Agricultural Quarantine 

Inspection Monitoring (AQIM) 

Handbook
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the performance of the processes described in this manual is solely the responsibility of the user. APHIS 

does not indemnify the user against liability for patent infringement and will not be liable to the user or to any 

third party for patent infringement.

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When using pesticides, read and follow all label instructions.

Third Edition Issued 2021
05/2023-24 AQIM Handbook TOC-1-1

AQIM 

Handbook

Contents

Figures LOF-1-1

Tables LOT-1-1

Introduction 1-1-1

Overview 2-1-1

The Government Performance and Results Act 2-2-1

Strategic Plans, Performance Plans, Reports, and Budgets 2-3-1

Agriculture Quarantine Inspection Monitoring (AQIM) 2-4-1

Statistics and AQIM 2-5-1

Fundamentals of Risk Analysis 2-6-1

AQIM Sampling Process 2-7-1

Start-up 3-1-1

Work Location Set-Up for AQIM 3-1-1

Roles and Responsibilities 3-2-1

Pathways 4-1-1

Air Passenger Baggage 4-2-1

Air Cargo 4-3-1

Maritime Cargo 4-4-1

Mail Facility 4-5-1

Northern Border Vehicles 4-6-1

Northern Border Truck Cargo 4-7-1

Southern Border Vehicles 4-8-1

Southern Border Truck Cargo 4-9-1

Appendix A A-1-1

Government Performance Results Modernization Act of 2010 A-1-1

Appendix B B-1-1

Key Contacts B-1-1

Appendix C C-1-1

Trade Articles C-1-1

Appendix D D-1-1

Samples Of Standard Operating Procedures (SOPs) D-1-1

Appendix E E-1-1

Pathway Monitoring E-1-1

Glossary Glossary-1-1

Index Index-1-1
TOC-1-2 AQIM Handbook 05/2023-24
08/2021-12 AQIM Handbook LOF-1-1

AQIM 

Handbook

Figures

Figure 2-5-1 An Example of a Listing Data 2-5-5

Figure 2-5-2 Printout of Records Having Specific Information 2-5-6

Figure 2-5-3 Printout of Frequencies of Items Intercepted 2-5-6

Figure 2-5-4 Example of Frequencies Displayed Using Pie Chart 2-5-7

Figure 2-6-1 A Model of a Risk Analysis Process 2-6-3

Figure 2-6-2 Pest Risk Assessment Model 2-6-4

Figure 2-7-1 Example of Sampling for Information Versus for Detection 2-

7-2

Figure 2-7-2 Example of Importance of Knowing Your Population 2-7-6
Figures

LOF-1-2 AQIM Handbook 08/2021-12
08/2021-12 AQIM Handbook LOT-1-1

AQIM 

Handbook

Tables

Table 1-1-1 How to Use Decision Tables 1-1-6

Table 1-1-2 Reporting Issues with or Suggestions for the AQIM 

Handbook 1-1-9

Table 2-2-1 One Way of Viewing the Difference Between the Old Framework and that of GPRA 2-2-2

Table 2-7-1 Summary Comparison to Determine the Most Appropriate Type 

of Sampling 2-7-3

Table 2-7-2 Example of How Sample Size Changes the Width of the Confidence Interval 2-7-7

Table 3-2-1 Checklist for Roles and Responsibilities 3-2-3

Table 4-3-1 Hypergeometric Table for Random Sampling in Commodity 

Inspection 4-3-5

Table 4-3-2 Air Cargo Procedures Summary 4-3-7

Table 4-3-3 AQIM Sampling Procedures for Multiple Commodities in 

Cargo 4-3-8

Table 4-4-1 Hypergeometric Table for Random Sampling in Commodity 

Inspection 4-4-5

Table 4-4-2 Maritime Cargo Procedures Summary 4-4-7

Table 4-4-3 AQIM Sampling Procedures for Multiple Commodities in 

Cargo 4-4-8

Table 4-6-1 Sampling Protocol Based on Number of Personnel 4-6-2

Table 4-6-2 Northern Border Vehicle Sample Numbers 4-6-2

Table 4-6-3 Example of Number of Vehicles Sampled and Approach 

Rate 4-6-6

Table 4-7-1 Hypergeometric Table for Random Sampling 4-7-4

Table 4-7-2 Northern Border Truck Cargo Procedures Summary 4-7-6

Table 4-7-3 AQIM Sampling Procedures for Multiple Commodities in 

Cargo 4-7-7

Table 4-8-1 Sampling Protocol Based on Number of Personnel 4-8-2

Table 4-8-2 Example of Number of Vehicles Sampled and Approach 

Rate 4-8-7

Table 4-9-1 Hypergeometric Table For Random Sampling 4-9-6

Table 4-9-2 Southern Border Truck Cargo Procedures Summary 4-9-7

Table 4-9-3 AQIM Sampling Procedures for Multiple Commodities in 

Cargo 4-9-8

Table D-1-1 Example of Charts to Perform Random Sampling 

Procedure D-1-6

Table D-1-2 Schedule of Random Sample Times Month D-1-7
Tables

LOT-1-2 AQIM Handbook 08/2021-12
05/2023-24 AQIM Handbook 1-1-1

Chapter

1

Introduction

Contents

Purpose 1-1-1

Scope 1-1-2

Users 1-1-3

Related Documents 1-1-4

Conventions 1-1-4

Advisories 1-1-4

Boldface 1-1-5

Bullets 1-1-5

Chapters 1-1-5

Contents 1-1-5

Control Data 1-1-5

Decision Tables 1-1-6

Examples 1-1-6

Footnotes 1-1-6

Heading Levels 1-1-7

Hypertext Links (Highlighting) to Tables, Figures, and Headings 1-1-7

Indentions 1-1-7

Italics 1-1-7

Numbering Scheme 1-1-7

Transmittal Number 1-1-8

Using the Manual 1-1-8

Reporting Issues with or Suggestions for the AQIM Handbook 1-1-9

Manual Updates 1-1-9

Ordering Additional Manuals and Revisions 1-1-9

Purpose

The AQIM Handbook provides an information source for:

Analyzing information enabling managers to make risk-based decisions

Implementing AQIM activities,

Training employees about risk analysis and management
Introduction

Scope

1-1-2 AQIM Handbook 05/2023-24

Scope

The AQIM Handbook covers background information about the Government 

Performance Results Act (GPRA) and its influence to integrate risk analysis 

and risk management into Agriculture Quarantine Inspection (AQI) program. 

With that introduction, the Handbook then provides necessary information 

about statistics, risk analysis, and a sampling process to provide the foundation 

for implementing AQIM. Next, the Handbook provides guidelines and 

instruction for setting up designated locations for AQIM. The remainder of the 

Handbook is divided into pathway sections.

Given that AQIM is a different way of conducting business, this Handbook is 

an attempt to provide officers and managers with background and guidance to 

implement AQIM activities. As processes improve and are developed, the 

Handbook will expand in its scope. Along with specific documents written to 

establish local procedures, such as a standard operating procedure, this 

Handbook will serve as the information tool for implementing AQIM activities 

and for training individuals about risk analysis and risk management.

The Handbook is divided into several major sections:

Introduction

The Government Performance and Results Act

Strategic Plans, Performance Plans, Reports and Budgets

Statistics and AQIM

Fundamentals of Risk Analysis

AQIM Sampling Process

Start-Up

Air—Passenger Baggage

Air—Cargo 

Maritime—Cargo

Mail Facility

Northern Border—Vehicles

Northern Border—Truck Cargo

Southern Border—Vehicles

Southern Border—Truck Cargo

Glossary

Appendixes
Introduction

Users

05/2023-24 AQIM Handbook 1-1-3

Index

The Introduction section provides basic information about the Handbook and 

information that supports AQIM activities. The information includes 

background; the GPRA; strategic plans, performance plans, reports, and 

budgets; agriculture quarantine inspection monitoring; basic statistics and their 

importance to AQIM activities; the fundamentals of risk analysis; and the 

sampling process established for AQIM activities.

The Start-Up section provides a list of activities for setting up a designated 

location that is implementing AQIM, the roles and responsibilities of 

individuals involved, and a checklist to help designated locations implement 

AQIM.

The pathway sections have national guidelines developed for a specific 

pathway covering the following topics:

Introduction and sampling guidelines

Data collection and maintenance guidelines

Data analysis guidelines (not all pathways)

The Appendixes list information, such as governing Acts, key contacts, duties, 

and samples of standard operating procedures.

The Glossary defines specialized words, abbreviations and acronyms, and 

other difficult terms used related to risk analysis, risk management, and AQIM.

Users

The AQIM Handbook is used primarily by CBP Agriculture Specialists, PPQ 

employees (including officers, managers, technicians, identifiers) involved in 

AQIM activities. The users would include those who are responsible for:

Completing data worksheets

Conducting risk management

Determining a random sampling scheme

Documenting statistical information

Entering information into the Agricultural Risk Management System 

(ARM)

Interpreting information in ARM
Introduction

Related Documents

1-1-4 AQIM Handbook 05/2023-24

Monitoring AQIM implementation

Secondary users of the information in this Handbook would include specialists 

of PPQ’s Permits and Risk Assessments and cooperators from Veterinary 

Services and other Federal agencies.

Related Documents

The Government Performance Results Act (GPRA) of 1993 is the basis for 

implementing AQIM. Refer to The Government Performance and Results Act

on page 2-2-1.

Another related document is titled, “Safeguarding American Plant Resources” 

dated July 1, 1999. This document describes the systems needed to deliver 

plant protection programs. AQIM activities support a safeguarding system 

founded on risk-based pathway studies and performance measurement that 

allow maximum effectiveness of operations.

Conventions

Conventions are established by custom and are widely recognized and 

accepted. Major conventions used in this manual follow.

Advisories

Advisories are used throughout this Handbook to bring important information 

to your attention. Please carefully review each advisory. The definitions 

coincide with the American National Standards Institute (ANSI), with the goal 

of making the warnings easy to recognize and understand, thus limiting the 

human and dollar cost of foreseeable errors and accidents,1

 and are in the 

format shown below.

1 TCIF Guideline, Admonishments (Safety-Related Warning Message), TCIF-99-021 Issue 1, p.4.

! DANGER

Danger box message is used in the event of imminent risk of death or serious injury.

! WARNING

Warning box message is used in the event of possible risk of serious injury.

! CAUTION

Caution box message is used for tasks involving minor to moderate risk of injury.
Introduction

Conventions

05/2023-24 AQIM Handbook 1-1-5

Boldface

Boldface type is used to emphasize important words throughout this manual. 

These words include, but are not limited to: cannot, do not, does not, except, 

lacks, must, neither, never, nor, not, only, other than.

Bullets

Bulleted lists indicate that there is no order of priority to the information being 

listed.

Change Bar

A black change bar in the left margin is used to indicate a change appearing on 

a revised page.

Chapters

This manual contains several chapters covering the basics of statistics and 

sampling, along with detailed sampling procedures for each pathway.

Contents

Every chapter has a table of contents listing only the first- and second-level 

headings within the chapter.

Control Data

Control data is located at the top and bottom of each page to help users keep 

track of where they are in the manual and be aware of updates to specific 

chapters, sections, appendixes, etc., in the manual. At the top of the page is the 

chapter title and first-level heading for that page. At the bottom of the page is 

the transmittal number (month, year, number), manual title, page number, and 

unit responsible for content. To track revisions, use the control data.

NOTICE

Notice box message is used to alert a reader of important information or Agency policy.

SAFETY

Safety box message is used for general instructions or reminders related to safety.
Introduction

Conventions

1-1-6 AQIM Handbook 05/2023-24

Decision Tables

Decision tables are used throughout the manual. The first and middle columns 

in each table represent conditions, and the last column represents the action to 

be taken after all conditions listed for that row are considered. Begin with the 

column headings and move left to right, and if the condition does not apply, 

then continue one row at a time until you find the condition that does apply.

Examples

Examples are used to clarify a point by applying it to a real-world situation. 

Examples always appear in boxes as a means of visually separating them from 

the other information contained on a page.

Footnotes

Footnotes comment on or cite a reference to text and are referenced by number. 

The footnotes used in this manual include general text footnotes, figure 

footnotes, and table footnotes.

General text footnotes are located at the bottom of the page.

When space allows, figure and table footnotes are located directly below the 

associated figure or table. However, for multi-page tables or tables that cover 

the length of a page, footnote numbers and footnote text cannot be listed on 

the same page. If a table or figure continues beyond one page, the associated 

footnotes will appear on the page following the end of the figure or table.

Table 1-1-1 How to Use Decision Tables

If you: And if the condition 

applies: Then:

Read this column cell and 

row first

Continue in this cell TAKE the action listed in this 

cell

Find the previous condition 

did not apply, then read this 

column cell

Continue in this cell TAKE the action listed in this 

cell

EXAMPLE Examples are graphically placed boxes within the text as a means of 

visually separating information from other information contained on 

the page. Examples will always appear in a box.
Introduction

Conventions

05/2023-24 AQIM Handbook 1-1-7

Heading Levels

Within each chapter and section there are four heading levels. The first-level 

heading is indicated by a horizontal line across both left and right columns 

with the heading language across the left and right columns directly 

underneath. The body text after a first-level heading is located inside the 

margined text area, one line after the heading language. The second- and thirdlevel headings are inside the margined text area with the body text following 

underneath. The fourth-level heading is inside the margined text area followed 

by a period and leading into the text.

Hypertext Links (Highlighting) to Tables, Figures, and 

Headings

Figures, headings, and tables are cross-referenced in the body of the manual 

and are highlighted in boldface type. These appear in blue hypertext in the 

online manual.

Indentions

Entry requirements which are summarized from CFRs, import permits, or 

policies are indented on the page.

Italics

The following items are italicized throughout this Handbook:

Cross-references to headings

Publication names

Scientific names of commodities

Numbering Scheme

A three-level numbering scheme is used in this manual for pages, tables, and 

figures. The first number represents the section. The second number represents 

the chapter. The third number represents the page, table, or figure. This 

numbering scheme allows for easier updating and adding pages without having 

to reprint an entire section. Dashes are used in page numbering to differentiate 

page numbers from decimal points.

EXAMPLE Refer to Reporting Issues with or Suggestions for the AQIM 

Handbook to determine where to report problems with this manual.
Introduction

Using the Manual

1-1-8 AQIM Handbook 05/2023-24

Transmittal Number

The transmittal number contains the month, year, and a consecutively-issued 

number (beginning with -01 for the first edition and increasing consecutively 

for each update to the edition). The transmittal number is only changed when 

the specific chapter sections, appendixes, glossary, tables, or index is updated. 

If no changes are made, then the transmittal number remains unchanged. The 

transmittal number only changes for the entire manual when a new edition is 

issued or changes are made to the entire manual.

Using the Manual

Review the content of this manual to get a feel for the scope of material 

covered. Glance through the section you will be using and familiarize yourself 

with the organization of information. Use the Table of Contents in each chapter 

to quickly find information. If the Table of Contents is not specific enough, 

refer to the Index.

EXAMPLE 04/2021-10 is the transmittal number for this update and is located in 

the control data on the pages in this chapter

04 is the month the update was issued

2021 is the year the update was issued

10 is the number (the original new edition was 01, plus 9 updates)
Introduction

Using the Manual

05/2023-24 AQIM Handbook 1-1-9

Reporting Issues with or Suggestions for the AQIM 

Handbook

Use Table 1-1-2 to determine where to report problems with this Handbook.

Manual Updates

The PPQ Manuals Unit issues and maintains manuals electronically on the 

Manuals Unit Web site. The online manuals contain the most up-to-date 

information. Immediate update revisions to the manual are issued and 

distributed by e-mail to all PPQ employees.

Each immediate update contains the following information:

Link to access and download the online manual

List of the revised page numbers

Purpose of the revision(s)

Transmittal number

Ordering Additional Manuals and Revisions

Although using the online manuals is the preferred method, APHIS employees 

may order hard copies of manuals from the APHIS MRP Business Services, 

Acquisition & Asset Management, Printing, Distribution, Mail, Copier 

Solutions (PDMCS) in Riverdale, Maryland. Visit the PDMCS website for 

detailed information and printing costs. The Manuals Unit is not responsible 

for printing costs.

Table 1-1-2 Reporting Issues with or Suggestions for the AQIM Handbook

If you: Then:

 Are unable to access the 

online manual

 Have a suggestion for improving the format (layout, spelling, 

etc.)

Contact PPQ Manuals Unit at 240-529-0350 or by 

email PPQ.IRM.ISMU.Manuals.Feedback@usda.gov.

Disagree with a policy or procedureCBP: Contact the CBP Agricultural Programs and 

Trade Liaison (APTL) at aptisida@cbp.dhs.gov with 

the reason for the disagreement and a recommendation.

PPQ: Contact PPQ Import Services Customer Support 

at 301-851-2046 or 1-877-770-5990 with the reason 

for the disagreement and a recommendation.

Have an urgent situation requiring 

an immediate response

CBP: CONTACT the Agricultural Programs and Trade 

Liaison (APTL) at aptisida@cbp.dhs.gov. 

PPQ: Refer to AQIM Operational and Policy Questions/Issues on page B-1-2 for contact information.
Introduction

Using the Manual

1-1-10 AQIM Handbook 05/2023-24
12/2011-01 AQIM Handbook 2-1-1

Chapter

2

Overview

Overview

The chapters in this section provide an overview of the background supporting 

the AQIM program. 

This section is comprised of the following chapters:

The Government Performance and Results Act

Strategic Plans, Performance Plans, Reports, and Budgets

Agriculture Quarantine Inspection Monitoring (AQIM)

Statistics and AQIM

Fundamentals of Risk Analysis

AQIM Sampling Process
Overview

Overview

2-1-2 AQIM Handbook 12/2011-01
10/2019-08 AQIM Handbook 2-2-1

Chapter

2

Overview

The Government Performance and Results Act

Contents

Background 2-2-1

Federal Management Reform 2-2-2

Legislative Requirements 2-2-3

Background

The Government Performance and Results Act (GPRA), which was passed by 

Congress in 1993 and updated (Modernized) in 2010, is a law that requires all 

government programs to be managed based on results achieved. This process 

includes setting specific program outcome targets, measuring progress towards 

those outcomes, and analyzing and using the results to make program 

improvements. The law connects this focus on program outcomes to the budget 

development process by requiring the President’s budget, starting in FY 99, to 

include the following for each program activity

A long-term (5 year) strategic plan that includes a comprehensive mission 

statement and general outcome oriented goal statements; 

Annual performance plans, including annual measurable goals and 

indicators of goal achievement; and, 

Annual performance reports which show whether measurable goals have 

been achieved.
Overview The Government Performance and Results Act

Federal Management Reform

2-2-2 AQIM Handbook 10/2019-08

Managing for results requires a different conceptual or philosophical 

framework. Use Table 2-2-1 to view the difference between our old framework 

and that of GPRA.

The remainder of this section of the Introduction contains excerpts from the 

Comptroller General of the United States dated June 1996, effectively 

implementing the GPRA (GAO/GGD-96-118).

Federal Management Reform

Over the past several years, Congress has taken steps to fundamentally change 

the way Federal Agencies go about their work. Congress took these steps in 

response to management problems so common among Federal Agencies that 

they demanded government-wide solutions. In addition, two contemporary 

forces converged to spur Congressional action: 

Year-in and year-out budget deficits that had to be brought down, and

A public now demanding not only that Federal Agencies do their jobs 

more effectively, but that they do so with fewer people and at lower cost. 

This change was, and remains, an enormous challenge. For one thing, many of 

the largest Federal Agencies find themselves encumbered with structures and 

processes rooted in the past, aimed at the demands of earlier times, and 

designed before modern information and communications technology came 

into being. These Agencies are poorly positioned to meet the demands of the 

1990's. Moreover, many of these Agencies find themselves without a clear 

understanding of who they are or where they are headed. Over the years, as 

new social or economic problems emerged, Congress assigned many Agencies 

new and unanticipated program responsibilities. These additions may have 

made sense when they were made, but their cumulative effect has been to 

create a government in which many Agencies cannot say just what business 

they are in. 

Table 2-2-1 One Way of Viewing the Difference Between the Old Framework and 

that of GPRA

In the old framework for managing programs, the focus was on:When managing for results, the focus is 

on:

Inputs Outcomes

Process Results

Activities Strategic Objectives

Compliance Performance

Management Control Management Improvements

Retrospective Data Analysis On-going Monitoring

Reporting Data Using Data
Overview The Government Performance and Results Act

Legislative Requirements

10/2019-08 AQIM Handbook 2-2-3

In some cases, Agencies' legislative mandates have grown so muddled that 

Congress, the executive branch, and other Agency stakeholders and customers 

cannot agree on program goals, worthwhile strategies, or appropriate measures 

of success. 

Traditionally, Federal Agencies have used the amount of money directed 

toward their programs, or the level of staff deployed, or even the number of 

tasks completed as some of the measures of their performance. But at a time 

when the value of many Federal programs is undergoing intense public 

scrutiny, an Agency that reports only these measures has not answered the 

defining question of whether these programs have produced real results. 

Today's environment is results-oriented. Congress, the executive branch, and 

the public are beginning to hold Agencies accountable less for inputs and 

outputs than for outcomes, by which is meant the results of government 

programs as measured by the differences they make, for example, in the 

economy or program participants' lives. The difference between outcomes and 

outputs is the key to understanding government performance in a resultsoriented environment. 

Legislative Requirements

Congress’ determination to make Agencies accountable for their performance 

lay at the heart of two landmark reforms of the 1990's:

The Chief Financial Officers (CFO) Act of 1990, and 

The Government Performance and Results Act of 1993 (GPRA). 

With these two laws, Congress imposed on Federal Agencies a new and more 

businesslike framework for management and accountability. In addition, the 

GPRA created requirements for Agencies to generate the information that 

decision makers in Congress and the executive branch need when considering 

measures to improve government performance and reduce costs. 

