into account avoidance of undue delay (section 2.14 of ISPM 1:2006).  
Appendix  1: Pest risk analysis flow chart  
Appendix 2: Weed Risk Analysis Flowchart  
Table 2: Example of Listing Potential Quarantine Pests of Ginger as carried out by Nepal 
PRA  
Table 3: Example of categorization of certain pest for a risk analysis for the importation 
of citrus  
Table 4: Refers to a pest database of apple as documented by NPPO of Nepal.  
 
 
 
 
 
 
 
 
 
  
20 
 Appendix 1: Pest risk analysis  flow chart  
  
21 
 Appendix 2: Weed risk analysis flowchart  
 
 
 
    
 
     
    
 
        Stop Assessment  
         N     
 
        Y 
 
 
     Stop Assessment  
         N 
     
         Y            
 
 
              
 
          
         Y        
 
 
    N  
     Accept  
 
       
                    Y 
               N 
 
 
 
 
              Y   Y  N 
 
 
         N     Accept  
 
 
              Y 
 
      Reject  
 
Y= Yes  
N= No  
 Identification  
Pathway for 
introduction  
Exotic 
species  
Present in 
country  
Of limited distribution 
and under Official 
control  
Significant Weed 
elsewhere?  Score for Weed 
risk factors ≥ 6? 
Likely to establish & 
spread   
22 
  
Table 2: Example of Listing Potential Quarantine Pests of Ginger as carried out by Nepal PR A 
 
Global 
pests in 
CPC (A)  Nepal Pests 
in NPD (B)  Pests of 
Nepal in 
CPC  (C)  Pests reported in 
literatures in 
Nepal  
(D) Potential Quarantine 
pests for Nepal (A -
(B+C+D)  
Adoretus 
sinicus  
Burmeister 
(rose beetle)   
Coleoptera: 
Scarabaeidae  Calobata  sp.  
Diptera: 
Micropezidae  Aleurocanthus 
woglumi  Ashley 
(citrus blackfly)                                                
Hemiptera: 
Aleyrodidae  Brahmina 
coriacea (Hope)                 
Coleoptera: 
Scarabaeidae  Adoretus sinicus  Burmeister 
(rose beetle)                                                                   
Coleoptera: Scarabaeidae  
  Adoretus 
versutus  
Harold                       
(rose beetle)                                                                     
Coleoptera: 
Scarabaeidae  Conogethes 
punctiferal is 
(Guenee) (castor 
capsule borer)          
Lepidoptera: 
Crambidae  Aspidiotus 
destructor  
Signoret 
(coconut scale)                                                 
Hemiptera: 
Diaspididae  Lasioderma 
serricorne Fabricius 
(cigarette beetle)                                             
Coleoptera: 
Anobiidae  Adoretus versutus  Harold                       
(rose beetle)                                                                     
Coleoptera: Scarabaeidae  
Aleurocanthu
s woglumi  
Ashley (citrus 
blackfly)                                                
Hemiptera: 
Aleyrodidae  Dorylus 
orientalis Westwo
od                        
Hymenoptera: 
Formicidae  Atherigona 
orientalis  Shiner 
(pepper fruit fly) 
Diptera: 
Muscidae  Stegobium paniceum  
(Linnaeus) (drugstore 
beetle)                                           
Coleoptera: 
Anobiidae  Aspidiella hartii  (Cockerell)                     
(yam scale) Hemiptera: 
Diaspididae  
 
 
 
 
Table 3: Example of categorization of certain pest for a risk analysis for the importation of citrus   
Scien tific 
name  Common 
name  Present in 
exporting 
country  
(Yes/No)  Present in 
importing 
country  
(Yes/No)  Associated 
with 
commodity 
(pathway)  Consider 
further 
(Yes/No)  
Elsinoe 
fawcetti  
 Citrus scab  Yes No Yes (infects 
fruit, leaves 
and twigs)  Yes 
Bactocera 
dorsalis Oriental 
fruitfly  Yes Yes Yes ( 
infects 
fruits)  Yes 
Candidatus 
liberibacter 
asiaticus  Huanglongbi
ng Yes Yes Yes (live 
host plants, 
stem 
,leaves)  No 
 
 
 
Table 4: Refers to a pest database of apple as documented by NPPO of Nepal .  
23 
 Pest 
Catego
ry Scientif
ic 
Name 
of Pest  Comm
on 
Name 
of Pest  Com
mon 
Nam
e of 
Host Plant 
Parts 
Affected  Location  Symptom  Collect
or Identifi
er Verifie
r 
Insecta  Actias 
selene Luna 
moth Appl
e Stems, 
Leaves  Central 
Region, 
Kathmand
u, 
Kathmand
u Leaf 
defoliation
. K.C. 
Sharma  Not 
Reporte
d Not 
Reporte
d 
Insecta  Adoretu
s 
limbatu
s  Appl
e Not 
reported  Central 
Region, 
Kathmand
u, Kakani  Not 
reported.  D.R. 
Sharma  Not 
Reporte
d Not 
Reporte
d 
Insecta  Anomis 
mesogo
na  
Appl
e Leaves  Central 
Region, 
Kathmand
u, Kirtipur  Not 
reported.  K.C. 
Sharma  Not 
Repo rte
d Not 
Reporte
d 
Insecta  Aphis 
gossypii   
Appl
e Stems, 
Leaves, 
Flowers & 
Inflorescen
ce Not known  Leaves: 
abnormal 
colours; 
abnormal 
forms; 
wilting; 
honeydew 
or sooty 
mould. Not 
Reporte
d 
Not 
Reporte
d Not 
Reporte
d