The CFO Act was designed to remedy decades of serious neglect in operating 

and reporting financial management. While the CFO Act established the 

foundation for improving management and financial accountability among the 

Agencies, GPRA is aimed more directly at improving their program 

performance. The GPRA requires that Agencies consult with Congress and 

other stakeholders to clearly define their missions. It requires that they 

establish long-term strategic goals, as well as annual goals that are linked to 

them. They must then measure their performance against the goals they have 

set and report publicly on how well they are doing.
Overview The Government Performance and Results Act

Legislative Requirements

2-2-4 AQIM Handbook 10/2019-08
05/2021-11 AQIM Handbook 2-3-1

Chapter

2

Overview

Strategic Plans, Performance Plans, Reports, 

and Budgets

Contents

Background 2-3-1

Define Mission/Desired Outcomes 2-3-2

Practice 1—Involve Stakeholders 2-3-2

Practice 2—Assess The Environment 2-3-3

Practice 3—Align Activities, Core Processes, and Resources 2-3-3

Measure Performance 2-3-4

Practice 4—Produce a Set Of Performance Measures 2-3-4

Practice 5—Collect Sufficiently Complete, Accurate, and Consistent Data 

2-3-5

Use Performance Information 2-3-5

Practice 6—Identify Performance Gaps 2-3-6

Practice 7—Report Performance Information 2-3-6

Practice 8—Use Performance Information To Support The Mission 2-3-6

Practice 9—Devolve Decision Making With Accountability 2-3-6

Practice 10—Create Incentives 2-3-7

Practice 11—Build Expertise 2-3-7

Practice 12—Integrate Management Reforms 2-3-7

Background

The experiences of leading organizations suggest that the successful 

implementation of the Government Performance and Results Act (GPRA) may 

be as difficult as it is important. For example, obtaining agreement among 

often competing stakeholders is never easy, particularly in an environment 

where available resources are declining. In addition, measuring the Federal 

contribution to outcomes that require the coordinated effort of numerous public 

and private entities--such as improvements in education, employment, or 

health--can require sophisticated and costly program evaluations. Three key 

steps are contained within the guidelines of the GPRA that redefine the 

methods by which strategic plans, performance plans, reports, and budgets are 

developed and conducted within the Federal sector. These three key steps are:

Define Mission and Desired Outcomes

Measure Performance
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

2-3-2 AQIM Handbook 05/2021-11

Use Performance Information

Step 1: Define Mission/Desired Outcomes

The GPRA requires that federal agencies, no later than September 30, 1997, 

develop strategic plans covering a period of at least 5 years and submit them to 

Congress and the Office of Management and Budget (OMB). If done well, 

continuous strategic planning provides the basis for everything the 

organization does each day.

Strategic plans are intended to be the starting point for each agency's 

performance measurement efforts. Each plan must include a comprehensive 

mission statement based on the agency's statutory requirements, a set of 

outcome-related strategic goals, and a description of how the agency intends to 

achieve these goals. The mission statement brings the agency into focus. It 

explains why the agency exists, tells what it does, and describes how it does it. 

The strategic goals that follow are an outgrowth of the clearly stated mission. 

The strategic goals explain the purposes of the agency's programs and the 

results they are intended to achieve.

For strategic planning to have this sort of impact, three practices appear to be 

critical. Organizations must do the following:

Practice 1—Involve their stakeholders;

Practice 2—Assess their internal and external environments; and 

Practice 3—Align their activities, core processes, and resources to support 

mission-related outcomes. 

Practice 1—Involve Stakeholders

Successful organizations base their strategic planning, to a large extent, on the 

interests and expectations of their stakeholders. These organizations recognize 

that stakeholders will have a lot to say in determining whether their programs 

succeed or fail.

Among the stakeholders of Federal Agencies are Congress and the 

administration, State and local governments, third-party service providers, 

interest groups, Agency employees, and the American public.

Involving customers is important as well. An Agency's customers are the 

individuals or organizations that are served by its programs. This is not to say 

that contact between a Federal Agency and its customers is always direct. 

Many Federally mandated or Federally funded services are dispensed through 

third parties, such as State agencies, banks, or medical insurance providers. In 

such cases, Federal Agencies face the particularly challenging task of 
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

05/2021-11 AQIM Handbook 2-3-3

balancing the needs of customers, service providers, and other stakeholders, 

who at times may have differing or even competing goals. 

Practice 2—Assess The Environment

Successful organizations monitor their internal and external environments 

continuously and systematically. Organizations that do this have shown an 

ability to anticipate future challenges and to make adjustments so that potential 

problems do not become crises. By building environmental assessment into the 

strategic planning process, they are able to stay focused on their long-term 

goals even as they make changes in the way they intend to achieve them. 

Assessing the external environment is particularly important, in part because 

so many external forces that fall beyond an organization's influence can 

powerfully affect its chances for success. For organizations both public and 

private, external forces can include newly emerging economic, social, and 

technological trends and new statutory, regulatory, and judicial requirements. 

An organization's internal forces include its culture, its management practices, 

and its business processes. Today, Federal Agencies find that monitoring these 

internal forces is especially important, given the effects of funding reductions 

and reorganizations. The tools available to organizations assessing the internal 

environment include program evaluations, employee surveys, independent 

audits, and reviews of business processes. 

Practice 3—Align Activities, Core Processes, and Resources

An organization's activities, core processes, and resources must be aligned to 

support its mission and help it achieve its goals. Such organizations start by 

assessing the extent to which their programs and activities contribute to 

meeting their mission and desired outcomes. As organizations became more 

results-oriented, they often find it necessary to fundamentally alter activities 

and programs so that they can more effectively and efficiently produce the 

services to meet customers' needs and stakeholders' interests.

As Agencies align their activities to support mission-related goals, they should 

match funding with their anticipated results. Under a series of initiatives called 

Connecting Resources to Results, OMB is seeking to adopt a greater focus on 

Agencies’ goals and performance in making funding decisions.

Leading organizations strive to ensure that their core processes efficiently and 

effectively support mission-related outcomes. This sort of integrated approach 

may include tying individual performance management, career development 
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

2-3-4 AQIM Handbook 05/2021-11

programs, and pay and promotion standards to organizational mission, vision, 

and culture. 

Step 2: Measure Performance

After defining their missions and desired outcomes, the second key step that 

successful, results-oriented organizations take is to measure their performance. 

Measuring performance allows these organizations to track the progress they 

are making toward their goals and gives managers crucial information on 

which to base their organizational and managerial decisions. 

The GPRA incorporates performance measurement as one of its most 

important features. Under the Act, agencies are required to develop annual 

performance plans that use performance measurement to reinforce the 

connection between the long-term strategic goals outlined in their strategic 

plans and the day-to-day activities of their managers and staff. The annual 

performance plans are to include the following:

A discussion of how the performance information will be verified.

A summary of the necessary resources to conduct these activities, 

Performance goals for an Agency's program activities as listed in the 

budget, 

The performance indicators that will be used to measure performance, and 

Practices 4 and 5 are designed to ensure that performance measures are an 

integral part of Agency activities.

Practice 4—Produce a Set Of Performance Measures

The experiences are that at least four characteristics are common to successful 

hierarchies of performance measures. That is, a set of performance measures 

must be produced at each organizational level that:

Demonstrate Results—Performance measures should tell each 

organizational level how well it is achieving its goals.

Limited To The Vital Few—The number of measures for each goal at a 

given organizational level should be limited to the vital few. Those vital 

few measures should cover the key performance dimensions that will 

enable an organization to assess accomplishments, make decisions, 

realign processes, and assign accountability. 

Respond To Multiple Priorities—Government agencies often face a 

variety of interests whose competing demands continually force policy 

makers and managers to balance quality, cost, customer satisfaction, 

stakeholder concerns, and other factors. Performance measurement 

systems must take these competing interests into account and create 
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

05/2021-11 AQIM Handbook 2-3-5

incentives for managers to strike the difficult balance among competing 

demands. 

Link To Responsible Programs—Performance measures should be 

linked directly to the offices that have responsibility for making programs 

work. A clear connection between performance measures and program 

offices helps to both reinforce accountability and ensure that, in their dayto-day activities, managers keep in mind the outcomes their organization 

is striving to achieve.

Practice 5—Collect Sufficiently Complete, Accurate, and 

Consistent Data

As successful organizations develop their performance measures, they pay 

special attention to data collection. As the experiences of these organizations 

demonstrated, managers striving to reach organizational goals must have 

systems in place to provide them with needed information.

Step 3: Use Performance Information

After establishing an organizational mission and goals and building a 

performance measurement system, the third key step in building successful 

results-oriented organizations is to put performance information to work. 

Managers should use performance information to:

Continuously improve organizational processes, 

Identify performance gaps, and 

Set improvement goals.

Organizations that progressed the farthest to results-oriented management did 

not stop after strategic planning and performance measurement. They applied 

their acquired knowledge and information to:

Identify gaps in performance, 

Report on the performance, and 

Improve performance to better support their missions.

Practices 6 through 12 give structure to identifying and responding to 

performance information.
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

2-3-6 AQIM Handbook 05/2021-11

Practice 6—Identify Performance Gaps

Performance information can have real value only if they are used to identify 

the gap between an organization's actual performance level and the 

performance level it has identified as its goal. Once the performance gaps are 

identified for different program areas, managers can determine where to target 

their resources to accomplish the mission. When managers are forced to reduce 

their resources, the same analysis can help them target reductions to keep to a 

minimum the threat to the mission. 

By analyzing the gap between where they are and where they need to be to 

achieve desired outcomes, management can:

Target those processes that are in most need of improvement, 

Set realistic improvement goals, and 

Select an appropriate technique to improve processes.

Practice 7—Report Performance Information

Annual performance reports document the progress made toward achieving the 

goals established in annual performance plans. The reports link levels of 

performance to the budget expenditures, which is consistent with the GAPER’s 

requirements that annual performance plans be tied to budget requests.

Practice 8—Use Performance Information To Support The 

Mission

Federal Agencies are feeling the pressure to demonstrate that they are putting 

the taxpayers' money to sound use. They are expected to demonstrate improved 

performance even as they cut costs--two simultaneous demands that are 

driving the trend toward results-oriented government. 

As they focus on the outcomes they hope to achieve, federal managers 

increasingly are finding that the traditional ways they measured their success--

and thus the traditional ways they did business and provided services--are no 

longer appropriate or practical. 

Practice 9—Devolve Decision Making With Accountability

Leading organizations create a set of mission-related processes and systems 

within which to operate, along with giving their managers extensive authority 

to pursue organizational goals while using those processes and systems. 

Allowing managers to bring their judgment to bear in meeting their 

responsibilities, rather than having them merely comply with overly rigid rules 

and standards, can help them make the most of their talents and lead to more 

effective and efficient operations. 
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

05/2021-11 AQIM Handbook 2-3-7

Practice 10—Create Incentives

Across government, the best incentive Congress can apply to foster resultsoriented management is to use information about performance measurement to 

make decisions about policy, program, and resource allocation, and to provide 

agencies with the authority and flexibility to achieve results.

Successful organizations define their missions clearly and communicate them 

to their employees--particularly to their managers--so that they understand 

their contribution. At both the organizational and managerial levels, 

accountability requires results-oriented goals and appropriate performance 

measures through which to gauge progress.

Practice 11—Build Expertise

To make the most of results-oriented management, staff at all levels of an 

organization must be skilled in strategic planning, performance measurement, 

and the use of performance information in decision making. Training has 

proven to be an important tool for Agencies that want to change their cultures.

Results-oriented managers view training as an investment rather than an 

expense. And as experts in human resource management at leading private and 

public organizations have pointed out, organizational learning must be 

continuous in order to meet changing customer needs, keep skills up to date, 

and develop new personal and organizational competencies.

Practice 12—Integrate Management Reforms

Within a given Federal Agency, the management reforms now under way may 

come from various sources. Some of these reforms may be self-initiated, others 

may have been mandated by legislation, still others may be the result of 

administration initiatives such as the National Performance Review. All of 

these reform activities need to be integrated, as the CFO Council urged in May 

1995: 

“Existing planning, budgeting, program evaluation and fiscal 

accountability processes should be integrated with the GPRA requirements 

to ensure consistency and reduce duplication of effort. In addition, other 

management improvement efforts, such as implementation of the CFO Act, 

and FMFIA (Federal Managers' Financial Integrity Act), customer service 

initiatives, re-engineering, and Total Quality Management, etc., should be 

incorporated into the GPRA framework to capitalize on the synergy and 

availability of key information and to improve responsiveness to customers 

and other stakeholders”
Overview Strategic Plans, Performance Plans, Reports, and Budgets

Background

2-3-8 AQIM Handbook 05/2021-11
10/2022-19 AQIM Handbook 2-4-1

Chapter

2

Overview

Agriculture Quarantine Inspection Monitoring 

(AQIM) 

Contents

Introduction 2-4-1

What Is AQIM? 2-4-1

What Is Risk Based Decision Making? 2-4-1

How Does AQIM Produce Information? 2-4-2

Who Is Responsible? 2-4-3

Who Is Involved? 2-4-3

Introduction

This section of the Introduction gives you the “whats and the whys” of AQIM.

What Is AQIM?

AQIM is a group of activities initiated to help the AQI program become a 

results-oriented program. That is, a program that makes decisions using 

information about the agricultural risks present in a pathway. 

The PPQ Executive Team initiated AQIM for two basic reasons: 

To assist in meeting the requirements of the Government Performance and 

Results Act (GPRA) of 1993. (Refer to The Government Performance 

and Results Act on page 2-2-1 for an explanation of the GPRA)

To provide information for risk-based decision-making

What Is Risk Based Decision Making?

PPQ is accountable for reducing the pest threat to U.S. agriculture in a way that 

does not unduly restrict commerce. To accomplish this, PPQ is moving to 

better methods for determining not only what to inspect, but how to inspect it. 

Many of those methods use risk analysis.

Risk analysis in business and government provides the framework for 

organizing and presenting information. This framework helps employees select 

and justify their actions. For unimpeded trade and movement of commodities 

in today’s world, the AQI program must show that imports and people are 

inspected and treated based on the widely accepted science of risk analysis.
Overview Agriculture Quarantine Inspection Monitoring (AQIM)

How Does AQIM Produce Information?

2-4-2 AQIM Handbook 10/2022-19

Traditionally, the AQI program based work on the quantity of pest 

interceptions and quarantine material intercepted (QMI). This seemed logical. 

Inspection tables were filled with QMI, pests were found, justifying a good job 

performance. The seriousness of the threat posed by the pest was not 

considered. In other words, effort was based on quantity, not the quality of the 

risk.

When time is spent on low risk activities, then work on high risk pathways 

suffers. Each work location must assess the risk of a particular pathway and 

change that assessment as trade and travel changes. 

The entry potential of our worst pests is decreased when pathways are tracked, 

risk is predicted, and work reassigned. This process of tracking, predicting 

risk, and reassigning work based on those predictions is risk-based decision

making. Therefore, the information produced from AQIM provides the 

information needed to assess the risk of entry of exotic pests and diseases.

How Does AQIM Produce Information?

Information is needed for risk management and the GPRA. To produce the 

necessary information, AQIM uses a sampling process to estimate the amount 

and kind of quarantine materials and pests approaching a work location via 

various known pathways of pest entry. Relative pathway risks can be measured 

by plugging in estimated numbers of actionable pests and information about 

pest destination into risk assessment models. We are using information from 

AQIM to measure the discrepancy between the estimated amount of 

quarantine materials or pests approaching a location and the actual amount 

being intercepted by PPQ or CBP at their respective locations. 

AQIM data is collected and entered at designated locations into a computer 

database called Agricultural Risk Management System (ARM). This software 

allows each location to do simple analyses of the data. 

Monitoring results can be used at various levels of the workforce. Work 

locations can use the results to verify the risk of various entry pathways and to 

shift resources to activities that are most effective in managing risks. Field 

offices can use the results to assess the relative risks of various entry pathways 

and locations. At a national level, the information can be used to assess risk, 

redesign regulations, and justify budget requests. 
Overview Agriculture Quarantine Inspection Monitoring (AQIM)

Who Is Responsible?

10/2022-19 AQIM Handbook 2-4-3

Who Is Responsible?

A national team has input in coordinating AQIM via the national coordinator 

in Headquarters. Information is collected by Customs and Border Protection 

Agriculture Specialists at designated locations. Basic analysis and use of the 

monitoring data can be accomplished by managers and employees at work 

locations to assist in decision making processes. A list of key contacts is in Key 

Contacts of this Handbook for your reference.

Developing an appropriate sampling process is an important part of this effort. 

Designated locations must give considerable thought to a sampling process to 

ensure the gathering of valid and useful information about pathway risk and 

program performance. The national AQIM coordinator can offer help in setting 

up a sampling process that is practical and sustainable at designated locations.

Who Is Involved?

Designated locations around the country and in Puerto Rico are collecting data. 

For AQIM to be fully operational, most ports of entry locations will need to 

become involved in some way. Each designated location collecting 

information selects an AQIM coordinator and assistant (Roles and 

Responsibilities on page 3-2-1 for more information). An infrastructure at the 

national level is also set up to coordinate the program implementation (refer to 

Key Contacts for information on key contacts for AQIM).
Overview Agriculture Quarantine Inspection Monitoring (AQIM)

Who Is Involved?

2-4-4 AQIM Handbook 10/2022-19
06/2022-16 AQIM Handbook 2-5-1

Chapter

2

Overview

Statistics and AQIM

Contents

Introduction 2-5-1

The Why of Statistics 2-5-2

Random Selection as a Key Step 2-5-2

What Are The Implications for AQIM? 2-5-3

Statistical Concepts 2-5-3

Types of Analysis and Use 2-5-5

Next Steps 2-5-7

Introduction

Statistics deal with the collection, analysis, and interpretation of information. 

The AQIM process uses proven statistical techniques to collect monitoring 

information about various pathways and the commodities entering through 

them into United States. The information is then used to explain and to explore 

the characteristics of the various pathways to assist in managing the risk they 

present to U.S. agriculture.

The information collected as part of AQIM will have very practical uses that 

will impact the work of port employees. Statistics will allow the use of AQIM 

information to respond to such practical questions as:

1. How much cargo approaching the work location is carrying actionable 

pests? What is the level of infestation of the pests in the cargo?

2. What poses the greater risk of spreading citrus canker? Is it maritime 

imports from South America or air passenger transport of home-grown 

fruit?

3. How effective is a work location in managing the pest and quarantine 

material threats that are identified through AQIM?

The use of valid, statistical techniques establishes the facts of the situation, and 

allows officers and managers to make risk-based decisions.

The following section provides additional information to better understand the 

role of statistics in monitoring and PPQ operations.
Overview Statistics and AQIM

The Why of Statistics

2-5-2 AQIM Handbook 06/2022-16

The Why of Statistics

Statistics allow for the objective analysis of information. The principles behind 

statistics help guide us to use the best methods for gathering information about 

a population without giving bias to the information. 

Historically, selective criteria (targeting) is used to choose inspectional units 

that are the most likely to transport something of agricultural interest. 

Inspectional units that don’t fit the criteria have less of a chance of being 

selected--that isn’t random sampling. When selecting random samples, 

selective criteria cannot be used. 

In AQIM, ports of entry randomly select pathway entrants to create a picture 

representative of the entire population. For example, the population might be 

all air passengers arriving at the international terminal of an airport. The 

random sampling unit would consist of 10 custom declarations (and associated 

passengers’ baggage) per day for a year, or 3,650 custom declarations for the 

year. The sample would be selected randomly, such that every passenger had 

the same chance of selection. The randomness could be achieved in many 

ways. One example might be that the random sampling units are selected at 

preselected random times of the day. 

The data could be further refined to reflect which of those units in the 

population pose a threat and which do not. Why do we do this? So that we can 

draw inferences and make decisions about the population in an objective, 

scientific way. Statistical inference is drawing conclusions about the larger 

population from smaller, randomly sampled portions. From these sampled 

portions, we can construct generalizations about the population with varying 

levels of confidence. 

Random Selection as a Key Step

In order to draw accurate conclusions about the larger population from a 

smaller subset or sample of the population, it is important that the subset be as 

similar to the larger group as possible. This means that each unit in the subset 

must be randomly chosen from the larger population. Consequently, each unit 

of the larger population must have the same chance of being randomly 

selected. 

Because sampling units are chosen randomly where all units have the same 

chance of being selected, we can measure the error involved in the 

information. This measure of error will allow us to judge how good our 

information is and how much confidence we have in the overall monitoring 

process. 
Overview Statistics and AQIM

What Are The Implications for AQIM?

06/2022-16 AQIM Handbook 2-5-3

What Are The Implications for AQIM?

There are several implications of using a random sampling process for AQIM.

1. Monitoring is different from using selective criteria to determine a random 

sampling unit. (Refer to AQIM Sampling Process on page 2-1 for 

additional information.)

2. It is imperative that selected sampling units are truly random. This 

eliminates the possibility of human choice or preference in the selection.

3. If the information collected is skewed to reflect high or low levels of pest 

and quarantine material interceptions, this will misinform any subsequent 

analysis and impact accurate decision making based on misinterpretation 

of the data collected. In some instances, reflecting lower pest or quarantine 

material levels than what actually exists may result in high-risk pathways 

being interpreted as low risk pathways (or vice-versa) that could influence 

a staffing allocation/coverage decision. Conducting truly random AQIM 

surveys will reflect actual pest and quarantine material levels leading to 

appropriate staffing allocation.

4. Selected random sampling units must be thoroughly inspected to be sure if 

pests or quarantine materials are present. The goal is to have a clear 

snapshot of what is approaching a work location.

5. The goal of AQIM is not in the number of pest interceptions and QMIs 

collected, but in the decisions based on risk and analysis that can be drawn 

from the monitoring.

Statistical Concepts

There are several ways of analyzing the monitoring information that has been 

collected. This section addresses the types and benefits of analysis that are 

available.

Following are definitions of some basic terms used when analyzing monitoring 

information:

Confidence Interval. A level of belief that the true value of the population was 

captured. For AQIM, the numbers of samples taken at each work location were 

designed to ensure that by detecting the presence of certain pests and 

quarantine materials during the monitoring, PPQ could be 95 percent sure that 

it would happen again.

Data. Raw information that provides values for any characteristic of a larger 

population. For AQIM, these would be all the entries on the data collection 

form (i.e., flight number, origin, contaminant codes, etc.).
Overview Statistics and AQIM

Statistical Concepts

2-5-4 AQIM Handbook 06/2022-16

Mean. This term is also referred to as the average. It is computed by adding all 

the values for a characteristic and dividing by the number of observations. For 

example, the mean of passengers going through an airport in a day would be 

the total number of passengers in one year divided by 365 days.

Probability. The statistical prediction of the likelihood of possible outcomes.

Sample. The part (or a subset) of a population that has been selected for 

monitoring.

Simple Random Sampling. A selection process where each member of the 

population must have a known probability (greater than 0) of being sampled.

Variable. Any characteristic on which the elements of a sample differ from each 

other (i.e., height versus weight, cargo destinations versus type).

Data is the information that is collected from a random sampling unit (or 

smaller subsets) that accurately depicts characteristics (measured variables) of 

the larger population. Gathering data for AQIM is simple random sampling

where we collect information regarding specific variables. This is done so we 

can predict the likelihood of an event occurring such as a pest or quarantine 

material interception. The number of inspections conducted at a work location 

is established so that there will be a 95 percent confidence interval. 
Overview Statistics and AQIM

Types of Analysis and Use

06/2022-16 AQIM Handbook 2-5-5

Types of Analysis and Use

There are several types of analysis that can be done with the AQIM data. The 

analysis can range from the simple to the complex. Explained here are some of 

the more useful methods available for use at your work location. More detailed 

analysis questions are located under the following pathway sections: Air—

Passenger Baggage, Air—Cargo, Maritime—Cargo, Mail, Northern Border—

Vehicles, Northern Border—Truck Cargo, Southern Border—Vehicles, 

Southern Border—Truck Cargo.

The simplest analysis is just to look at a listing of the data. Listings can 

answer questions such as what, what kind, and how many. Figure 2-5-1 is an 

excerpt from a listing of the data gathered for passenger vehicles at a work 

location along the Southern border. Looking at the data could tell how many 

inspections were made on what dates, and the types of items being found.

Since there are many variables in the data files for each work location, you 

have the option to select one of those records with specific variables that you 

Figure 2-5-1 An Example of a Listing Data
Overview Statistics and AQIM

Types of Analysis and Use

2-5-6 AQIM Handbook 06/2022-16

are interested in looking at. Refer to Figure 2-5-2 for an example of records 

containing quarantine material.

Frequencies answer the question, “To what degree do unique values exist in a 

variable?” Looking at the frequency of a certain variable will show summary 

data about the variable. For example, running a frequency on the date variable 

will give the number of inspections that were done on each date as well as the 

total number of inspections. Figure 2-5-3 shows the frequency of items 

intercepted. You get a list of the different types of items intercepted and how 

many there were in the monitoring samples.

Figure 2-5-2 Printout of Records Having Specific Information

Figure 2-5-3 Printout of Frequencies of Items Intercepted
Overview Statistics and AQIM

Next Steps

06/2022-16 AQIM Handbook 2-5-7

Frequencies, as well as the raw data, can also be displayed graphically using 

pie and bar charts. Refer to Figure 2-5-4.

Means or averages give an overview of the general tendency of a variable. The 

average number of passengers on a declaration might be of interest for your 

work location. This could be calculated by dividing the total number of 

passengers in the data file by the number of declarations (or samples). We can 

calculate the ‘error’ in this estimate and express it in the form of a confidence

interval. Remember that the confidence interval gives an indication of how 

accurate the estimate is.

Proportions show the relative frequency of an event. For AQIM, we may be 

interested in the proportion or percentage of passengers with a QMI. We could 

calculate this by dividing the total number of QMIs by the number of 

passengers. We can also compute a confidence interval around proportions.

Next Steps

These are all statistics that are necessary to initially conduct and understand 

AQIM. Using statistics and risk management principles will become more 

critical as PPQ progresses toward complying with the GPRA and evaluating 

results-based performance.

Figure 2-5-4 Example of Frequencies Displayed Using Pie Chart
Overview Statistics and AQIM

Next Steps

2-5-8 AQIM Handbook 06/2022-16
02/2023-21 AQIM Handbook 2-6-1

Chapter

2

Overview

Fundamentals of Risk Analysis

Contents

Basics About Risk 2-6-1

Risk Analysis Process 2-6-2

Risk Management 2-6-5

Risk Communication 2-6-7

Risk Management Teams 2-6-7

Composition 2-6-7

Structure 2-6-8

Skill 2-6-8

Automated Data Sources for Teams 2-6-8

Role 2-6-8

Outcome of Risk Analysis 2-6-9

Basics About Risk

Agriculture is a business filled with numerous risks. Pests, diseases, weather, 

and market fluctuations continually impact the potential earnings of producers. 

These elements of risk and the reaction of producers and consumers to that 

risk, result in agricultural policy setting and government programs.

USDA has several programs by which it enhances overall U.S. agricultural 

markets; ranging from economic forecasting to genetic research. APHIS, PPQ 

helps protect the natural agricultural resource base of the United States by 

minimizing the entry potential of risk elements, which would increase the risk 

agents (i.e., pests and diseases). These efforts are designed to help give 

producers the best possible standing in international markets. 

In the past, APHIS, PPQ has responded to risk issues on a historical knowledge 

basis. Through observation and experience, PPQ made judgments and 

decisions about the potential threat posed by various commodities entering the 

United States. These decisions must now be supported by empirical 

information.

Risk analysis processes give PPQ a basis for responding to the mandates 

required by the international trade agreements: General Agreement on Tariffs 

and Trade (GATT) and United States-Mexico-Canada Agreement (USMCA). 

GATT and USMCA require transparency of risk-based decisions impacting 

agricultural products in U.S. markets. Therefore, PPQ must do business 

differently than in the past because of these mandates. For information and 
Overview Fundamentals of Risk Analysis

Risk Analysis Process

2-6-2 AQIM Handbook 02/2023-21

criteria about risk management, refer to the APHIS Trade Risk Analysis 

Position on page C-1-2 and the GATT Agreement on the Application of 

Sanitary and Phytosanitary Measures on page C-1-9 located in Appendix C of 

this Handbook.

The basic function of PPQ is to manage exotic pest and plant disease risk. To 

accomplish this work, decisions must be based upon the risk that various 

commodities pose to U.S. agriculture. At the heart of risk-based decisionmaking is the need for good information. Because PPQ does not have perfect 

knowledge about the absolute risk of a particular pest, disease, or commodity; 

decisions must be made with clear understanding, knowledge, and an element 

of uncertainty

Risk Analysis Process

Risk analysis is the process, tools, and methodologies by which organizations 

estimate the likelihood and potential consequences of an adverse event. 

International trade agreements require these processes be consistent, 

systematic, and transparent. Therefore, the organizational objective is that riskbased decision-making should be pervasive throughout all levels of PPQ and 

APHIS. 

A risk analysis process places risk analysis activities within an organizational 

context. The process provides an internal structure and roles and 

responsibilities, which define and respond to risk-based policy issues. A risk 

analysis process comprises risk assessment, risk management, and risk 
Overview Fundamentals of Risk Analysis

Risk Analysis Process

02/2023-21 AQIM Handbook 2-6-3

communication. Figure 2-6-1 chronicles the difference between risk 

assessment, risk management, and risk communication.

The risk assessment (or analysis) portion of the model pays attention to 

estimating the probability and magnitude of the risk. Analysis ends with 

developing and selecting options. AQIM plays a major role in evaluating, 

monitoring, and improving options or mitigation programs. As risk analysis 

processes are used, it is essential to communicate with clients to ensure 

programmatic goals are met, and to ensure the results improve or to re-tool the 

process.

Field work occurs primarily at the implementation levels of risk management. 

PPQ officers are responsible for implementing risk management programs; 

monitoring and evaluating those programs; and adjusting and improving 

activities to ensure that risk is being managed at the best possible level. Risk 

analysis is a systematic way of achieving risk-based decisions.

The major barrier to risk analysis is reliable data. Data errors may come from 

improper sampling procedures, errors in record-keeping and data entry or 

faulty analysis. In addition, risk analysis must take into account aggregate 

risks. For example, fruit that has citrus canker poses one level of threat while 

fruit that is contaminated with medfly poses another. However, if infested with 

citrus canker and medfly, the risk rate is more intense. 

From a risk management viewpoint, agency leaders must actively respond to:

What can be done to prevent, reduce, or eliminate the risk?

Figure 2-6-1 A Model of a Risk Analysis Process
Overview Fundamentals of Risk Analysis

Risk Analysis Process

2-6-4 AQIM Handbook 02/2023-21

What are the best options?

Why?

There are multiple uses of risk analysis: problem definition, risk prediction, 

risk avoidance measures, mitigation strategies, management programs, and 

standards for protecting agriculture. From risk analyses, work locations can 

evaluate ongoing risk reduction activities; determine management and policy 

priorities; and identify and rank research and data collection needs. 

The model in Figure 2-6-2 on pest risk assessment (analysis) gives context to 

risk analysis processes. 

The model in Figure 2-6-2 helps to exemplify that risk equals probability and 

consequences. It is important to note in this model that AQIM activities are 

focused in the element of entry potential. The intent of AQIM is to assess entry 

potential and devise methodologies for reducing or eliminating that potential to 

the best possible level through the most efficient use of resources. Therefore, 

PPQ work locations can assess the approach rate of pests, evaluate the rate of 

detection, and devise methods to minimize or to ameliorate entry of any pest or 

disease. 

It is important that work locations and Risk Management Teams concentrate 

most of their activities on reducing entry potential. However, they must also be 

aware of the other risk elements that impact overall effectiveness. Final 

activities at work locations may be influenced by such factors as colonization, 

Figure 2-6-2 Pest Risk Assessment Model
Overview Fundamentals of Risk Analysis

Risk Management

02/2023-21 AQIM Handbook 2-6-5

spread potential, economic damage potential, environmental damage potential, 

and social-political influences. 

Referring to Figure 2-6-2, the probability portion of the standard risk formula 

is multiplicative. This means that if any of the elements listed are zero (i.e., 

pest with host origin, entry potential, colonization potential, spread potential), 

then nothing can happen and there is no risk. However, if there is a positive 

occurrence or likelihood in all of these elements, then the risk level must be 

considered. 

In Figure 2-6-2, the second portion of the standard risk formula is 

consequences. We tend to think of consequences in the negative. How much 

damage will this pest or disease threat pose in terms of dollars, environment, 

social, and political elements. The elements of risk consequences (i.e., 

economic damage potential, environment damage potential, perceived socialpolitical damage) are additive in nature. You may have a “zero” or non-issue in 

any two elements. But, as long as one of the elements has a positive impact, 

then consequences have to be addressed. The intent is to determine if a risk 

will require mitigation. This brings us to the third part of the pest risk 

assessment model--risk management.

Risk Management

Risk management is the analysis of various options and the determination of 

which options can be pursued based upon current operating issues and 

parameters. The analysis discerns ‘what is viable’. Still, it is the responsibility 

of the decision-makers to weigh the various options, considering positive 

implications as well as the negative. All consequences are not equal. 

Historically, APHIS has viewed all pest establishments as equally 

unacceptable. However, some pests may be harder to eradicate than others, and 

some may be harder to trap or have more long term effects. Management uses 

risk analysis to give greater specificity in the relative threat levels. Probability 

of establishment and consequences of impact must mutually be considered. 

Therefore, the product of a risk analysis is a conclusion (or characterization) 

about the relative risk of a particular commodity or pest as it relates to others. It 

is not an absolute value. It is then up to the decision-makers to judge whether 

or not the risk is acceptable. If the risk is not acceptable, then the agency must 

move into risk management: the active intervention to minimize risk elements.

Decision makers must also understand that there is uncertainty in the 

conclusions. We are conducting predictive analysis. We cannot always be 

assured that what we think will happen, will in reality, occur. There is no 

perfect knowledge. In some cases, such as citrus canker and Medfly, the 
Overview Fundamentals of Risk Analysis

Risk Management

2-6-6 AQIM Handbook 02/2023-21

likelihood and impact of establishment is so great, that we can express a high 

confidence level in the appropriate type of action to take. However, not all 

situations are so clearly defined.

Risk strategies or decisions usually fall into one of four categories: 

Acceptance of risk,

Avoidance of risk, 

Control of risk, or 

Risk transfer.

When the probability of the loss occurring is high, the general rule is to either 

avoid (e.g., commodity exclusion) or control (e.g., fumigation activities) the 

risk agent. When the probability of the loss is low, generally the activities 

center around accepting or transferring the risk. Accepting risk is exemplified 

by the discontinued inspection of low risk pathways. Risk transfer would occur 

if we decided, on some future date, we would stop excluding a particular 

commodity that had a high smuggling rate. We would begin to permit entry 

upon inspection. This way, we have transferred the risk from unknown entry 

paths to known ones.1

Regardless of which avenues are selected, there are certain principles for good 

risk management decision-making. A good risk management decision:2

Addresses an articulated problem in its agricultural pest or disease threat 

context

Emerges from a decision-making process that elicits the view of those 

affected by the decision, so that differing technical assessments, public 

values, knowledge, and perceptions are considered

Is based on a careful analysis of the weight of scientific evidence that 

supports conclusions about a problem’s potential risks to animal and plant 

health 

Is made after examining a range of regulatory and non-regulatory risk 

management options

Reduces or eliminates risks in ways that:

account for their multi-source, multi-risk contexts

are based on the best available scientific, economic, and other 

technical information

are feasible, with benefits reasonably related to their costs

1 Risk Management. “Designing Risk Management Strategies.” Module 4, Agriculture Canada.

2 Presidential Commission on Risk Assessment and Risk Management. “Framework for 

Environmental Health Risk Management.” Final Report Volume 1, 1997.
Overview Fundamentals of Risk Analysis

Risk Communication

02/2023-21 AQIM Handbook 2-6-7

are sensitive to political, social, legal and cultural considerations

give priority to preventing risks, not just controlling them

include incentives for innovation, evaluation and research

Can be implemented effectively, expeditiously, flexibly, and with 

stakeholder support

Can be shown to have a significant impact on the risks of concern

Can be revised and changed when significant new information becomes 

available while avoiding “paralysis by analysis.”

Multiple elements or factors influence decisions made concerning risk. 

Management must carefully weigh each option in terms of effectiveness, 

feasibility, costs, benefits, unintended consequences, and cultural or social 

impacts.

Risk Communication

Stakeholders play an essential role in this phase by assisting in identifying riskreduction options, developing and analyzing various avenues to pursue and 

evaluating the ability of each option to reduce risk (as offset by the above 

elements such as cost, etc.) Non-regulatory and regulatory approaches (or 

some combination) can be used to minimize or eliminate risk. Innovative 

approaches to changing behavior relative to risk (i.e., education, market 

incentives, monitoring, and research) may prove as effective to regulatory 

restrictions in ensuring compliance. 

Risk Management Teams

It is essential to have an infrastructure, such as Pest Risk Teams, at work 

locations to deal with risk analysis and to assist management in making riskbased decisions. Following are general guidelines for the composition and 

structure of Pest Risk Teams. 

Composition

The composition of Teams is flexible and should be diverse. Team membership 

should include Port Directors, managers, officers, and identifiers. Also, 

membership should include a back-up identifier, persons responsible for 

AQIM.
Overview Fundamentals of Risk Analysis

Risk Management Teams

2-6-8 AQIM Handbook 02/2023-21

Structure

The structure of Pest Risk Teams depends on the size and complexity of 

operations at a work location. Team size may vary but should not be greater 

than 8 members. Larger ports may have more than one team based on the 

different risk pathways being monitored (i.e., cargo, passenger, etc.).

Skill

Teams need to have various skills. Such a skill base may include having 

experience of other work locations, using data base systems, and training or 

experience in researching. 

Automated Data Sources for Teams

AQIM data 

Importation of regulated articles (PPQ 280s) 

Pest interceptions 

Pest Not Known To Occur (KNOTs)

Work accomplishment data (WAD) 

Role

The role of Pest Risk Teams is to conduct local risk assessments that result in 

ranking the risks of various pathways associated with plant pests and diseases. 

Teams:

Design sampling processes

Identify information needs and methods to obtain information

Recommend risk management options

Share information with other work locations, industry, and States

Recommendations from Pest Risk Teams may include some of the following 

options:

Allocate staffing based upon relative risk of entry (i.e., pedestrian versus 

vehicle, cargo versus passenger, solid versus mixed loads, etc.)

Change cargo inspection protocols (i.e., de-van versus tailgate)

Change selection criteria (targeting) by validating the existing ones and 

developing new ones;

Change the number of units inspected, decreasing or increasing as 

necessary

Develop compliance agreements for low risk pathways in such areas as 

aircraft, ships, and rail cars
Overview Fundamentals of Risk Analysis

Outcome of Risk Analysis

02/2023-21 AQIM Handbook 2-6-9

Focus on risk (e.g., quality of pest interceptions and quarantine material 

interceptions, not the quantity)

Target public awareness activities to high risk situations

Pest Risk Teams need to:

Explore varying solutions to gathering additional data in a statistical 

sound format 

Raise AQIM questions, such as, what additional data is needed

Share successes and experiences with other Pest Risk Teams

Once these teams set issues into context, they need to establish a stakeholder 

collaboration process to begin risk communication. Stakeholders do not define 

the risk, but must be involved from the beginning to ensure cooperation and 

compliance.

Outcome of Risk Analysis

The Risk Management Teams can use risk analysis to answer basic operating 

questions such as:

What can go wrong (if we do nothing)?

What is the probability of an adverse action happening?

What is or will be the magnitude of the outcome of the adverse action?

How certain can we be that our predictions are correct?

The outcome of a risk analysis is a risk characterization. A risk 

characterization should respond to these questions: 

Considering the hazard, what is the nature and likelihood of the pest 

disease damage to agriculture? 

Which markets or groups are at risk: are some groups more likely to be a 

risk than others?

How severe are the anticipated adverse impacts or effects? Are the effects 

reversible?

What scientific evidence supports the conclusions about risk? How strong 

is the evidence? What is uncertain about the nature or magnitude of the 

risk?

What is the range of informed views about the nature and probability of 

the risk? How confident are the analysts about their predictions for risk? 

What other sources cause the same type of effect? 
Overview Fundamentals of Risk Analysis

Outcome of Risk Analysis

2-6-10 AQIM Handbook 02/2023-21

Does the risk have impacts besides those on agriculture or the 

environment, such as social or cultural consequences?

Pest Risk Teams:

1. Analyze AQIM survey data to develop estimates of agricultural pest risk 

approach rates for each major mode of entry at the work location.

2. Use the estimated approach rates to calculate the number of agricultural 

pests and diseases and high-risk quarantine materials approaching the work 

location.

3. Compare these numbers with the number of agricultural pests and diseases 

and high risk quarantine materials actually intercepted at the work location.

4. Use the comparisons from Step 3 above, to draw some conclusions about 

how well the work location manages the agricultural threat approaching the 

work location.

5. Report its findings to work location management and PPQ officers. The 

group recommends actions to take at the work location to improve risk 

management effectiveness at the work location and recommends risk 

management targets for the upcoming year. The recommended actions can 

be based on AQIM analysis or other information collected at the work 

location. For example, if monitoring data shows a certain commodity to be 

carrying more agricultural pests than previously suspected or reported, then 

the work location can inspect that commodity more carefully for 

interceptions

6. Then, as the work location continues its baseline monitoring, at the end of 

the following year (or other time frame) the Teams check to see if the 

actions initiated in Step 5 above, lead to meeting risk management targets.

NOTICE

The level of detail considered in a risk assessment and included in a risk characterization should be commensurate with the problem’s importance (local and national), 

expected impact, and level of controversy. Risk characterizations must include information that is useful for all stakeholders.
04/2023-23 AQIM Handbook 2-7-1

Chapter

2

Overview

AQIM Sampling Process

Contents

Information Versus Detection 2-7-1

Sampling For Information 2-7-1

Sampling For Detection 2-7-2

Summary 2-7-2

Random Sampling 2-7-3

Sampling 2-7-3

Statistical Criteria For Random Sampling 2-7-4

Random Sampling Contrasted to Other APHIS Sampling Processes 

2-7-4

One Final Word on Sampling 2-7-6

Data Collection and Use 2-7-7

Information Versus Detection

There are two types of sampling that can be used to determine the 

characteristics of a population. Sampling for information, also known as 

objective or random sampling, is used to estimate characteristics for a 

population. On the other hand, sampling for detection, is used to detect 

characteristics of a population. The two types of sampling are fundamentally 

different in their approach to bias.

Sampling For Information

When sampling to estimate for information, bias in selection must be avoided 

in order to ensure objectivity in the selection of representative samples from 

the population. Each member of the population must have a known probability 

(greater than 0) of being sampled. The result is a high degree of confidence that 

the sample represents the population, thus useful inference can be made about 

the population based upon the sample.

The most effective way to eliminate bias is to randomize the sampling process 

and design unbiased selection mechanisms. Mathematical, mechanical, or 

automated (computerized) systems and random number generators or random 

number tables are characteristic of the tools commonly used when sampling 

for information.
Overview AQIM Sampling Process

Information Versus Detection

2-7-2 AQIM Handbook 04/2023-23

Sampling For Detection

Sampling for detection uses bias in order to discover if a specific characteristic 

occurs in the population. When sampling for detection, the objective is to use 

prior knowledge to ensure that certain members of the population have a 

higher probability of being sampled; whenever, prior knowledge indicates that 

detectable factors or patterns distinguish members of the population.

Using selective criteria based on profiling and similar subjective techniques 

and drawing from prior knowledge are characteristic of methodologies used 

when sampling for detection. It is important that such techniques are based on 

firm information or valid assumptions and applied as consistently as possible 

in order to detect the largest number of target items. 

Summary

Based on the example in Figure 2-7-1, it would seem that there is a subtle 

difference between sampling for information and sampling for detection. In 

fact, it may be argued that sampling for detection, utilizing bias and subjective 

sampling, will result in better information concerning the amount of prohibited 

agricultural material carried by vehicles. This may be true, provided the 

assumptions used for biasing the samples are 100 percent accurate. However, 

sampling for information would be necessary to determine the soundness of 

the assumptions. Therefore, the soundness of a scheme sampling for detection 

cannot be adequately measured without a baseline level of knowledge 

provided through sampling for information.

There are critical, although sometimes subtle, differences between sampling 

for information and sampling for detection. The use and legitimacy of each is 

dependent upon the reason sampling is needed (the objective) and the kind of 

prior information available.

Question: What amount of prohibited agricultural material is carried by vehicles?

Sampling for information would require a randomized sample of vehicles over a period of 

time suitable for the degree of confidence required.

However, if the objective were to detect as much quarantine material as possible, then a 

sampling for detection would be designed based on prior information about the vehicles 

believed most likely to carry prohibited items.

If no such information is available or the information does not allow for sound assumptions, 

then a random sample without bias is necessary.

Figure 2-7-1 Example of Sampling for Information Versus for Detection
Overview AQIM Sampling Process

Random Sampling

04/2023-23 AQIM Handbook 2-7-3

Table 2-7-1 provides a summary comparison that can be used to quickly 

determine which type of sampling is most appropriate for a given situation.

Random Sampling

A basic introduction to sampling is provided in Statistics and AQIM on page 

2-5-1. This chapter will further explain the sampling that is used in AQIM and 

contrast it to the other types of sampling used by APHIS.

Sampling

First, sampling consists of selecting some part of a larger population to observe 

so that you can estimate something about the whole population. Sampling is 

used in a wide variety of situations, some of which you may be very familiar 

with. Political polls use a random sample of voters to predict who will win an 

election. A random sample of households with televisions is used to produce 

the Nielson ratings of television shows. Gallup polls use samples to produce 

estimates on wide ranging social and political issues. In almost any newspaper, 

magazine, or broadcast of the evening news you can see information based on 

some type of sample.

NOTICE

It is important to note that the results of sampling for detection can provide some 

information about the existence for a characteristic within a population but cannot be 

used to infer information concerning the entire population. In situations where there 

is insufficient knowledge from which to develop biases, sampling must be randomized as in sampling for information.

Sampling for information can be more resource intensive than sampling for detection; and it can be difficult to execute in an environment that is focused on detection. 

Using the same mechanisms (personnel, work areas, etc.) Designed for detection 

tends to encourage the use of the same biases used for detection. Sampling for 

information under such conditions requires a special effort to overcome the psychological and logistical tendencies to bias for detection.

Table 2-7-1 Summary Comparison to Determine the Most Appropriate Type of 

Sampling

Characteristic Sampling for Information Sampling for Detection

Type of sampling Random, objective Non-random or random; 

subjective or objective

Randomness Essential Not important unless a lack 

of knowledge prevents sampling from being biased

Bias Eliminate Use to advantage
Overview AQIM Sampling Process

Random Sampling

2-7-4 AQIM Handbook 04/2023-23

So why do we use samples? Because they provide a practical as well as an 

economical way to gather needed information. We can’t afford (either the time 

or money) to inspect every person or piece of cargo entering the United States, 

so a properly chosen random sample can provide an ‘estimate’ for the sample 

that is representative of the population. Political polls commonly use around 

1,000 voters to predict who is ahead in an election - even in national elections! 

Remember that with random sampling we can also measure the accuracy of the 

estimate. Therefore, we use random samples to gather information in a timely 

and economical manner.

How do we get a representative sample--one which we will be comfortable 

using to make an inference about the larger population? The answer is, by 

using the statistical properties of random sampling.

Statistical Criteria For Random Sampling

For a sample to be random, it has to satisfy some statistical criteria:

1. Each unit has an equal chance of being selected. An example from AQIM 

would be that every air passenger baggage has an equal chance of being in 

the sample.

2. Each unit is selected independently of other units. An example of this 

might be that the usual inspection of air passenger baggage from flight X 

does not influence the selection of the next air passenger baggage to be in 

the sample

Random Sampling Contrasted to Other APHIS Sampling 

Processes

Other sampling being done by APHIS is as follows:

Convenience sampling--officer chooses X number of boxes from the rear 

of a sea container to do a tailgate inspection.

Haphazard sampling--where an officer points out a number of boxes 

without any specific knowledge.

Selection criteria (authoritative or intuitive) sampling--based on 

knowledge and skill of the officer (or sampler).

Each of these types of sampling violate one or both of the statistical criteria for 

random sampling. Can you determine why these aren’t random samples? 

Would any of the above samples produce a representative sample? Probably 

not. A selection criteria should have a higher rate of pest and quarantine 

material interceptions than would a truly random sample, since you are 

choosing air passenger baggage most likely to have pest and quarantine 

material interceptions. A convenience sample only looks at the tailgate, so 

boxes at the front of a container would have no chance of selection. Haphazard 
Overview AQIM Sampling Process

Random Sampling

04/2023-23 AQIM Handbook 2-7-5

sampling may appear to be random, but if the officer knowingly (or 

unknowingly) excludes any part of the cargo from inspection, then it would not 

be truly random. An example of haphazard sampling is conducting a blitz of a 

low risk flight causing misguided random selection to complicate the recovery 

process.

One of the things that makes random sampling so attractive is that it allows 

you to attach some measure of confidence or certainty to the data. (Or we can 

measure some of the error involved with sampling). Why is that important? 

Remember we took just one random sample from our population. If we took 

another sample, we would end up with different units from the population in 

the sample. This second sample could give us data that could be very different 

from the first sample, or it could give us data that is very similar. That’s one of 

the problems of using samples - there are no money-back guarantees. 

However, we can measure the accuracy of the information we gather. This 

accuracy is expressed in the form of a confidence interval. Using random 

sampling allows us to pick a confidence level, say 95 percent, and express how 

confident we are that our estimate is within the confidence interval. An 

example would be that our monitoring data shows that 2 percent of the vehicles 

crossing at a land border site had interceptions of quarantine material.

Given we used random sampling, we could compute a confidence interval that 

would allow us to say we were 95 percent certain that the true percentage of 

vehicles crossing the border at that work location was between 1.4 percent and 

2.8 percent.

Telling a work location that their samples have to be random is the easy part. 

Developing a sampling scheme to suit each work location and pathway is 

much more difficult. This is why each work location has developed its own 

sampling process. Some work locations are cooperating with U.S. Customs in 

sampling. Other locations have set up their own schemes to reflect the unique 

aspects and abilities of its location and personnel. The important thing is that 

the samples are random, not that every sample is chosen in a like fashion.

If you have some prior knowledge about the population you are interested in, 

there can be better (more efficient and cost effective) ways to do the sampling. 

If the population can be broken up into homogeneous groups, then the sample 

can be drawn from each of the groups. Separate samples are drawn from each 

strata and inspected. If the stratification was done properly and the samples in 

each strata are more similar to each other than to the samples in other strata, the 

resulting confidence interval should be smaller. This doesn’t always happen, 

but if the stratification is done properly, the chances are pretty good you will 

end up with a better estimate. Refer to Figure 2-7-2 for a simplistic example 

about the importance of knowing your population.
Overview AQIM Sampling Process

Random Sampling

2-7-6 AQIM Handbook 04/2023-23

One Final Word on Sampling

As explained above, we could potentially decrease the error in our estimate by 

using stratified sampling. There is another, more direct, way to control the 

error (which controls the width of the confidence interval). Increasing the 

sample size can decrease the error associated with an estimate, regardless of 

the population size. The error is inversely proportion to the square root of the 

sample size. So, the larger the sample the narrower the confidence interval 

around the estimate.

An example of this concept is illustrated in Figure 2-7-2. If we keep the 

proportion of pest and quarantine material interceptions constant at 5 percent, 

watch how changing the sample size changes the width of the confidence 

interval. If your random sampling unit is only 60 of a population, the 

confidence interval is between 7 and 20—a very broad interval representing a 

greater possibility of error. But where the random sampling unit is 600 of the 

population, the confidence interval is between 3.2 and 7.3—much narrower. 

So, the larger the sample the narrower the confidence interval will be 

representing a smaller possibility of error.

For Example: You have often wondered how many red M & M’s are in the 1 lb. bag of candy. 

Instead of counting all of them, you measure out 4 ounces and count each color and record 

the results. Your counts reveal:

 3 reds, 17 browns, 10 greens, and 14 blues

You then multiply these numbers by four to get your final counts for the entire bag:

 12 reds, 68 browns, 40 greens, and 56 blues

Based on your findings, you write a letter to the candy maker to complain; red is your favorite 

color. Little did you know that the reds are slightly heavier and put in the bag first. Your 4 

ounce sample, however, came from the top of the bag and you did not shake it up first. This 

non-random sample provided inaccurate information about the population.

Figure 2-7-2 Example of Importance of Knowing Your Population
Overview AQIM Sampling Process

Random Sampling

04/2023-23 AQIM Handbook 2-7-7

AQIM uses this statistical relationship to determine the different sample sizes 

for each estimate. To generate the sample size, you need to have some 

information on the approximate population size and the expected proportion in 

the population. You also have to choose a confidence level and set the absolute 

precision at some level. Then, you have to look at the practicality of the 

situation. Is the sample size realistic in terms of time and money? If not, what 

sample size would be realistic and would the resulting changes lead to 

acceptable estimates?

The bottom line is we use random sampling because it allows us to use 

statistical principles to make assumptions about the resulting sample. It should 

be an independent, representative part of the population from which we can 

generate estimates and confidence intervals around the estimate. We can then 

take the data from AQIM and compare it to other data that is available or 

combine it with data available from other sources to make more informed 

decisions.

The random sampling process of AQIM is probably the trickiest part of this 

effort. Work locations must give considerable thought to a sampling process to 

ensure the gathering of valid and useful information about pathway risk and 

program performance. Work locations must also consider proper sampling 

procedures related to the proportional arrival of daily arriving passengers, 

vehicles, mail, etc. Several sections in this Handbook provide the basic 

information about sampling methodology to assist work locations produce 

valid data. The AQIM national coordinator can offer help in setting up a 

random sampling process that is practical and sustainable at a new work 

location (Refer to Key Contacts on page B-1-1 for a list of key contacts).

Data Collection and Use

AQIM uses ongoing random sample monitoring to estimate the amount and 

kind of agricultural materials and pests approaching a work location via 

various known pest entry pathways. Here are some examples of how a work 

location may use the results of the AQIM data analysis: 

Table 2-7-2 Example of How Sample Size Changes the Width of the Confidence 

Interval

Sample Size Width of the Confidence Level

60 .7-20

100 1.1-13.5

200 1.8-10.4

400 2.6-8.5

600 3.2-7.3
Overview AQIM Sampling Process

Random Sampling

2-7-8 AQIM Handbook 04/2023-23

Allocate resources for more effective risk management

Assess the risk of various entry pathways to U.S. agriculture

Identify new trends

Justify budget requests to Congress

Redesign policies and regulations

Validate known potential risks

In addition, the AQIM data helps work locations answer important questions 

like:

1. How much cargo approaching the work location is carrying actionable 

pests? What is the level of infestation of the pests in the cargo?

2. Which transportation pathway has the greatest pest risk for the work 

location?

3. How effective are the current regulations in managing the risk of 

introduction of pests and diseases?

4. How effective is the work location in managing the pests and quarantine 

material threats which were identified in the monitoring?

5. How effective is the current cargo hold process for managing the pest 

threat at the work location?

AQIM data for each entry pathway is collected and entered into ARM. It is 

important that each work location enter the data in a timely manner. Data entry 

into ARM is due by the tenth day of the following month. For example, all 

January data needs to be entered by February 10. If the tenth day of the month 

falls on a weekend or a holiday, data may be entered as late as the following 

regular workday.
04/2021-10 AQIM Handbook 3-1-1

Chapter

3 Start-up

Work Location Set-Up for AQIM

Contents

Introduction 3-1-1

Activities for Implementing AQIM 3-1-1

Introduction

AQIM activities provide useful data on AQI program activities to local and 

national employees. 

Success of results monitoring activities requires the following:

Adequate assistance from internal support groups--processes, 

requirements, facilitation, training, electronic support systems

Commitment of managers and employees at all levels

Involvement of stakeholders and customers including Congressional 

views and co-providers

Strategic and performance planning throughout the organization

The activities outlined in this section and the procedures for data collection 

(under each pathway section of the Handbook) will help set up a work location 

to begin AQIM. The process selected for AQIM at each work site will become 

part of the ongoing operational activities for that location.

Activities for Implementing AQIM

Initially, a work location must make a commitment to follow the Agency’s 

strategic course. This commitment is not just a set of prescribed activities, but 

is a new way of doing business.

Next, work locations should establish an AQIM coordinator to develop 

processes that are used to collect and analyze information. (Refer to Roles and 

Responsibilities on page 3-2-1 for what a work location must do to implement 

AQIM.) Results should be shared and published for all employees to 

benchmark process and performance. AQIM Coordinators and teams should 

continue the fluid process of improving AQIM systems locally.
Start-up Work Location Set-Up for AQIM

Activities for Implementing AQIM

3-1-2 AQIM Handbook 04/2021-10

Based upon the analysis of the information, work locations set performance 

targets. These targets would have an overall goal to improve AQI performance. 

Work locations must:

Determine actual results 

Develop analysis process for measuring goals and results

Develop strategies for closing the gaps

Identify goals and align them with national goals

Measure the gaps

Collecting information becomes an ongoing activity with the processes being 

continually evaluated and revised. There must be a continual cycle of:

Assessing and evaluating process

Identifying other relevant sources of information

Implementing and coordinating work change activities

Recommending risk management options

Use the following start-up activities along with the roles and responsibilities 

and the checklist in this section as guides when implementing AQIM.

1. Develop a common understanding of AQIM. Work with local management 

teams and employee representatives to conduct meetings or use other ways 

of communicating to all employees at the work location. Introduce the 

who, why, when, and where of results monitoring and AQIM. For help, 

contact the National AQIM Coordinator.

2. Inform brokers, other government agencies, and representatives from 

private industry that they will be included. Use a positive approach about 

their involvement and explain the advantages of monitoring. But, be 

realistic about how the new procedures affect timeliness, and holds on 

imports for monitoring that may not have been held in the past.

3. Select specific individuals for the local AQIM coordinator roles at each 

work site. Refer to Roles and Responsibilities on page 3-2-1. Refer to Key 

Contacts for additional roles. The primary roles are:

AQIM Coordinator

Assistant AQIM Coordinator, if needed

4. Prepare and document a standard operating procedure (SOP) that details 

selected sampling processes, joint inspection procedures (if applicable), 

steps to resolve issues and concerns, etc. Document these details in the 

SOP. Keep a copy of the SOP in this Handbook. Refer to Appendix D for 

samples or examples of standard operating procedures. Use Appendix D as 
Start-up Work Location Set-Up for AQIM

Activities for Implementing AQIM

04/2021-10 AQIM Handbook 3-1-3

a guide for format and suggested content. The standard components of an 

SOP are:

Purpose

Background

Guidelines (unit of inspection, sample size, operational norms)

Sampling procedures

Data collection and entry procedures

Personnel and resources

Quality control

5. Meet with the pest identifier for each work site. If not already “URGENT,” 

establish details of a “PROMPT” pest identification process when pests are 

encountered from AQIM sampling.

6. Acquire the necessary equipment and supplies to support ARM.

7. Data entry forms for AQIM with instructions for specific pathways. Refer 

to examples of data entry forms located in each pathway chapter of this 

Handbook.

Implementation package for the AQIM sampling process

8. Currently, the AQIM Handbook is only updated on the Internet, and paper 

editions may include old information. Always check the electronic version 

of the AQIM Handbook on the Internet for the most current information.
Start-up Work Location Set-Up for AQIM

Activities for Implementing AQIM

3-1-4 AQIM Handbook 04/2021-10
05/2021-11 AQIM Handbook 3-2-1

Chapter

3 Startup

Roles and Responsibilities

Contents

Introduction 3-2-1

AQIM Coordinator 3-2-1

Assistant AQIM Coordinator 3-2-2

Checklist 3-2-2

Introduction

Given that AQI monitoring is a key component to conducting statistically 

sound risk assessments, it is essential to form internal structures to ensure that 

monitoring activities continue. Port managers (i.e. supervisors, Port Directors) 

should become involved with results monitoring activities and should take an 

active role in the tasks, issues, and goals of AQIM. The following roles and 

responsibilities are suggested for collecting, recording, organizing, storing, and 

analyzing results monitoring data as part of the AQIM program. The numbers 

and roles may vary among work locations based on the size and activity of a 

work location

AQIM Coordinator

The roles and responsibilities of the AQIM Coordinators are:

Arrange and coordinate data entry of AQIM records for all work sites, 

including collecting data, maintaining data, analyzing data, and preparing 

reports

Coordinate and facilitate with local managers, supervisor(s), employee 

representatives, any change or revision (major or minor) to the AQIM 

activities

Help resolve work site concerns and issues that directly or indirectly 

involve AQIM activities

Help with training of employees

Implement and coordinate the established sampling process, and monitor 

the sampling for adherence to proper sampling techniques

Report survey results to work location personnel. This responsibility 

involves running analysis procedures on ARM and facilitating meetings 

to discuss implications for AQI risk decision-making

Serve as the first contact point for answering basic questions about ARM 

software and data entry. This responsibility requires that the AQIM 
Startup Roles and Responsibilities

Checklist

3-2-2 AQIM Handbook 05/2021-11

coordinator be familiar with the basics of ARM software such as, starting 

the program and knowing what data entry screens are needed, how data 

entry occurs, and basic data analysis procedures. At larger work 

locations, serves as the central collection point from multiple work sites

Serve as the main contact point for PPQ, QPAS in Riverdale, Maryland, 

and for all personnel involved with AQIM activities

Work with management and personnel at the work location to produce a 

standard operating procedure (SOP) for implementing AQIM at each 

work site

Work with management to communicate to all personnel at the work 

location the importance of AQIM and the sampling process

Assistant AQIM Coordinator

The Assistant AQIM Coordinator helps an AQIM Coordinator perform their 

responsibilities as needed. Large ports with multiple work sites may have more 

than one Assistant AQIM Coordinator.

Checklist

The checklist in Table 3-2-1 on page 3-2-3 provides a general guide for starting 

AQIM. All listed activities may not apply to all work locations. These 

activities have contributed to the successful implementation of AQIM at many 

sites.
Startup Roles and Responsibilities

Checklist

05/2021-11 AQIM Handbook 3-2-3

Table 3-2-1 Checklist for Roles and Responsibilities

Start-Up Activities Who Is Involved?

Date

Timeline

Determined BY Work

Location

Meet and develop a common understanding of AQIM. Port management initiates meetings 

 Use National AQIM Coordinator for assistance (Refer to 

Appendix B on page B-1 for contact information).

 Work with employee representatives and Port management.

Inform and include external customers and stakeholders Impacted brokers, government agencies, private industry

 Port managers and officers

Select an AQIM coordinator and 

assistant

Port management

Establish a risk management team 

to review local operations based on 

monitoring results.

 AQIM Coordinator

 Employee representatives

 Port managers

Write standard operating procedures. 

(Refer to Appendix D)

 AQIM Coordinator and Pest Risk Management Team

 AQIM Coordinator and the AQIM National Team may 

assist

Develop a training plan for the 

employees at work locations.

 Port management, AQIM Coordinator and Pest Risk 

Management Team 

Train employees to carry out AQI 

monitoring.

 AQIM National Coordinator may be involved

 Those individuals specified in a training plan.

Set a date to begin monitoring and 

collecting data.

AQIM Coordinator and Pest Risk Management Team

Begin monitoring and collecting data  AQIM Coordinator

 Port Officers

Enter information into ARM

 Enter data worksheets into ARM

 Transfer Pest Identification numbers to ARM, as necessary

 Individual responsible for data entry

 Port Identifier and AQIM Coordinator

Analyze data and prepare report. AQIM Coordinator (or others) Monthly

Communicate monitoring results to 

work location personnel. Facilitate 

discussion of what results mean and 

implications for work location decisions.

AQIM Coordinator and Port managers Quarterly

Set port performance targets based 

on monitoring feedback

 AQIM Coordinator

 Employee representatives

 Port managers

 Port officers

Annually
Startup Roles and Responsibilities

Checklist

3-2-4 AQIM Handbook 05/2021-11
04/2021-10 AQIM Handbook 4-1-1

Chapter

4 Pathways

Introduction

AQIM is comprised of a variety of major pathways. The pathways cover all of 

the major ports of entry for PPQ, including air passenger, air and maritime 

cargo, and northern and southern border traffic. Each designated work location 

will randomly sample at that location and collect data as indicated in each 

procedure. 

Refer to the individual pathway chapter for sampling details.

Air Passenger Baggage on page 4-2-1

Air Cargo on page 4-3-1

Maritime Cargo on page 4-4-1

Mail Facility on page 4-5-1

Northern Border Vehicles on page 4-6-1

Northern Border Truck Cargo on page 4-7-1

Southern Border Vehicles on page 4-8-1

Southern Border Truck Cargo on page 4-9-1
Pathways

Introduction

4-1-2 AQIM Handbook 04/2021-10
02/2024-23 AQIM Handbook 4-2-1

Chapter

4 Pathway

Air Passenger Baggage

Contents

Background 4-2-1

Procedures for All Air Passenger Pathways 4-2-2

Foreign Arrival Air Passenger Pathway 4-2-3

US Foreign Arrival Air Passenger Baggage Worksheet 4-2-4

Predeparture Air Passenger Pathway 4-2-4

Predeparture Air Passenger Worksheet for Hawaii and Puerto Rico 4-2-4

Preclearance Air Passenger Pathway 4-2-4

Preclearance Air Passenger Worksheet 4-2-4

AQIM Pathway Quality and Maintenance 4-2-5

Agricultural Risk Management System (ARM) 4-2-6

Questions to Guide Data Analysis 4-2-6

Background

The arrival of international passengers by air has increased significantly in the 

past decade. The various agricultural items that air passengers can potentially 

carry is staggering. These items can pose a significant pest and exotic disease 

risk to agriculture in the United States.

The pathway “Air Passenger Baggage” encompasses all aspects of baggage 

movement into the United States by way of various aircraft (passenger, charter, 

corporate, private, etc.). AQIM activities randomly samples air passenger’s 

baggage to better determine this pathway’s potential threat to agriculture.

Each designated work location will randomly sample air passenger baggage 

arriving at that location. The data collected from the random sampling will 

help to answer the following questions

1. What is the threat of agricultural pests approaching the work location?

2. How effective is the AQI program at managing this threat?

The origin and destination of the passenger is important to determine risk 

levels. Just as important is whether the baggage carried by the passenger 

carries an agriculture pest. 

While each work location will have differing rates of quantity of passengers, 

similar criteria for sampling will apply to all work locations. Through 

consistent random sampling, a depiction of the pest threat of air passenger 
Pathway Air Passenger Baggage

Procedures for All Air Passenger Pathways

4-2-2 AQIM Handbook 02/2024-23

baggage movement will emerge. Combined data from all work locations will 

help determine the pest risk for baggage carried by the universe of air 

passengers. 

Monitoring of air passenger baggage is an ongoing function and is an integral 

part of the AQI program. The ongoing sampling of air passenger baggage will 

allow work locations to adjust their passenger selection or targeting criteria for 

the present and the future. Monitoring helps measure how well the mission of 

pest and exotic disease exclusion is accomplished.

Procedures for All Air Passenger Pathways

A sampling protocol of a minimum of 300 Customs Declarations or passenger 

kiosk receipts (and all passengers associated with these declarations and 

receipts) per month is needed at most airports. Customs Declarations are 

accepted verbally, electronically, or on paper. Therefore, sampling procedures, 

such as where to sample, will accommodate this change. Take samples from 

the entire passenger population; do not exclude any passenger or crew member. 

Predeparture locations do not have declarations and will develop and 

implement a sampling protocol that selects passengers and passenger family 

units.

Assuming a 7 day work week, follow the sampling protocol:

1. Properly select a minimum of 10 samples per day per airport or terminal. 

Some airports with multiple terminals will sample either 5 or 10 samples 

per terminal. Contact the National AQIM coordinator for specific sampling 

numbers per terminal or if unable to achieve the specified sampling 

amounts based on the pathway instructions. Always follow established 

protocols through your chain of command.

2. Apply appropriate AQIM inspection procedures for each sample.

3. A 100-percent hand inspection of all carry-on and checked baggage is 

required.

4. Record all needed data on appropriate AQIM data worksheet.

5. Report the data using ARM.

NOTICE

The PPQ National AQIM coordinator has made special arrangements with several 

smaller to medium size airports to conduct a minimum sampling protocol of only 150 

Customs Declarations per month (5 per day). These are reviewed annually and subject to change.
Pathway Air Passenger Baggage

Foreign Arrival Air Passenger Pathway

02/2024-23 AQIM Handbook 4-2-3

Foreign Arrival Air Passenger Pathway

The following ports are participating in AQIM monitoring

Atlanta, GA

Baltimore, MD

Boston, MA

Charlotte, NC

Chicago, IL

Dallas, TX

Denver, CO

Dulles, VA

Newark, NJ

Ft. Lauderdale, FL

Honolulu, HI

Houston, TX

Jamaica, NY

Los Angeles, CA

Miami, FL

Minneapolis, MN

Orlando, FL

Philadelphia, PA

Phoenix, AZ

Romulus, MI

San Antonio, TX

San Francisco, CA

San Juan, PR

Sanford, FL

Seattle, WA 

Tampa, FL
Pathway Air Passenger Baggage

Predeparture Air Passenger Pathway

4-2-4 AQIM Handbook 02/2024-23

US Foreign Arrival Air Passenger Baggage Worksheet

For AQIM purposes, use the Air Passenger Baggage worksheet and associated 

instructions for recording information gathered from U.S. foreign arrival air 

passenger baggage.

Predeparture Air Passenger Pathway

The following predeparture ports are participating in AQI monitoring:

Aguadilla, PR

Honolulu, HI

Kona, HI

Kahului, HI

Lihue, HI

Ponce, PR

Carolina, PR

Predeparture Air Passenger Worksheet for Hawaii and Puerto 

Rico

For AQIM purposes, use the Predeparture Air Passenger worksheet and 

associated instructions for recording information gathered from predeparture 

air passenger baggage inspection in Hawaii and Puerto Rico. 

Preclearance Air Passenger Pathway

The following preclearance ports are participating in AQI monitoring:

Aruba, Aruba

Bermuda, Bermuda

Freeport, Bahamas (AQIM sampling activities suspended until further 

notice.)

Nassau, Bahamas

Montreal, Canada

Toronto, Canada

Vancouver, Canada

Preclearance Air Passenger Worksheet

For AQIM purposes, use the Preclearance Air Passenger worksheet and 

associated instructions for recording information gathered from preclearance 

air passenger baggage inspection. 
Pathway Air Passenger Baggage

AQIM Pathway Quality and Maintenance

02/2024-23 AQIM Handbook 4-2-5

AQIM Pathway Quality and Maintenance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed properly. To help with reviewing the 

status of monitoring activities, refer to Appendix E on page E-1-1. This 

appendix contains a checklist of questions port managers and local AQIM 

coordinators should periodically answer to ensure proper monitoring of each 

designated pathway at their workstations. The questions review the following 

topics:

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees
Pathway Air Passenger Baggage

Agricultural Risk Management System (ARM)

4-2-6 AQIM Handbook 02/2024-23

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Questions to Guide Data Analysis

Use the following questions to guide your data analysis:

For preclearance, foreign arrival and predeparture 

(predeparture analysis begins with question #4):

1. How many declarations were selected for sampling during the survey 

period?

2. How many declarations sampled required an action (seizure or other action 

required as a condition of entry) during the survey period?

3. What is the action approach rate of the sampled declarations (number of 

declarations, with one or more items categorized as seized/intercepted or 

clean/treatment, divided by the total number of declarations sampled)?

4. How many passengers were represented by all samples?

5. How many seizures/interceptions (QMIs) came from the samples?

6. What is the QMI approach rate of passengers with prohibited agricultural 

material (total number of QMIs divided by total passengers sampled during 

the survey period)?

7. How many pest interceptions (actionable pests) were made from survey 

samples?

8. Pest Approach Rate: What is the rate of pest interceptions in relation to 

number of passengers (number of actionable pests divided by number of 

passengers in the sample)?

9. How many QMIs were plant material? Meat or animal products? 

10. What is the rate of QMIs for plant material and meat/animal products?

11. Is there a greater risk from plant material or animal products at the work 

location?
Pathway Air Passenger Baggage

Questions to Guide Data Analysis

02/2024-23 AQIM Handbook 4-2-7

12. Generate a list of all the origins of passengers transiting the work location. 

Produce a list of origins of passengers with QMIs transiting the work 

location?

13. Which countries of origin have a higher rate of QMIs than passengers? 

Have these countries always been recognized as high risk countries at the 

work location? (Example: 10 percent of all passengers surveyed were from 

Italy. Passengers from Italy were responsible for 20 percent of the QMIs 

seized/intercepted. Passengers from Italy carried double the amount of 

QMIs expected as based on the volume of passengers from that country.)

14. Generate a list of the state destinations of passengers transiting the work 

location. What are the top five destinations of passengers? What are the 

top five destinations of passengers with QMIs?

15. Which States are considered high risk States?

16. What is the action approach rate for each month of the survey period?

17. Do these monthly rates correlate with traditional peak and off-peak travel 

times?

18. Are there easily identified trends when the rate of QMIs transiting the work 

location are higher?

19. Are there seasonal trends or do higher rates correlate with national or 

religious holidays, beginning or end of the school year, vacation periods, 

etc.?

20. Generate a listing and frequency of items seized/intercepted. What are the 

top five most frequently seized/intercepted items? Which QMI items 

present the greater risk?

21. Generate a list of flights. 

22. Which flights were most likely carrying passengers with QMIs (top five 

flights)? Where were the most seized//intercepted items found--hand 

carried bags or checked luggage? Did the passenger declare all prohibited 

items? Was the passenger traveling alone, as a couple, or family? What was 

the reason for travel--business, vacation, visit family, tour group, school? 

What is the passenger’s citizenship and residency?

23. What targeting factors are currently used to identify passengers likely to 

carry prohibited agricultural items? How do these factors compare with 

survey results? 

24. What additional targeting factors would be useful to identify passengers 

carrying prohibited items?

25. What percentage of resources are dedicated to staffing AQI activities for 

air passenger at the work location?

26. What is the relative risk of air passenger compared with other pathways in 

the work location?
Pathway Air Passenger Baggage

Questions to Guide Data Analysis

4-2-8 AQIM Handbook 02/2024-23

27. Should resources be reallocated among all the pathways in the work 

location to better address the relative risk of the pathways?

28. Apply the AQIM results to the total passenger population to estimate the 

number of QMIs and interceptions likely to transit the work location during 

the survey period.

29. How many (total) passengers/crew arrived at the airport during the survey 

period? Using WAD data and using the QMI approach rate and rate of pest 

interceptions on QMIs, calculate estimates of the number of QMIs and 

actionable pests transiting the work location.

30. How does the estimated number of QMIs compare with the reported 

number of QMIs in WAD?

31. What percentage of all QMIs transiting the work location were seized/

intercepted as a result of regular AQI inspections?

32. How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests in WAD?
04/2023-22 AQIM Handbook 4-3-1

Chapter

4 Pathway

Air Cargo

Contents

Background 4-3-1

The Sampling Universe 4-3-2

Sampling Universe Exclusions 4-3-2

Cargo Strata and Stratifying the Sample 4-3-2

Setting Up A Process 4-3-3

The Sampling Unit 4-3-3

Data Collection Consistency 4-3-4

Air Cargo Procedures Summary 4-3-6

Pathway Monitoring Maintenance and Quality Assurance 4-3-8

Air Cargo Worksheet 4-3-9

Data Collection and Maintenance 4-3-9

Agricultural Risk Management System (ARM) 4-3-10

Survey Results and How to Use Them 4-3-10

Questions to Guide Data Analysis 4-3-11

Background

The cargo population, or sampling universe, for AQI monitoring is defined as 

perishable agricultural cargo. Take random samples from this population 

with more intensive (hypergeometric) inspections and record necessary data 

about these commodities.

In order to properly monitor cargo, you need to have a good understanding of 

two key statistical principles:

1. It is important that the sample selected be representative of the commodity. 

Random selection helps ensure this.

2. Once the sample is selected, it is necessary to inspect the sample 

thoroughly and according to hypergeometric sampling procedures if 

applicable.

If you want your port to produce quality risk information, then each person 

participating must have a clear understanding of the sampling universe, the 

unit of sampling, and inspection consistency issues.
Pathway Air Cargo

The Sampling Universe

4-3-2 AQIM Handbook 04/2023-22

The Sampling Universe

Estimate the number of actions due to pests or smuggling in a cargo entry 

pathway by taking random samples from the cargo in the pathway. It is key to 

good statistics to carefully define this universe from which you want to draw 

your random sample. Answer the following questions in order to select the 

sample correctly and to make statistical inferences for the entire universe.

How are commodities transported? 

How many shipments of these commodities are arriving at a work 

location?

What is the seasonality of the commodity?

For cargo AQIM, the sampling universe is defined by the mode of transport of 

the cargo such as airplane, ship, or truck. 

Sampling Universe Exclusions

The following commodities or commodity types are excluded from the 

sampling universe

Commodities which are pre-cleared at foreign sites 

Commodities admissible under the National Agriculture Release Program 

(NARP)

Commodities which undergo some type of mandatory treatment, other 

than cold treatment (for example, fumigation, irradiation, hot water 

treatment) at work locations 

Frozen commodities

Oil, salt, iron ore, coal, etc., which have no pest risk

Seed shipments

Transportation and Exportation (T&E) cargo

Cargo Strata and Stratifying the Sample

The sampling and inspection processes for AQIM were designed to be 

compatible with typical cargo inspection groupings. The cargo universe is 

divided into several homogeneous and distinctly separate groups. Each group 

contains commodities that will be sampled in order to estimate the action and 

pest approach rates in each group. A port may be sampling one or more of the 

commodities in a group or across groups. With air cargo, the sampling universe 

is perishable agricultural cargo. This perishable category is defined as any 

commercial shipment of fresh fruit, vegetables, and cut flowers.
Pathway Air Cargo

The Sampling Unit

04/2023-22 AQIM Handbook 4-3-3

By sampling this category, PPQ is able to get precise estimates of the number 

of containers with pests approaching the port. This risk information helps the 

work location understand how effectively it manages the pest risk for this 

category, as well as for the entire cargo universe at the port.

It’s very important that each commodity in the category selected be 

representative of all other units of that category. All shipments of a category 

should have a chance of being selected as a sample. One way to ensure that the 

sample is representative is to choose a shipment of the commodity at random 

(either random time, random number, etc.). This random selection process 

eliminates the bias of the Agriculture Specialist who is selecting the sample. 

The Agriculture Specialist’s experience (bias) might lead to choosing a 

shipment that is more likely to be harboring a pest. This bias would make the 

sample not representative of the entire commodity universe. The survey results 

would be skewed and this kind of bias would hamper the port’s ability to make 

the best decisions based on risk analysis.

Setting Up A Process

Setting up a process of selecting representative samples for each of the 

commodities will be one of the biggest challenges in AQIM. Because each port 

has its own unique set of circumstances in cargo operations, the port must 

individualize its random sampling process. Document the process and if 

needed, ask for feedback from other air cargo ports, the AQIM coordinator , or 

Port Operations staff who have experience in selecting random samples in the 

cargo environment. The port may even decide that the Port Risk Management 

Team determine and review the random sampling process on a regular basis.

The Sampling Unit

For air cargo, the sample unit is the air waybill. It is crucial that the sample unit 

is inspected closely enough to detect any actionable pests and mismanifested 

items. Air cargo sampling and inspection procedures are detailed in Table 

4-3-2 on page 4-3-7. Procedures for sampling multiple commodities within the 

selected air waybill are detailed in Table 4-3-3 on page 4-3-8. Follow the 

procedures exactly in order for the monitoring estimates to be valid and useful.

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 

instructions. Always follow established protocols through your chain of 

command.
Pathway Air Cargo

Data Collection Consistency

4-3-4 AQIM Handbook 04/2023-22

Data Collection Consistency

Record the monitoring results from the inspection of a random sample unit 

accurately and consistently. Because each sample represents many other units, 

all Agriculture Specialist’s must be as consistent as possible in following the 

inspection procedures.

Regulated commodities pose a special challenge. If the sample selected is a 

regulated commodity, it is important to understand the following:

Cargo monitoring estimates the number of air waybills approaching the work 

location with pest infestation levels requiring action by PPQ. AQIM uses riskbased inspection procedures for detecting a 10 percent or more pest infestation 

rate. This initial threshold is used to estimate the number of containers with a 

pest threat approaching a work location. 

To be 95 percent sure that the Agriculture Specialist inspecting the container 

will find the pest when the shipment is infested at a 10 percent or more 

infestation level, the Agriculture Specialist must select, at random, a specific 

number of boxes in the shipment. Determine this number of boxes by using the 

hypergeometric table in Table 4-3-1 on page 4-3-5. Inspect each of these boxes 

to ensure that:

No hitchhiker pests are present in the box

No internal feeding insects are present in randomly selected fruit in the 

box

No mismanifested or smuggled items are present

NOTICE

This 10 percent infestation level may change as the data for AQIM is collected and 

analyzed.
Pathway Air Cargo

Data Collection Consistency

04/2023-22 AQIM Handbook 4-3-5

Agriculture Specialists should follow normal inspection procedures of the 

commodities to determine pests. For example, Agriculture Specialist’s should 

cut fruit to detect internal feeders if external evidence is present.

Table 4-3-1 Hypergeometric Table for Random Sampling in Commodity 

Inspection

Total number of boxes on air waybill: Randomly select this number of boxes:

1-10 All boxes in the shipment

11-12 11

13 12

14-15 13

16-17 14

18-19 15

20-22 16

23-25 17

26-28 18

29-32 19

33-38 20

39-44 21

45-53 22

54-65 23

66-82 24

83-108 25

109-157 26

158-271 27

272-885 28

886-200,000 29
Pathway Air Cargo

Air Cargo Procedures Summary

4-3-6 AQIM Handbook 04/2023-22

Air Cargo Procedures Summary

The following ports are participating in air cargo AQIM monitoring of 

perishable agriculture cargo: (perishable is defined as fresh fruit, vegetables, 

and cut flowers)

Atlanta, GA Jamaica, NY

Boston, MA Los Angeles, CA

Chicago, IL Miami, FL

Dallas, TX Newark, NJ

Dulles, VA San Francisco, CA

Honolulu, HI San Juan, PR (temporarily 

suspended effective October 

2021) Houston, TX

NOTICE

Exclude cut flowers for Miami, FL.
Pathway Air Cargo

Air Cargo Procedures Summary

04/2023-22 AQIM Handbook 4-3-7

Table 4-3-2 Air Cargo Procedures Summary

AIR CARGO AQIM PROCEDURES

Commodity (1) Random sample of commercial perishable (non-frozen) agricultural cargo

(2) Cut flowers, except in the port of Miami, FL

Cargo Population 

Definition

All air waybills carrying perishable agricultural commodities, including cut flowers, destined to 

US. Refer to Sampling Universe Exclusions on page 4-3-2.

Note: Commodities with mandatory cold treatments are included. 

Sample Size 2-4 samples taken from a minimum of two different air waybills (AWBs) per week per airport at 

ALL ports that can sustain this sampling. If the consignment consists of smaller retail units like 

clam shell packaging or smaller film-wrapped retail packaging or trays in boxes, then select the 

proper sample size from the total number of clam shells, trays, etc. for inspection.

Contact the National Operations Manager for Exclusion and Imports for assistance (Mikell Tanner at 919-855-7317 or email Mikell.Tanner@usda.gov).

Sample Selection Examples of sample selection processes are random time, skip intervals, port discretion, etc. 

The port may need to first determine the total number of shipments of a category received at a 

port in one year.

Inspection MethodologyPhysically inspect each selected shipment at the port or consignee premise. Refer to Table 

4-3-3 on page 4-3-8 before beginning inspection process.

Select boxes for inspection from random locations throughout the container to detect a 10 percent level of infestation (at 95% confidence). Determine the number of boxes using Table 4-3-1

on page 4-3-5. Inspect entire contents of boxes selected and available floor space of the container for agricultural pests or mismanifested or smuggled items.

Other Issues Inspect during normal business hours at the port. Costs for OT clearance will be paid by the 

shipper/broker/consignee or government as per port management.

Advise shippers, importers, and brokers that random sampling and inspection will be part of 

day-to-day operations. They should understand that there is a probability that their shipment 

will be intensely inspected.

NOTICE

Do not select commodities from United States territories to the mainland continental 

U.S. (e.g., Guam, U.S. Virgin Islands, etc.) for AQIM sampling. 

If the random selection is from a U.S. territory, then select the next shipment that is 

not from a U.S. territory.
Pathway Air Cargo

Pathway Monitoring Maintenance and Quality Assurance

4-3-8 AQIM Handbook 04/2023-22

Pathway Monitoring Maintenance and Quality Assurance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and performed properly. To help 

with reviewing the status of monitoring activities, refer to Appendix E on page 

E-1-1. This appendix contains a checklist of questions port managers and local 

AQIM coordinators should periodically answer to ensure proper monitoring of 

each designated pathway at their work locations. The questions review the 

following topics:

Table 4-3-3 AQIM Sampling Procedures for Multiple Commodities in Cargo

If the randomly selected AQIM consignment is: Then: Which Creates:

All the same perishable commodity 

from one origin

 APPLY hypergeometric inspection 

sampling to whole shipment, 

AND;

 SELECT the appropriate number 

of units for inspection

One AQIM record for ARM data input

Different perishable commodities 

from one or multiple origins (other 

than CUT FLOWERS)

 SELECT the single commodity 

with the most quantity (boxes, 

cartons, etc.) AND;

 SELECT the single commodity 

with the least quantity units (must 

be a minimum of 5 quantity units)

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the commodities selected) 

for one ARM data input

Different CUT FLOWER genera/varieties from one or multiple originsConsider ONLY boxes of single variety cut flowers OR boxes of same 

flower composition bouquets1

:

 SELECT the cut flower genus/

variety with the most quantity 

units (boxes, cartons, etc.) AND;

 SELECT the cut flower genus/

variety with the least quantity units 

(must be a minimum of 5 quantity 

units)2

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the cut flower genera 

selected) for one ARM data input. 

Record cut flower variety name and 

origin of the cut flower (NOT origin of 

flight or vessel.)

1 Consider only bouquets where most of its flowers are from one single flower variety, excluding greenery. For example, if the 

bouquet’s flower composition is five roses, two daisies, and one carnation (excluding greenery), identify the bouquet as a 

rose bouquet.

2 If there are multiple commodities/cut flower varieties with five boxes each, then port discretion is used to select the 5 box 

commodity to be sampled and inspected.
Pathway Air Cargo

Air Cargo Worksheet

04/2023-22 AQIM Handbook 4-3-9

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Air Cargo Worksheet

For AQIM purposes, use the Air Cargo data worksheet and associated 

instructions for recording information gathered from air cargo inspection. 

Properly record the commodity being inspected.

Data Collection and Maintenance

The movement of international cargo by aircraft can pose a significant exotic 

pest and disease risk to agriculture in the United States. The pathway “Air 

Cargo” encompasses all aspects of cargo movement into the United States by 

the use of various types of aircraft (cargo freighter, passenger aircraft, etc.). 

AQIM is designed to randomly sample air cargo shipments to determine the 

potential threat to agriculture.

Each work location will randomly sample air cargo arriving at that work 

location. The data collected from the random sampling will help to answer the 

following questions:

1. What is the threat of agricultural pests approaching the work location?

2. How effective is the AQI program at managing this threat?

The origin and destination of air cargo shipments is important to determine 

risk; just as important is if the air cargo shipment carries an actual agriculture 

pest. While each work location will have different rates of quantity and variety 

of cargo, the same criteria for sampling will apply to all work locations. 

Through consistent random sampling a depiction of the pest threat of each type 

of cargo will emerge. Combined data from all work locations will help 

determine the pest risk posed by various air cargo items. 

AQIM of air cargo shipments is an ongoing function and is an integral part of 

the AQI program. The ongoing sampling of air cargo shipments will allow 

work locations to adjust their selection criteria and will ultimately help 

accomplish the PPQ mission.
Pathway Air Cargo

Agricultural Risk Management System (ARM)

4-3-10 AQIM Handbook 04/2023-22

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How to Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching ports? What is the level 

of infestation of the pests in the cargo?

2. How effective is the AQI program at managing this threat?

Preliminary results for air cargo surveys provides a general answer for question 

1. That is, there are varying rates at which prohibited agricultural materials or 

cargo units infested with an agricultural pest approach the ports. Surveys show 

that at some ports about 1.5 percent of the cargo units carried actionable pests 

in the past year, while other work locations show rates as high as 10 percent. 

These percentages are an approximation of agricultural pest threat. Further 

analysis of the monitoring data is needed to determine the risk associated with 

air cargo approaching the work location. The origin and destination of the 

cargo are important to determine risk levels. Also, whether or not the cargo 

carries an actual agricultural pest or smuggled item is crucial in analyzing risk.

Analyses of the monitoring data need to occur at several levels of PPQ. At the 

ports, PPQ personnel need to study what the data means and answer the first 

question for their specific location. At some ports, teams Risk Management 

Teams are formed to look at monitoring data and other data, which is normally 

collected at the location

At other locations, analyses of monitoring data occur to establish rates at which 

quarantined items and agricultural pests are approaching the borders of States, 

areas of the country, and the United States.
Pathway Air Cargo

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-3-11

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work locations can use to carry out the analysis.

Questions to Guide Data Analysis

The following questions are a guide for managers and Risk Management 

Teams to formulate information around. With the answers, valid decisions can 

be made based on the potential risk of quarantined material and exotic pests 

and diseases entering a specific pathway. The value of using the monitoring 

data for decision making is better understood

1. How many air waybills were selected for sampling during the survey 

period?

How many actions were required on air waybills sampled?

How many actions by strata category sampled were there?

What is the action approach rate of air waybills that require action 

(number of air waybills requiring action divided by total air waybills in 

the sample)? What are the action approach rates by strata category?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest Approach Rate: What is the rate of pest interceptions in relation to 

the total sampled number of air waybills (number of air waybills with 

actionable pests divided by total air waybills in the sample)?

3. Compare the rate of actions required for each month of the survey

DISCUSSION:

Are there easily identified trends when the rate of QMIs transiting the 

work location are higher?

Are there seasonal trends?

Do higher rates correlate with national or religious holidays, certain types 

of containers, cargo, or importers?

4. Generate a listing and frequency of shipments requiring action. Which 

commodities present the greater risk?

Which commodities are most likely to require action? Where were the 

agricultural pests found? Which commodities involved solid wood 

packaging (SWP) actions? What is the rate of air waybills with smuggled 

or mismanifested items?

DISCUSSION:
Pathway Air Cargo

Questions to Guide Data Analysis

4-3-12 AQIM Handbook 04/2023-22

How effective is the current inspection process in detecting pests and/or 

smuggled cargo?

5. What types of shipments (refrigerated, mixed vegetables, dry containers, 

empties, cut flowers, express carriers, etc.) require higher rates of action?

DISCUSSION:

What selectivity factors are currently used to identify shipments likely to 

require action?

What additional selectivity factors would be used to identify shipments 

likely to require action?

Do the survey results indicate additional factors that help identify 

shipments most likely to require action?

6. Using monitoring data, apply the survey results to the cargo universe at the 

work location to estimate the number of actions required and interceptions 

likely to transit the work location during the same time the survey period 

took place.

How many air waybills arrived at the port during the survey period? Using 

the action approach rate for air waybills requiring action, calculate an 

estimate of the number of air waybills transiting the work location that 

are likely to require action. What are the estimates per strata category?

Using WAD data, how does the estimated number of actions required 

compare with the reported number of actions taken?

How many additional actions may have been required during the survey 

period?

How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests on WAD?

DISCUSSION:

What percentage of resources are dedicated to staffing AQI activities for 

air cargo at the work location?

What is the relative risk of air cargo compared with other pathways in the 

work location?

Should resources be reallocated among all the pathways in the work 

location to better address the relative risk of the pathways?
04/2023-22 AQIM Handbook 4-4-1

Chapter

4 Pathway

Maritime Cargo

Contents

Background 4-4-1

The Sampling Universe 4-4-2

Sampling Universe Exclusions 4-4-2

Cargo Strata and Stratifying the Sample 4-4-2

Setting Up a Process 4-4-3

The Sampling Unit 4-4-4

Data Collection Consistency 4-4-4

Maritime Cargo Procedures Summary 4-4-5

Commercial Perishable Agricultural Cargo 4-4-5

Wood Packaging Material (WPM) 4-4-6

Italian Tile Container Cargo 4-4-6

Pathway Monitoring Maintenance and Quality Assurance 4-4-9

Maritime Cargo Worksheet 4-4-9

Data Collection and Maintenance 4-4-9

Agricultural Risk Management System (ARM) 4-4-10

Survey Results and How To Use Them 4-4-10

Questions to Guide Data Analysis 4-4-11

Background

The cargo population, or sampling universe, for AQI monitoring is now 

defined as specific categories. Take random samples from these populations 

with more intensive (hypergeometric) inspections and record necessary data 

about these commodities

In order to properly monitor cargo, you need to have a good understanding of 

two key statistical principles:

1. It is important that the sample selected be representative of the category. 

Random selection helps ensure this.

2. Once the sample is selected, inspect the sample thoroughly and according 

to hypergeometric sampling procedures if applicable.

If you want your port to produce quality risk information, then each person 

participating must have a clear understanding of the sampling universe, the 

unit of sampling, and consistency issues.
Pathway Maritime Cargo

The Sampling Universe

4-4-2 AQIM Handbook 04/2023-22

The Sampling Universe

Estimate the number of actions due to pests or smuggling in a cargo entry 

pathway by taking random samples from the cargo in the pathway. It is key to 

good statistics to carefully define this universe from which you want to draw 

your random sample. Answer the following questions in order to select the 

sample correctly and to make statistical inferences for the entire universe.

How are commodities transported? 

How many shipments of these commodities are arriving at a work 

location? 

What is the seasonality of the commodity?

For AQIM, the sampling universe is defined by the mode of transport of the 

cargo such as airplane, ship, or truck. 

Sampling Universe Exclusions

The following commodities or commodity types are excluded from the 

sampling universe:

Commodities which are pre-cleared at foreign sites 

Commodities which are admissible under the National Agriculture 

Release Program (NARP)

Commodities which undergo some type of mandatory treatment, other 

than cold treatment (for example, fumigation, irradiation, hot water 

treatment) at work locations

Frozen commodities

Oil, salt, iron ore, coal, etc., which have no pest risk

Seed shipments

Transportation and Exportation (T&E) cargo

Cargo Strata and Stratifying the Sample

The sampling and inspection processes for AQIM were designed to be 

compatible with typical cargo inspection groupings. The cargo universe is 

divided into several homogeneous and distinctly separate groups. Each group 

contains commodities that will be sampled in order to estimate the action and 

pest approach rates in each group. A port may be sampling one or more of the 

commodities in a group or across groups. Monitor the following cargo 

categories:
Pathway Maritime Cargo

Cargo Strata and Stratifying the Sample

04/2023-22 AQIM Handbook 4-4-3

Commercial perishable agricultural cargo (defined as any commercial 

shipment of fresh fruit, vegetables, and cut flowers)

Wood packaging material (WPM)

Italian tile container cargo

By selecting a set number from these categories, PPQ is able to get precise 

estimates of the number of containers with pests approaching the port. This 

risk information helps the work location understand how effectively it manages 

the pest risk for each commodity, as well as for the entire cargo universe at the 

port.

It’s very important that each commodity in a category selected be 

representative of all other units of that commodity. All shipments of a category 

should have a chance of being selected as a sample. One way to ensure that the 

sample is representative is to choose a shipment of the commodity at random 

(either random time, random number, etc.). This random selection process 

eliminates the bias of the Agriculture Specialist who is selecting the sample. 

The Agriculture Specialist’s experience (bias) might lead to choosing a 

shipment that is more likely to be harboring a pest. This bias would make the 

sample not representative of the entire commodity universe. The survey results 

would be skewed and this kind of bias would hamper the port’s ability to make 

the best decisions based on risk analysis.

Setting Up a Process

Setting up a process of selecting representative samples for each of the 

commodities will be one of the biggest challenges in AQIM. Because each port 

has its own unique set of circumstances in cargo operations, the port must 

individualize its random sampling process. Document the process and if 

needed, ask for feedback from other maritime cargo ports, the AQIM 

coordinator, or Port Operations staff who have experience in selecting random 

samples in the cargo environment. The port may even decide that the Port Risk 

Management Team determine and review the random sampling process on a 

regular basis.
Pathway Maritime Cargo

The Sampling Unit

4-4-4 AQIM Handbook 04/2023-22

The Sampling Unit

For maritime cargo, the sample unit is the container or container equivalent of 

the commodity. A container equivalent is defined as the number of pallets of a 

commodity (20) that would fill a 40 foot container. It is crucial that the sample 

unit is inspected closely enough to detect any actionable pests and 

mismanifested items. Maritime cargo sampling and inspection procedures are 

detailed in Table 4-4-2 on page 4-4-7. Procedures for sampling multiple 

commodities within the selected container are detailed in Table 4-4-3 on page 

4-4-8. Follow the procedures exactly in order for the monitoring estimates to 

be valid and useful.

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 

instructions. Always follow established protocols through your chain of 

command.

Data Collection Consistency

Record the monitoring results from the inspection of a random sample unit 

accurately and consistently. Because each sample represents many other units, 

all Agriculture Specialist’s must be as consistent as possible in following the 

inspection procedures.

Regulated commodities pose a special challenge. If the sample selected is a 

regulated commodity, it is important to understand the following:

Cargo monitoring estimates the number of containers approaching the work 

location with commodity pest infestation levels requiring action by PPQ. 

AQIM uses risk-based inspection procedures for detecting a 10 percent or 

more pest infestation rate. This initial threshold is used to estimate the number 

of containers with a pest threat approaching a work location.

To be 95 percent sure that the Agriculture Specialist inspecting the container 

will find the pest when the shipment is infested at a 10 percent or more 

infestation level, the Agriculture Specialist must select, at random, a specific 

number of boxes in the shipment. Determine this number of boxes by using the 

hypergeometric table illustrated in Table 4-4-1 on page 4-4-5. Each of these 

boxes must be inspected at level of intensity to ensure that:

No hitchhiker pests are present in the box 

NOTICE

This 10 percent infestation level may change as the data for AQIM is collected and 

analyzed.
Pathway Maritime Cargo

Maritime Cargo Procedures Summary

04/2023-22 AQIM Handbook 4-4-5

No internal feeding insects are present in randomly selected fruit in the 

box

No mismanifested or smuggled items are present

Agriculture Specialists should follow normal inspection procedures of the 

commodities to determine if pests are present. For example, Agriculture 

Specialists should cut fruit to detect internal feeders if external evidence is 

present.

Maritime Cargo Procedures Summary

The following ports are participating in maritime cargo AQIM data collection:

Commercial Perishable Agricultural Cargo

Brooklyn, NY

Port Everglades, FL

Houston, TX

Table 4-4-1 Hypergeometric Table for Random Sampling in Commodity 

Inspection

Total number of boxes inside sample 

container: Randomly select this number of boxes:

1-10 All boxes in the shipment

11-12 11

13 12

14-15 13

16-17 14

18-19 15

20-22 16

23-25 17

26-28 18

29-32 19

33-38 20

39-44 21

45-53 22

54-65 23

66-82 24

83-108 25

109-157 26

158-271 27

272-885 28

886-200,000 29
Pathway Maritime Cargo

Maritime Cargo Procedures Summary

4-4-6 AQIM Handbook 04/2023-22

Long Beach, CA

Miami, FL

Newark, NJ

Philadelphia, PA

Wilmington, DE

Wood Packaging Material (WPM)

Baltimore, MD

Boston, MA

Brooklyn, NY

Charleston, SC

Gulfport, MS

Honolulu, HI

Long Beach, CA

Miami, FL

Newark, NJ

New Orleans, LA

Norfolk, VA

Oakland, CA

Philadelphia, PA

Port Everglades, FL 

San Juan, PR

Savannah, GA

Seattle, WA

Tacoma, WA

West Palm Beach, FL

Italian Tile Container Cargo

Houston, TX

Miami, FL

Newark, NJ

Norfolk, VA

Port Everglades, FL

Savannah, GA
Pathway Maritime Cargo

Maritime Cargo Procedures Summary

04/2023-22 AQIM Handbook 4-4-7

Table 4-4-2 Maritime Cargo Procedures Summary

MARITIME CARGO AQIM PROCEDURES

Commodity Random sample of one or more of the following categories:

 Commercial Perishable Agricultural Cargo (fresh fruit, vegetables, and cut flowers)

 Wood Packaging Material (WPM) 

 Italian Tile Container Cargo

Cargo Population 

Definition

All containers (or container equivalents) carrying the above commodities destined to US. Refer to 

Sampling Universe Exclusions on page 4-4-2.

Note: Commodities with mandatory cold treatments are included.

Sample Size For Commercial Perishable Agricultural Cargo, select two (2) containers (or container equivalent) per week per port. If the consignment consists of smaller retail units like clam shell packaging or smaller film-wrapped retail packaging or trays in boxes, then select the proper sample size 

from the total number of clam shells, trays, etc. for inspection.

For WPM, select two (2) containers per week per port. If the randomly selected sample does 

NOT have WPM associated with it, keep the sample but record it in the AQIM worksheet as a 

negative finding and follow the instructions in the AQIM worksheet. Do not use a perishable or 

Italian tile cargo sample for the WPM sample.

For Italian Tile Container Cargo, select two (2) containers per week per port required (and as 

tile seasonality allows.)

Contact the National Operations Manager for Exclusion and Imports for assistance (Mikell Tanner 

at 919-855-7317 or email Mikell.Tanner@usda.gov).

Sample Selection Examples of sample selection processes are random time, port discretion, etc. The port may 

need to first determine the total number of shipments of a commodity received at a port in one 

year. If commodity is seasonal, then plan for sampling during the full import season of commodity, 

if reasonable, for the number of samples needed.

Inspection MethodologyPhysically inspect each selected shipment at the port or consignee premise.

Select boxes for inspection from random locations throughout the container to detect a 10 percent level of infestation (at 95% confidence). Determine the number of boxes using Table 4-4-1

on page 4-4-5. Inspect entire contents of boxes selected and available floor space of the container for agricultural pests or mismanifested or smuggled items.

For Commercial Perishable Agricultural Cargo:

1. Refer to Table 4-4-3 on page 4-4-8 before beginning the inspection process.

2. Inspect cargo using appropriate AQIM hypergeometric inspection procedures for each sample.

3. Record all needed data on appropriate AQIM data worksheet and report data using ARM.

For WPM and Italian Tile Container Cargo:

1. Inspection of cargo and WPM is to assure observation of as much WPM as cargo will allow. 

Partial or full de-vanning may be necessary based on situation and judgment of inspector.

2. Record all needed data on appropriate AQIM data worksheet and report data using ARM.

Other Issues Inspect during the normal business hours at the port. Costs for OT clearance will be paid by the 

shipper/broker/consignee.

Advise shippers, importers, and brokers that random sampling and inspection will be part of dayto-day operations. They should understand that there is a probability that their shipment will be 

intensely inspected.
Pathway Maritime Cargo

Maritime Cargo Procedures Summary

4-4-8 AQIM Handbook 04/2023-22

Table 4-4-3 AQIM Sampling Procedures for Multiple Commodities in Cargo

If the randomly selected AQIM consignment is: Then: Which Creates:

All the same perishable commodity 

from one origin

 APPLY hypergeometric inspection 

sampling to whole shipment, 

AND;

 SELECT the appropriate number 

of units for inspection

One AQIM record for ARM data input

Different perishable commodities 

from one or multiple origins (other 

than CUT FLOWERS)

 SELECT the single commodity 

with the most quantity (boxes, 

cartons, etc.) AND;

 SELECT the single commodity 

with the least quantity units (must 

be a minimum of 5 quantity units)

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the commodities selected) 

for one ARM data input

Different CUT FLOWER genera/varieties from one or multiple originsConsider ONLY boxes of single variety cut flowers OR boxes of same 

flower composition bouquets1

:

 SELECT the cut flower genus/

variety with the most quantity 

units (boxes, cartons, etc.) AND;

 SELECT the cut flower genus/

variety with the least quantity units 

(must be a minimum of 5 quantity 

units) 2

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the cut flower genera 

selected) for one ARM data input. 

Record cut flower variety name and 

origin of the cut flower (NOT origin of 

flight or vessel.)

1 Consider only bouquets where most of its flowers are from one single flower variety, excluding greenery. For example, if the 

bourquet’s flower composition is five roses, two daisies, and one carnation (excluding greenery), identify the bouquet as a 

rose bouquet.

2 If there are multiple commodities/cut flower varieties with five boxes each, then port discretion is used to select the five box 

commodity to be sampled and inspected.

NOTICE

Do not select commodities from United States territories to the mainland continental 

U.S. (e.g., Guam, U.S. Virgin Islands, etc.) for AQIM sampling. 

If the random selection is from a U.S. territory, then select the next shipment that is 

not from a U.S. territory.
Pathway Maritime Cargo

Pathway Monitoring Maintenance and Quality Assurance

04/2023-22 AQIM Handbook 4-4-9

Pathway Monitoring Maintenance and Quality Assurance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and performed properly. To help 

with reviewing the status of monitoring activities, refer to Appendix E on page 

E-1-1. This appendix contains a checklist of questions port managers and local 

AQIM coordinators should periodically answer to ensure proper monitoring of 

each designated pathway at their work locations. The questions review the 

following topics:

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Maritime Cargo Worksheet

For AQIM purposes, use the Maritime Cargo data worksheet and associated 

instructions for recording information gathered from maritime cargo 

inspection. Properly record the commodity being inspected. 

Data Collection and Maintenance

Traditionally, PPQ based port work on how much cargo was inspected and on 

the number of pest interceptions found on cargo. Ports inspected cargo, found 

pests, and tallied them to justify good job performance. AQIM emphasizes 

work efforts based on the potential threat posed by foreign pests and quarantine 

material.

By sampling a set number of samples from each cargo stratum, PPQ is able to 

get precise estimates of the number of cargo containers with pests approaching. 

It is then easier to make comparisons which help the port understand how 

effectively it manages the pest risk in each cargo grouping, and therefore, for 

the cargo universe.

Every port needs to be involved in AQIM. Each port has a group of managers, 

supervisors, and Agriculture Specialists who manage results monitoring and 

the subsequent risk management functions at the port. All CBP personnel are 

involved and supportive of the process.
Pathway Maritime Cargo

Agricultural Risk Management System (ARM)

4-4-10 AQIM Handbook 04/2023-22

The expected results are that PPQ will have results monitoring systems in 

place that will meet the needs of management and the requirements of the 

GPRA. 

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching ports? What is the level 

of infestation of the pests in the cargo?

2. How effective is the AQI program at managing this threat?

Preliminary results for maritime cargo surveys provide a general answer for 

question 1. That is, there are varying rates at which prohibited agricultural 

materials or cargo units infested with an agricultural pest approach the ports. 

Surveys show that at some ports about 1.5 percent of the container units carried 

actionable pests in the past year, while other work locations show rates as high 

as 20 percent.

These percentages are an approximation of agricultural pest threat. Further 

analysis of the monitoring data is needed to determine the risk associated with 

maritime cargo approaching the workstation. The origin and destination of the 

cargo are important to determine risk levels. Also, whether or not the cargo 

carries an actual agricultural pest or smuggled item is crucial in analyzing risk. 

Analysis of the monitoring data need to occur at several levels of PPQ. At the 

ports, PPQ personnel need to study what the data means and answer the first 

question for their specific location. Analysis tools are available to help with 

these analyses, which are explained in the next subsection. At the same time, 

PPQ holds risk analysis workshops around the country to introduce risk 

analysis concepts. At some ports, Risk Management Teams are formed to look 

at monitoring data and other data, which are normally collected at the location.
Pathway Maritime Cargo

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-4-11

At other locations, analyses of monitoring data occur to establish rates at which 

quarantined items and agricultural pests are approaching the borders of states, 

areas of the country, and the United States.

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work locations can use to carry out the analysis.

Questions to Guide Data Analysis 

1. How many containers were selected for sampling during the survey 

period?

How many actions were required on containers sampled?

How many actions by strata category sampled were there?

What is the action approach rate of containers that require action (number 

of containers requiring action divided by total containers in the sample)? 

What are the action approach rates by strata category?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest approach rate: What is the rate of pest interceptions in relation to the 

total sampled number of containers (number of containers with actionable 

pests divided by number of containers total in the sample)?

3. Compare the rate of actions required for each month of the survey.

DISCUSSION:

Are these easily identified trends when the rate of QMIs transiting the port 

are higher?

Are there seasonal trends?

Do higher rates correlate with national or religious holidays, certain types 

of containers, cargo, or importers?

4. Generate a listing and frequency of shipments requiring action. Which 

commodities present the greater risk?

Which commodities most likely require action? Where were the 

agricultural pests found? Which commodities involved solid wood 

packaging (SWP) actions? What is the rate of containers with smuggled 

or mismanifested items?

DISCUSSION:
Pathway Maritime Cargo

Questions to Guide Data Analysis

4-4-12 AQIM Handbook 04/2023-22

How effective is the current tailgate inspection process in detecting pests 

and/or smuggled cargo?

5. What types of shipments (refrigerated, mixed vegetables, dry containers, 

empties, cut flowers, express carriers, etc.) require higher rates of action?

DISCUSSION:

What selectivity factors are currently used to identify shipments likely to 

require action? 

What additional selectivity factors would be used to identify shipments 

likely to require action?

Do the survey results indicate additional factors that help identify 

shipments most likely to require action?

6. Using monitoring data, apply the survey results to the cargo universe at the 

port to estimate the number of actions required and interceptions likely to 

transit the port during the same time the survey period took place.

How many containers arrived at the port during the survey period? Using 

the action approach rate for containers requiring action, calculate an 

estimate of the number of containers transiting the port that are likely to 

require action. What are the estimates per strata category?

Using WAD data, how does the estimated number of actions required 

compare with the reported number of actions taken?

How many additional actions may have been required during the survey 

period?

How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests on WAD?

DISCUSSION:

What percentage of resources are dedicated to staffing AQI activities for 

maritime cargo at this port?

What is the relative risk of maritime cargo compared with other pathways 

in the port?

Should resources be reallocated among all the pathways in the port to 

better address the relative risk of the pathways?
04/2023-22 AQIM Handbook 4-5-1

Chapter

4 Pathway

Mail Facility

Contents

Background 4-5-1

Standard Operating Procedures 4-5-2

Pathway Monitoring Maintenance 4-5-2

Mail Facility Worksheet 4-5-3

Agricultural Risk Management System (ARM) 4-5-3

Survey Results and How To Use Them 4-5-3

Questions to Guide Data Analysis 4-5-4

Background

During the past decade, the arrival of air and surface foreign mail has increased 

significantly. The various agricultural items that foreign mail can potentially 

carry is staggering. These agricultural items can pose significant exotic pest 

and disease risks to U.S. agriculture. Therefore, PPQ is using AQIM to 

randomly sample U.S. Postal Service foreign mail to determine the potential 

threat of foreign mail. 

Each work location that services a mail facility will randomly sample air and 

surface foreign mail arriving at that location. The data collected from the 

random sampling will help to answer the following questions:

1. What is the threat of agricultural pests approaching the work location via 

this pathway?

2. How effective is the AQI program at managing this threat?

In order to determine risk levels, the origin and destination of foreign mail is 

important, as well as, whether agriculture items in foreign mail carry any pest 

or disease.

While each mail facility has a differing amount of foreign mail, the same 

criteria for sampling foreign mail applies to all mail facilities. By consistently 

taking random samples of foreign mail, PPQ will be able to depict any 

emerging pest threat by this pathway. The combined data from all work 

locations that service mail facilities will help PPQ determine the pest risk of 

agricultural items carried in the universe of foreign mail.

Monitoring foreign mail is an ongoing PPQ function and is an integral part of 

the AQI program. The ongoing sampling of foreign mail will allow work 
Pathway Mail Facility

Standard Operating Procedures

4-5-2 AQIM Handbook 04/2023-22

locations to adjust their selection criteria for the present and the future. Also, 

monitoring helps PPQ measure how well its workforce is accomplishing the 

mission to exclude exotic pests and diseases.

Standard Operating Procedures

Sample 300 mail packages per month. (excluding obvious book/magazine 

bundles or packages.) Months with non-work holidays will affect this number. 

Depending on the actual number of workdays per week, properly select the 

following mail package samples per day:

If working 5 days per week, select 14

If working 6 days per week, select 12 

If working 7 days per week, select 10

1. Apply appropriate AQIM inspection procedures for each sample.

2. Record all needed data on appropriate AQIM data worksheet.

3. Report the data using ARM.

Contact the National AQIM coordinator if unable to achieve the specified 

sampling amounts based on the pathway instructions. Always follow 

established protocols through your chain of command.

The following ports are participating in AQIM sampling:

Chicago, IL

Jamaica, NY

Los Angeles, CA

Miami, FL

Newark, NJ

San Francisco, CA

Pathway Monitoring Maintenance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and being performed properly. To 

help with reviewing the status of monitoring activities, refer to Appendix E on 

page E-1-1.

This appendix contains a checklist of questions port managers and local AQIM 

coordinators should periodically answer to ensure proper monitoring of each 

designated pathway at their work locations. The questions review the 

following topics:
Pathway Mail Facility

Mail Facility Worksheet

04/2023-22 AQIM Handbook 4-5-3

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Mail Facility Worksheet

For AQIM purposes, use the Mail Facility Data Worksheet and associated 

instructions for recording information gathered from foreign mail inspection. 

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching work locations?

2. How effective is the AQI program at managing this threat?

Preliminary results for foreign mail surveys provide a general answer for 

Question 1. That is, there are varying rates at which prohibited agricultural 

materials approach work locations. These prohibited agricultural materials are 

what could have agricultural pests. Surveys show that at some work locations 

about 2 percent of the foreign mail had prohibited items. At other work 

locations, surveys show that the rate of prohibited items in foreign mail 

occurred near 6 percent.

These percentages are a rough approximation of agricultural pest threat. 

Further analysis of the monitoring data is needed to determine the risk 
Pathway Mail Facility

Questions to Guide Data Analysis

4-5-4 AQIM Handbook 04/2023-22

associated with the prohibited items approaching the work location. The origin 

and destination of the prohibited items are important to determine risk levels. 

Also, whether or not the prohibited item carries an actual agricultural pest is 

analyzing risk.

Analyses of the monitoring data need to occur at several levels of PPQ. At the 

work locations, PPQ personnel need to study what the data means and answer 

the first question for their specific location. Analysis tools are available to help 

with these analyses, which are explained in the next subsection. At the same 

time, PPQ holds risk analysis workshops around the country to introduce risk 

analysis concepts. At some work locations, Risk Management Teams are 

formed to look at monitoring data and other data, which are normally collected 

at the location.

At other locations, analyses of monitoring data occur to establish rates at which 

quarantine items and agricultural pests are approaching the borders of States, 

areas of the country, and the United States.

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work locations can use to carry out the analysis.

Questions to Guide Data Analysis

1. How many foreign mail packages were selected for sampling during the 

survey period?

How many mail packages sampled required an action (seizure or other 

action required as a condition of entry) during the survey period?

What is the action approach rate of mail packages requiring action 

(number of mail packages, with one or more items categorized as seized/

intercepted or clean/treatment, divided by the total number of mail 

packages sampled)?

How many seizures (QMIs) came from the samples?

What is the QMI approach rate of mail packages with prohibited 

agricultural material (total number of QMIs divided by total mail 

packages sampled during the survey period)?

2. How many pest interceptions (actionable pests) were made from survey 

samples?
Pathway Mail Facility

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-5-5

Pest Approach Rate: What is the rate of pest interceptions in relation to 

number of mail packages (number of actionable pests divided by number 

of mail packages in the sample)?

3. How many QMIs were plant material? Meat or animal products? 

What is the rate of QMIs for plant material and meat/animal products?

DISCUSSION:

Is there a greater risk from plant material or animal products at the work 

location?

4. Generate a list of all the origins of mail packages transiting the work 

location. Produce a list of origins of mail packages with QMIs transiting 

the work location?

5. Generate a list of the destinations of mail packages transiting the work 

location. What are the top five destinations of mail packages? What are 

the top five destinations of mail packages with QMIs?

DISCUSSION:

Which States are considered high risk States?

6. What is the action approach rate for each month of the survey period?

DISCUSSION:

Do these monthly rates correlate with traditional peak and off-peak 

mailing periods?

Are there easily identified trends when the rate of QMIs transiting the 

work location are higher?

Are there seasonal trends or do higher rates correlate with national or 

religious holidays, beginning or end of the school year, vacation periods, 

etc.?

7. Generate a listing and frequency of items seized/intercepted. What are the 

top five most frequently seized/intercepted items? Which QMI items 

present the greater risk?

8. Apply the survey results to the total mail package population to estimate 

the number of QMIs and interceptions likely to transit the work location 

during the survey period.

How many (total) mail packages arrived at the mail facility during the 

survey period? Using WAD data and using the QMI approach rate and 

rate of pest interceptions on QMIs, calculate estimates of the number of 

QMIs and actionable pests transiting the work location.

DISCUSSION:

How does the estimated number of QMIs compare with the reported 

number of QMIs on WAD?
Pathway Mail Facility

Questions to Guide Data Analysis

4-5-6 AQIM Handbook 04/2023-22

What percentage of all QMIs transiting the work location were seized/

intercepted as a result of the AQI program? 

How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests on WAD?

What percentage of all actionable pests transiting the work location were 

intercepted as a result of the AQI program?
04/2023-22 AQIM Handbook 4-6-1

Chapter

4 Pathway

Northern Border Vehicles

Contents

Background 4-6-1

Standard Operating Procedures 4-6-1

Passenger Vehicle Universe 4-6-3

Inspection Criteria for the 7-Point Inspection 4-6-3

Pest Interception Procedures 4-6-3

Safety 4-6-3

Pathway Monitoring Maintenance 4-6-4

Northern Border Vehicle Worksheet 4-6-4

Agricultural Risk Management System (ARM) 4-6-4

Survey Results And How To Use Them 4-6-4

Questions to Guide Data Analysis 4-6-5

Background

This pathway covers passenger vehicles entering the United States via northern 

border crossings. Record information on a worksheet even if no agricultural 

item(s) are found.

Standard Operating Procedures

Collect random samples from the entire, non-commercial, vehicle population 

approaching the crossing. Sample 5 to 10 samples per day or the required 

number approved based on days the port is staffed. Refer to Table 4-6-1 to 

determine the required minimum number of samples. Use a random time 

generator tool (for example, Random.org) to generate random sampling 

numbers. Only ports having one or more full time Agriculture Specialist will 

conduct vehicle sampling. Continue randomly collecting AQIM samples while 

under Code Orange or higher alerts. 

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 
Pathway Northern Border Vehicles

Standard Operating Procedures

4-6-2 AQIM Handbook 04/2023-22

instructions. Always follow established protocols through your chain of 

command.

For each AQIM sample:

Use the 7-point inspection procedures on all vehicles and 100-percent 

hand inspection procedures of all passenger baggage and personal effects.

Record all needed data on the appropriate AQIM data worksheet.

Report data using ARM.

Refer to Table 4-6-2 for AQIM sample numbers per port per month.

Table 4-6-1 Sampling Protocol Based on Number of Personnel

If the number of full time Agriculture Specialists is/are: Then the sampling protocol is:

1 Minimum of 5 per day (100 per month)1

1 Locations are encouraged to sample more than the minimum

2 or more Minimum of 10 samples per day1

Table 4-6-2 Northern Border Vehicle Sample Numbers

Port Number of Samples per Month

Alexandria Bay, NY 150

Blaine, WA 300

Buffalo, NY 300

Calais, ME 150

Champlain, NY 150

Derby Line, VT 150

Detroit, MI 300

Dunseith, ND 100

Eastport, ID 150

Grand Portage, MN 100

Highgate Springs, VT 150

Houlton, ME 150

International Falls, MN 150

Jackman, ME 100

Lynden, WA 100

Oroville, WA 150

Pembina, ND 150

Portal, ND 150

Porthill, ID 100

Port Huron, MI 300

Raymond, MT 150

Rooseville, MT 100
Pathway Northern Border Vehicles

Passenger Vehicle Universe

04/2023-22 AQIM Handbook 4-6-3

Passenger Vehicle Universe

The passenger vehicle universe includes automobiles, vans, recreational 

vehicles, cab area of all types of non-commercial trucks, and other similar 

passenger type vehicles.

Inspection Criteria for the 7-Point Inspection

Inspect the following areas of all randomly selected vehicles:

1. Under hood

2. Glove compartment

3. Trunk area including side panel compartment

4. Under spare tire compartment

5. Under seats

6. All luggage and handbags

7. Other interior side panel compartments

Pest Interception Procedures

Pest interception information resulting from random sample surveys is an 

important factor regarding risk management. All quarantine material found 

needs to undergo 100 percent inspection for pests. Record all pest types and 

quantities found on quarantine material on pest interception form(s).

Send pest interceptions from seized/intercepted items to port or area 

identifiers. Mark the interception “PROMPT: NORTHERN BORDER 

MONITORING.”

Safety

Maintain safe working conditions at all times. When a condition develops that 

challenges the safety of the Agriculture Specialist, terminate the inspection 

until the hazardous condition is corrected. The exercise of good judgment will 

dictate when these situations need to be addressed and how acceptable 

alternatives can be employed.

Sumas, WA 150

Sweetgrass, MT 150

Van Buren, ME 100

Table 4-6-2 Northern Border Vehicle Sample Numbers

Port Number of Samples per Month
Pathway Northern Border Vehicles

Pathway Monitoring Maintenance

4-6-4 AQIM Handbook 04/2023-22

Pathway Monitoring Maintenance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and being performed properly. To 

help with reviewing the status of monitoring activities, refer to Appendix E on 

page E-1-1. This appendix contains a checklist of questions port managers and 

local AQIM coordinators should periodically answer to ensure proper 

monitoring of each designated pathway at their work locations. The questions 

review the following topics:

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Northern Border Vehicle Worksheet

For AQIM purposes, use the Northern Border vehicle data worksheet and 

associated instructions for recording information gathered from northern 

border vehicle inspections.

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results And How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agriculture pests approaching work locations?

2. How effective are the AQI operations managing this threat?
Pathway Northern Border Vehicles

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-6-5

Preliminary results for Northern border vehicle surveys provide a general 

answer for Question 1. That is, there are varying rates at which prohibited 

agricultural materials approach the Northern border crossings. These 

prohibited agricultural materials are what could have agricultural pests. 

Further analysis of the monitoring data is needed to determine the risk 

associated with the specific agricultural items approaching the work location. 

The origin and destination of the agricultural items are important to determine 

risk levels. Also, whether or not the agricultural items carry an actual 

agricultural pest is crucial to analyzing risk.

Analysis of the monitoring data needs to occur to answer the first question for 

specific work locations. Analysis tools are available to help with these 

analyses, which are explained in the next subsection. At the same time, PPQ 

holds risk analysis workshops around the country to introduce risk analysis 

concepts. At some work locations, Risk Management Teams are formed to 

look at monitoring data and other data which is normally collected. Those 

locations that contribute to a group sample may want to form an interstate risk 

management group.

At all other locations, analyses of monitoring data occur to understand the rates 

at which prohibited items and agricultural pests are approaching the borders of 

States, areas of the country, and the United States.

Once baseline rates are well established, port managers can use the monitoring 

data as a baseline to answer the second basic question: How effective are the 

AQI operations at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work locations can use to carry out the analysis.

Questions to Guide Data Analysis

1. How many vehicles were selected for the sampling during the survey 

period?

How many vehicles sampled required an action (seizure or other action 

required as a condition of entry) during the survey period?

What is the action approach rate of vehicles requiring action (number of 

vehicles with one or more items categorized as seized/intercepted or 

clean/treatment divided by the total number of vehicles sampled)?

What is the total number of QMIs seized/intercepted during the survey 

period?

How many seizures (QMIs) came from the samples during the survey 

period?
Pathway Northern Border Vehicles

Questions to Guide Data Analysis

4-6-6 AQIM Handbook 04/2023-22

What is the QMI approach rate of vehicles with prohibited agricultural 

material (total number of QMIs divided by total vehicles sampled during 

the survey period)?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest approach rate: What is the rate of pest interceptions in relation to 

number of vehicles (number of actionable pests divided by number of 

vehicles in the sample)?

3. How many QMIs were plant material? Meat or animal products? 

What is the rate of QMIs for plant material and meat or animal products?

Is there a greater risk from plant material or animal products at the work 

location?

4. How many vehicles were sampled at each crossing? What is the rate of 

QMI seizures at each crossing? Which crossings have a higher rate of 

QMIs than vehicles?

DISCUSSION:

Are these crossings staffed accordingly? AQIM data analysis provides 

information on which crossing is the higher risk according to the 

approach rate. This analysis helps determine if staff is properly allocated 

among the crossings. The example in Table 4-6-3 shows that according to 

the approach rates, vehicles crossing Bridge B could represent the greater 

risk at the work location. Staff each location according to the level of risk.

5. What are the destinations of vehicles transiting the work location? Is local 

traffic (less than 25 miles from the work location) considered a high risk? 

What are the number of QMIs traveling to local locations versus distant 

locations? 

DISCUSSION: 

Which states are considered high risk States? How can you best select 

vehicles destined to these high risk States to protect U.S. agriculture?

6. Compare the action approach rate for each month of the survey period.

DISCUSSION:

Table 4-6-3 Example of Number of Vehicles Sampled and Approach Rate

Northern Border 

Vehicle Bridges

Vehicles 

Sampled QMIs Approach Rate (%)

A 540 15 2.7

B 360 25 6.9

C 900 30 3.3
Pathway Northern Border Vehicles

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-6-7

Are there easily identified monthly trends when the rate of QMIs 

transiting the work location are higher?

Are there seasonal trends or do higher rates correlate with national or 

religious holidays, beginning or end of the school year, vacation periods, 

etc.?

Do these rates correlate with traditional peak and off-peak travel times?

7. Generate a listing and frequency of items seized/intercepted. What are the 

top five items most frequently seized/intercepted? Which QMIs present the 

greatest risk?

8. Which vehicles (and at which crossing) were carrying prohibited items? 

Where were the items found, hand carried bags, passenger compartment, 

glove box, truck, luggage? Did the passenger declare all prohibited items? 

Was the passenger traveling alone, as a couple, or family? What was the 

reason for travel business, vacation, visit family, tour group, school? What 

type of vehicle was used to transport prohibited items?

DISCUSSION:

How do current selective targeting factors compare with survey results? 

What selectivity factors could be changed or added to identify vehicles 

carrying prohibited items?

What percentage of resources are dedicated to staffing AQI activities for 

northern border vehicles at the work location?

What is the relative risk of northern border vehicles compared with other 

pathways in the work location?

Should resources be reallocated among all the pathways in the work 

location to better address the relative risk of the pathways?

9. Apply the monitoring results to the total approaching population to 

estimate the number of QMIs and pest interceptions likely to transit the 

port during the survey period by answering:

How many total vehicles entered the port during the survey period? Using 

the rate of QMIs and pest interceptions from AQIM, calculate estimates 

of the number of QMIs and actionable pests transiting the port.

DISCUSSION:

What percentage of all QMIs transiting the port were seized/intercepted as 

a result of the AQI program, use WAD data? 

How does the estimated number of QMIs compare with the reported 

number of QMIs on WAD?

How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests on WAD?
Pathway Northern Border Vehicles

Questions to Guide Data Analysis

4-6-8 AQIM Handbook 04/2023-22

What percentage of all actionable pests transiting the port were 

intercepted as a result of the AQI program?
04/2023-22 AQIM Handbook 4-7-1

Chapter

4 Pathway

Northern Border Truck Cargo

Contents

Background 4-7-1

The Sampling Universe 4-7-2

Sampling Universe Exclusions 4-7-2

Cargo Strata and Stratifying the Sample 4-7-3

Setting Up a Process 4-7-3

The Sampling Unit 4-7-3

Data Collection Consistency 4-7-4

Northern Border–Truck Cargo Procedures Summary 4-7-5

Pathway Monitoring Maintenance and Quality Assurance 4-7-7

Northern Border Truck Cargo Worksheets 4-7-8

Agricultural Risk Management System (ARM) 4-7-8

Survey Results and How To Use Them 4-7-8

Questions To Guide Data Analysis 4-7-9

Background

The cargo population, or sampling universe, for AQI monitoring in the 

northern border truck cargo pathway is defined as commercial plant 

perishable agricultural cargo. Take random samples from this population 

with more intensive (hypergeometric) inspections. Record necessary data 

about these commodities.

In order to properly monitor cargo, you need to have a good understanding of 

two key statistical principles:

1. It is important that the sample selected be representative of the universe. 

Random selection helps ensure this.

2. Once the sample is selected, it is necessary to inspect the sample 

thoroughly.

If you want your work location to produce quality risk information, then each 

person participating must have a clear understanding of the sampling universe, 

cargo strata and stratifying the sample, the unit of sampling, and consistency 

issues.
Pathway Northern Border Truck Cargo

The Sampling Universe

4-7-2 AQIM Handbook 04/2023-22

The Sampling Universe

You estimate the number of actions due to pests or improperly manifested 

items in a cargo entry pathway by taking random samples from the cargo in the 

pathway. It is key to good statistics to carefully define this universe from which 

you want to draw your random sample. Answer the following questions in 

order to select the sample correctly and make statistical inferences for the 

entire universe. 

How are commodities transported? 

How many commodities are arriving at a work location?

What kinds of commodities are arriving?

Are certain types of commodities of more interest to PPQ than others?

For AQIM, the universe is defined by the mode of transport of the cargo, in 

this case, the truck. 

Sampling Universe Exclusions

Initially, PPQ has decided to limit the universe. The following commodities or 

commodity types will be excluded from the sampling universe:

Border Release Advance Screening and Selectivity (BRASS) released 

cargo

Commodities which are pre-cleared at foreign sites

Commodities which are admissible under the National Agriculture 

Release Program (NARP)

Commodities which undergo some type of mandatory treatment, other 

than cold treatment (for example, fumigation, irradiation, hot water 

treatment) at work locations

Frozen commodities

Loose bulk loaded perishable cargo (floor loaded on the truck bed; no 

boxes, crates, cartons, bags, etc. used for commodity containment)

Oil, salt, iron ore, coal, etc., which have no pest risk

Seed shipments

Transportation and Exportation (T&E) cargo
Pathway Northern Border Truck Cargo

Cargo Strata and Stratifying the Sample

04/2023-22 AQIM Handbook 4-7-3

Cargo Strata and Stratifying the Sample

The sampling and inspection processes for AQIM were designed to be 

compatible with typical cargo inspection groupings. The cargo universe is 

divided into several homogeneous and distinctly separate groups in order to 

estimate the pest approach rates in each group. 

By sampling a set number of samples from each cargo group, PPQ is able to 

get precise estimates of the number of trucks with pests approaching the 

border. It is then easier to make comparisons, which helps the work location 

understand how effectively it manages the pest risk for this category, as well as 

for the entire cargo universe at the port.

It is very important that each sample selected be representative of all other 

units in that category. One way to ensure that the sample is representative is to 

choose a truck at random (either random time, random number, etc.). This 

random selection process eliminates the bias of the Agriculture Specialist 

selecting the sample. The Agriculture Specialist’s experience (bias) might lead 

to choosing a truck that is carrying a commodity that is more likely to be 

harboring a pest. This bias would make the sample not representative of the 

entire truck universe. The monitoring results would be skewed toward those 

commodities likely to harbor a pest. This bias would hamper the work 

location’s ability to make the best decisions based on risk analysis.

Setting Up a Process

Setting up a process of selecting representative samples in each group will be 

one of the biggest challenges in AQIM. Because each work location has its 

own unique set of circumstances in cargo operations, the work location must 

individualize its random sampling process. Document the process and, if 

needed, ask for feedback from other work locations, the AQIM coordinator, or 

port operations staff who have experience in selecting random samples in the 

cargo environment. 

The Sampling Unit

For northern border truck cargo, the sample unit is the truck box containing the 

commodity, not including the cab. It is crucial that the sample unit is inspected 

closely enough to detect any actionable pests or improperly manifested items. 

Northern border truck cargo sampling and inspection procedures are detailed in 

Table 4-7-2 on page 4-7-6. Procedures for sampling multiple commodities on 

the selected truck are detailed in Table 4-7-3 on page 4-7-7.

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 
Pathway Northern Border Truck Cargo

Data Collection Consistency

4-7-4 AQIM Handbook 04/2023-22

instructions. Always follow established protocols through your chain of 

command.

Follow the procedures exactly in order for the monitoring estimates to be valid 

and useful.

Data Collection Consistency

Record the monitoring results from the inspection of a random sample unit 

accurately and consistently. Because each sample represents many other units, 

all Agriculture Specialists must be as consistent as possible in following the 

inspection procedures.

Regulated commodities pose a special challenge. If the sample selected is a 

regulated commodity, it is important to understand the following:

Cargo monitoring estimates the number of trucks approaching the work 

location with pest infestation levels requiring action by PPQ. AQIM uses riskbased inspection procedures for detecting 10 percent or more pest infestation 

rate. This initial threshold is used to estimate the number of trucks with a pest 

threat approaching a work location. 

To be 95 percent sure that the Agriculture Specialist inspecting the sample 

truck will find the pest when the shipment is infested at a 10 percent or more 

infestation level, the Agriculture Specialist must select, at random, a specific 

number of boxes in the shipment. Determine this number of boxes by using the 

hypergeometric table in Table 4-7-1. Inspect each of these boxes to ensure that:

No hitchhiker pests are present in the box

No internal feeding insects are present in randomly selected fruit in the 

box

No mismanifested or smuggled items are present

NOTICE

This 10 percent infestation level may change as the data for AQIM is collected and 

analyzed.

Table 4-7-1 Hypergeometric Table for Random Sampling

Total number of boxes on the truck: Randomly select this number of boxes:

1-10 All boxes in the shipment

11-12 11

13 12

14-15 13

16-17 14

18-19 15
Pathway Northern Border Truck Cargo

Northern Border–Truck Cargo Procedures Summary

04/2023-22 AQIM Handbook 4-7-5

Agriculture Specialists should follow normal inspection procedures of fruits or 

vegetables to make these determinations. For example, fruit should be cut to 

detect for internal feeders if external evidence is present.

Northern Border–Truck Cargo Procedures Summary

Sample northern border truck cargo for AQIM at the following ports (and the 

staffed crossings managed by these ports):

Alexandria Bay, NY

Blaine, WA

Buffalo, NY

Champlain, NY

Detroit, MI

Port Huron, MI

Refer to Table 4-7-2 for sampling details of northern border truck cargo.

20-22 16

23-25 17

26-28 18

29-32 19

33-38 20

39-44 21

45-53 22

54-65 23

66-82 24

83-108 25

109-157 26

158-271 27

272-885 28

886-200,000 29

Table 4-7-1 Hypergeometric Table for Random Sampling (continued)

Total number of boxes on the truck: Randomly select this number of boxes:
Pathway Northern Border Truck Cargo

Northern Border–Truck Cargo Procedures Summary

4-7-6 AQIM Handbook 04/2023-22

Table 4-7-2 Northern Border Truck Cargo Procedures Summary

Northern Border Truck Cargo Procedures Summary

Cargo Population DefinitionCommercial plant, perishable agricultural cargo is any commercial shipment of perishable, fresh 

fruit, vegetables, and plants, even if stated as Canadian origin. Refer to Sampling Universe Exclusions on page 4-7-2.

NOTE: Commodities with mandatory cold treatment are also included.

Reefer Equipped Containers: SUSPENDED UNTIL FURTHER NOTICE

Sample Size The sample size is 6-12 inspections per week per port from a minimum of six trucks. 

If the consignment consists of smaller retail units like clam shell packaging or smaller film-wrapped 

retail packaging or trays in boxes, then select the proper sample size from the total number of clam 

shells, trays, etc. for inspection.

Contact the National Operations Manager for Exclusion and Imports for assistance (Mikell Tanner at 

919-855-7317 or email Mikell.Tanner@usda.gov).

Inspection 

Methodology

Physically inspect each truck at port or consignee premise. Refer to Table 4-7-3 on page 4-7-7

before beginning the inspection process.

Inspect cargo using appropriate AQIM hypergeometric inspection procedures. Determine the number of boxes using the hypergeometric sampling rates from Table 4-7-1 on page 4-7-4. Select boxes 

for inspection from random locations throughout the truck to detect a 10 percent level of infestation 

(at 95% confidence). Inspect entire contents of boxes selected and available floor space of the truck 

for agricultural pests or mismanifested or smuggled items.

If a bulk shipment is randomly selected for AQIM inspection and is not loose bulk floor loaded,

then determine best estimate of total number of box equivalents as if this was a boxed cargo shipment. (Using an average 10 Kg (appx. 22 lbs.) box or carton as reference.) Based on the estimated 

number of boxes, use the hypergeometric table to determine the number of box equivalents that 

must be randomly inspected. For example: if a bulk shipment contains 16 bins of jalapeno peppers 

with total weight of 14400 Kg (31,746 lbs.), then the estimated box equivalent of this shipment is 

1440 boxes or cartons. In this instance, the hypergeometric table indicates that a total of 29 box or 

carton equivalents must be randomly selected from the entire shipment and inspected for AQIM.

Other Issues Inspect cargo during normal port business hours. Costs for OT clearance will be paid by the shipper/

broker/consignee, or government.

Advise shippers, importers, and brokers that random sampling and inspection will be part of day-today operations. They should understand that there is a probability that their shipment will be 

intensely inspected.
Pathway Northern Border Truck Cargo

Pathway Monitoring Maintenance and Quality Assurance

04/2023-22 AQIM Handbook 4-7-7

Pathway Monitoring Maintenance and Quality Assurance 

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and being performed properly. To 

help with reviewing the status of monitoring activities, refer to Appendix E on 

page E-1-1. This appendix contains a checklist of questions port managers and 

local AQIM coordinators should periodically answer to ensure proper 

monitoring of each designated pathway at their work locations. The questions 

review the following topics:

Accurate and complete data

Adequate sampling

Table 4-7-3 AQIM Sampling Procedures for Multiple Commodities in Cargo

If the randomly selected 

AQIM consignment is: Then: Which Creates:

All the same perishable 

commodity from one origin

 APPLY hypergeometric inspection sampling 

to whole shipment, AND;

 SELECT the appropriate number of units for 

inspection

One AQIM record for ARM data input

Different perishable commodities from one or multiple origins (other than CUT 

FLOWERS)

 SELECT the single commodity with the most 

quantity (boxes, cartons, etc.) AND;

 SELECT the single commodity with the least 

quantity units (must be a minimum of 5 

quantity units)

 APPLY hypergeometric inspection sampling 

separately to each of these selections and 

inspect as separate AQIM samples

Two different AQIM inspection (one 

for each of the commodities 

selected) for one ARM data input

Different CUT FLOWER 

genera/varieties from one 

or multiple origins

Consider ONLY boxes of single variety cut flowers OR boxes of same flower composition bouquets1

:

 SELECT the cut flower genus/variety with 

the most quantity units (boxes, cartons, etc.) 

AND;

 SELECT the cut flower genus/variety with 

the least quantity units (must be a minimum 

of 5 quantity units)2

 APPLY hypergeometric inspection sampling 

separately to each of these selections and 

inspect as separate AQIM samples

Two different AQIM inspections (one 

for each of the cut flower genera 

selected) for one ARM data input. 

Record cut flower variety name and 

origin of the cut flower (NOT origin of 

flight or vessel)

1 Consider only bouquets where most of its flowers are from one single flower variety, excluding greenery. For example, if 

the bourquet’s flower composition is five roses, two daisies, and one carnation (excluding greenery), identify the bouquet 

as a rose bouquet.

2 If there are multiple commodities/cut flower varieties with five boxes each, then port discretion is used to select the 5 box 

commodity to be sampled and inspected.
Pathway Northern Border Truck Cargo

Northern Border Truck Cargo Worksheets

4-7-8 AQIM Handbook 04/2023-22

Local support

Proportional sampling

Random sampling

Working risk committees

Northern Border Truck Cargo Worksheets

AQIM sampling for northern border refrigerated (reefer) truck cargo is 

SUSPENDED until further notice. 

However, sampling will continue for non-refrigerated northern border truck 

cargo. Use the Northern Border Truck Cargo data worksheet and associated 

instructions for recording information gathered from northern border truck 

cargo inspections.

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching work locations?

2. How effective is the AQI program at managing this threat?

Results of surveys for Norther border truck cargo provided a general answer 

for question 1. There are varying rates at which prohibited agricultural 

materials and pests approach the work locations. These prohibited agricultural 

materials are what can have agricultural pests. 

Further analysis of the monitoring data is needed to determine the risk 

associated with the prohibited items approaching the work location. The origin 

and destination of the prohibited items is important to determine risk levels. 
Pathway Northern Border Truck Cargo

Questions To Guide Data Analysis

04/2023-22 AQIM Handbook 4-7-9

Also, whether or not the prohibited item carries an actual agricultural pest is 

crucial in analyzing risk.

Analyses of the monitoring data need to occur at several levels of PPQ. At the 

work locations, PPQ personnel need to study what the data means and answer 

the first question for their specific work location. Analysis tools are available 

to help with these analyses, which are explained in the next subsection. At the 

same time, PPQ holds risk analysis workshops around the country to introduce 

risk analysis concepts. At some work locations, Risk Management Teams are 

formed to look at monitoring data and other data, which are normally collected 

at the work location.

At other locations, analyses of monitoring data occur to establish the rates at 

which quarantined items and agricultural pests are approaching the borders of 

States, areas of the country, and the United States.

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work location can use to carry out the analysis.

Questions To Guide Data Analysis

1. How many trucks were selected for sampling during the survey period?

How many actions were required on the trucks sampled?

How many actions by strata category sampled were there? (Previous data 

has multiple strata.)

What is the action approach rate of trucks that require action (number of 

trucks requiring action divided by total trucks in the sample)?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest Approach Rate: What is the rate of pest interceptions in relation to 

the total sampled number of trucks (number of trucks with actionable 

pests divided by total trucks in the sample)?

3. Compare the rate of actions required for each month of the survey.

DISCUSSION:

Are there easily identified trends when the rate of cargo actions transiting 

the work location are higher?

Are there seasonal trends?
Pathway Northern Border Truck Cargo

Questions To Guide Data Analysis

4-7-10 AQIM Handbook 04/2023-22

Do higher rates correlate with national or religious holidays, certain types 

of trucks, cargo, or importers?

4. Generate a listing and frequency of shipments requiring action. Which 

commodities present the greater risk?
04/2023-22 AQIM Handbook 4-8-1

Chapter

4 Pathway

Southern Border Vehicles

Contents

Background 4-8-1

Standard Operating Procedures 4-8-2

Passenger Vehicle Universe 4-8-3

Inspection Criteria for the 7-Point Inspection 4-8-3

Pest Interception Procedures 4-8-3

Safety 4-8-4

Pathway Monitoring Maintenance 4-8-4

Southern Border Vehicle Worksheet 4-8-4

Agricultural Risk Management System (ARM) 4-8-4

Survey Results and How To Use Them 4-8-5

Questions to Guide Data Analysis 4-8-6

Background

This pathway covers passenger vehicles entering the United States via southern 

border crossings. Record information on a worksheet even if no agricultural 

item(s) are found.
Pathway Southern Border Vehicles

Standard Operating Procedures

4-8-2 AQIM Handbook 04/2023-22

Standard Operating Procedures

Collect random samples from the entire, non-commercial, vehicle population 

approaching the crossing. Sample 5 to 10 samples per day or the required 

number approved based on days the port is staffed. Refer to Table 4-8-1 to 

determine the required minimum number of samples. Use a random time 

generator tool (for example, Random.org) to generate random sampling 

numbers. Only ports having one or more full time Agriculture Specialist will 

conduct vehicle sampling. Locations are encouraged to sample more than the 

minimum of samples per day when possible. Continue randomly collecting 

AQIM samples while under Code Orange or higher alerts. 

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 

instructions. Always follow established protocols through your chain of 

command.

For each AQIM sample:

Use the 7-point inspection procedures on all vehicles and 100-percent 

hand inspection procedures of all passenger baggage and personal effects.

Record all needed data on the appropriate AQIM data worksheet.

Report data using ARM.

Sample southern border vehicles at the following ports (and the staffed 

crossings managed by these ports):

Table 4-8-1 Sampling Protocol Based on Number of Personnel

If the number of full time Agriculture Specialists is/are: Then the sampling protocol is:

1 Minimum of 5 per day (100 per month)1

1 Locations are encouraged to sample more than the minimum.

2 or more Minimum of 10 samples per day1

Anzalduas, TX Nogales, AZ

Brownsville, TX Otay Mesa, CA

Calexico East, CA Pharr, TX

Calexico West, CA Progreso, TX

Columbus, NM Roma, TX

Douglas, AZ San Luis, AZ
Pathway Southern Border Vehicles

Passenger Vehicle Universe

04/2023-22 AQIM Handbook 4-8-3

Passenger Vehicle Universe

The passenger vehicle universe includes automobiles, vans, recreational 

vehicles, cab area of all types of non-commercial trucks, and other similar 

passenger type vehicles.

Inspection Criteria for the 7-Point Inspection

Inspect the following areas of all randomly selected vehicles:

1. Under hood

2. Glove compartment

3. Trunk area including side panel compartment

4. Under spare tire compartment

5. Under seats

6. All luggage and handbags

7. Other interior side panel compartments

Pest Interception Procedures

Pest interception information resulting from random sample surveys is an 

important factor with regard to risk management. All quarantine material 

found needs to undergo 100 percent inspection for pests. Record all pest types 

and quantities found on quarantine material on pest interception form(s).

Send pest interceptions from seized items to port or area identifiers. Mark the 

interception “PROMPT: SOUTHERN BORDER MONITORING.”

Eagle Pass, TX Santa Teresa, NM

El Paso, TX San Ysidro, CA

Hidalgo, TX Tecate, CA

Laredo, TX Ysleta, TX

Los Indios, TX
Pathway Southern Border Vehicles

Safety

4-8-4 AQIM Handbook 04/2023-22

Safety

Maintain safe working conditions at all times. When a condition develops that 

challenges the safety of the Agriculture Specialist, terminate the inspection 

until the hazardous condition is corrected. The exercise of good judgment will 

dictate when these situations need to be addressed and how acceptable 

alternatives can be employed.

Pathway Monitoring Maintenance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and being performed properly. To 

help with reviewing the status of monitoring activities, refer to Appendix E on 

page E-1-1. This appendix contains a checklist of questions port managers and 

local AQIM coordinators should periodically answer to ensure proper 

monitoring of each designated pathway at their work locations. The questions 

review the following topics:

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Southern Border Vehicle Worksheet

For AQIM purposes, use the Southern Border vehicle data worksheet and 

associated instructions for recording information gathered from southern 

border vehicle inspections.

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/
Pathway Southern Border Vehicles

Survey Results and How To Use Them

04/2023-22 AQIM Handbook 4-8-5

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching work locations?

2. How effective is the AQI program at managing this threat?

Preliminary results for Southern border vehicle surveys provide a general 

answer for Question 1. That is, there are varying rates at which prohibited 

agricultural materials approach the work locations. These prohibited 

agricultural materials are what can have agricultural pests. Surveys show that 

at some work locations about 1 percent of the vehicles carried prohibited items 

in the past year. At other ports, surveys show that passengers and vehicles are 

carrying prohibited items at a higher rate, sometimes near 6 percent.

These percentages are a rough approximation of agricultural pest threat. 

Further analysis of the monitoring data is needed to determine the risk 

associated with the prohibited items approaching the work location. The origin 

and destination of the prohibited items is important to determine risk levels. 

Also, whether or not the prohibited item carries an actual agricultural pest is 

analyzing risk.

Analyses of the monitoring data need to occur at several levels of PPQ. At the 

work locations, PPQ personnel need to study what the data means and answer 

the first Question for their specific location. Analysis tools are available to help 

with these analyses which are explained in the next subsection. At the same 

time, PPQ holds risk analysis workshops around the country to introduce risk 

analysis concepts. At some work locations, Risk Management Teams are 

formed to look at monitoring data and other data, which are normally collected 

at the location.

At other locations, analyses of monitoring data occur to establish rates at which 

quarantined items and agricultural pests are approaching the borders of States, 

areas of the country, and the United States.

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 
Pathway Southern Border Vehicles

Questions to Guide Data Analysis

4-8-6 AQIM Handbook 04/2023-22

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work location can use to carry out the analysis

Questions to Guide Data Analysis

The following questions are a guide for managers and Risk Management 

Teams to formulate information around. With the answers, valid decision can 

be made based on the potential risk of quarantined material and exotic pests 

and diseases entering a specific pathway. The value of using the monitoring 

data for decision making is better understood.

1. How many vehicles were selected for the sampling during the survey?

How many vehicles sampled required an action (seizure or other action 

required as a condition of entry) during the survey?

What is the action approach rate of vehicles requiring action (number of 

vehicles with one or more items categorized as seized or clean/treatment 

divided by the total number of vehicles sampled)?

What is the total number of QMIs seized during the survey?

How many seizures (QMIs) came from the samples during the survey?

What is the QMI approach rate of vehicles with prohibited agricultural 

material (total number of QMIs divided by total vehicles sampled during 

the survey)?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest approach rate: what is the rate of pest interceptions in relation to 

number of vehicles (number of actionable pests divided by number of 

vehicles in the sample)? 

3. How many QMIs were plant material? Meat or animal products?

What is the rate of QMIs for plant material and meat or animal products?

DISCUSSION:

Is there a greater risk from plant material or animal products at this work 

location?

4. How many vehicles were sampled at each crossing? What is the rate of 

QMI seizures at each crossing? Which crossings have a higher rate of 

QMIs than vehicles? 

DISCUSSION:

Are these crossings staffed accordingly? AQIM data analysis provides 

information on which crossing is the higher risk according to the 

approach rate. This analysis helps determine if staff is properly allocated 

among the crossings. The example in Table 4-8-2 shows that according to 
Pathway Southern Border Vehicles

Questions to Guide Data Analysis

04/2023-22 AQIM Handbook 4-8-7

the approach rates, vehicles crossing Bridge B could represent the greater 

risk at the work location. Staff each location according to the level of risk. 

5. What are the destinations of vehicles transiting the work location? Is local 

traffic (less than X miles from the work location) considered a high risk? 

What are the number of QMIs traveling to local locations versus distant 

locations? 

DISCUSSION:

Which states are considered high risk States? How can you best select 

vehicles destined to these high risk States to protect U.S. agriculture?

6. Compare the action approach rate for each month of the survey period.

DISCUSSION:

Are there easily identified monthly trends when the rate of QMIs 

transiting the work location are higher?

Are there seasonal trends or do higher rates correlate with national or 

religious holidays, beginning or end of the school year, vacation periods, 

etc.?

Do these rates correlate with traditional peak and off-peak travel times?

7. Generate a listing and frequency of items seized. What are the top five 

items most frequently seized? Which QMIs present the greatest risk?

8. Which vehicles (and at which crossing) were carrying prohibited items? 

Where were the items found in carried bags, passenger compartment, glove 

box, truck, luggage? Did the passenger declare all prohibited items? Was 

the passenger traveling alone, as a couple, or family? What was the reason 

for travel? Business, vacation, visit family, tour group, school? What type 

of vehicle was used to transport prohibited items?

DISCUSSION:

How do current selectively factors compare with survey results?

What selectivity factors could be changed or added to identify vehicles 

carrying prohibited items?

What percentage of resources are dedicated to staffing AQI activities for 

southern border vehicles at the work location?

Table 4-8-2 Example of Number of Vehicles Sampled and Approach Rate

Southern 

Border Vehicle 

Bridges

Vehicles 

Sampled QMIs Approach Rate (%)

A 540 15 2.7

B 360 25 6.9

C 900 30 3.3
Pathway Southern Border Vehicles

Questions to Guide Data Analysis

4-8-8 AQIM Handbook 04/2023-22
04/2023-22 AQIM Handbook 4-9-1

Chapter

4 Pathway

Southern Border Truck Cargo

Contents

Background 4-9-1

The Sampling Universe 4-9-2

Sampling Universe Exclusions 4-9-2

Cargo Strata and Stratifying the Sample 4-9-3

Setting Up a Process 4-9-3

The Sampling Unit 4-9-4

Data Collection Consistency 4-9-4

Southern Border–Truck Cargo Procedures Summary 4-9-6

Pathway Monitoring Maintenance and Quality Assurance 4-9-8

Southern Border Truck Cargo Worksheet 4-9-9

Agricultural Risk Management System (ARM) 4-9-9

Survey Results and How To Use Them 4-9-9

Questions To Guide Data Analysis 4-9-10

Background

The cargo population, or sampling universe, for AQI monitoring in the 

southern border truck cargo pathway is defined as commercial plant 

perishable agricultural cargo. Take random samples from this population 

with more intensive (hypergeometric) inspections. Record necessary data 

about these commodities.

In order to properly monitor cargo, you need to have a good understanding of 

two key statistical principles:

1. It is important that the sample selected be representative of the commodity. 

Random selection helps ensure this.

2. Once the sample is selected, inspect the sample thoroughly and according 

to hypergeometric sampling procedures if applicable

If you want your work location to produce quality risk information, then each 

person participating must have a clear understanding of the sampling universe, 

the unit of sampling, and inspection consistency issues.
Pathway Southern Border Truck Cargo

The Sampling Universe

4-9-2 AQIM Handbook 04/2023-22

The Sampling Universe

Estimate the number of actions due to pests or improperly manifested items in 

a cargo entry pathway by taking random samples from the cargo in the 

pathway. It is key to good statistics to carefully define this universe from which 

you want to draw your random sample. Answer the following questions in 

order to select the sample correctly and to make statistical inferences for the 

entire universe.

How are commodities transported?

How many shipments of these commodities are arriving at a work 

location? 

What is the seasonality of the commodity?

For AQIM, the universe is defined by the mode of transport of the cargo, in 

this case, the truck. 

Sampling Universe Exclusions

Initially, PPQ has decided to limit the universe. The following commodities or 

commodity types will be excluded from the sampling universe:

Border Release Advance Screening and Selectivity (BRASS) released 

cargo

Commodities which are pre-cleared at foreign sites

Commodities which are admissible under the National Agriculture 

Release Program (NARP)

Commodities which undergo some type of mandatory treatment, other 

than cold treatment (for example, fumigation, irradiation, hot water 

treatment) at work locations

Frozen commodities

Loose, bulk-loaded perishable cargo (floor loaded on the truck bed; no 

boxes, crates, cartons, bags, etc. used for commodity containment)

Oil, salt, iron ore, coal, etc., which have no pest risk.

Seed shipments

Transportation and Exportation (T&E) cargo
Pathway Southern Border Truck Cargo

Cargo Strata and Stratifying the Sample

04/2023-22 AQIM Handbook 4-9-3

Cargo Strata and Stratifying the Sample

The sampling and inspection processes for AQIM were designed to be 

compatible with typical cargo inspection groupings. The cargo universe is 

divided into several homogeneous and distinctly separate groups in order to 

estimate the pest approach rates in each group. A port may be sampling one or 

more of the commodities in a group or across groups. With southern border 

cargo, the universe is the commercial plant perishable agricultural cargo. 

This category is defined as any commercial formal or informal entry of fresh 

fruit, vegetables, or other unprocessed or non-refined plant product.

By sampling a set number of samples from each cargo group, PPQ is able to 

get precise estimates of the number of trucks with pests approaching the 

border. This risk information helps the work location understand how 

effectively it manages the pest risk for this category, as well as for the entire 

cargo universe at the port.

It is very important that each sample selected be representative of all other 

units of that category. All shipments of a category should have a chance of 

being selected as a sample. One way to ensure that the sample is representative 

is to choose a truck at random (either random time, random number, etc.). This 

random selection process eliminates the bias of the Agriculture Specialist 

selecting the sample. The Agriculture Specialist’s experience (bias) might lead 

to choosing a truck that is carrying a commodity more likely to be harboring a 

pest. This bias would make the sample not representative of the entire 

commodity universe. The survey results would be skewed toward commodities 

likely to harbor a pest. This kind of bias would hamper the work location’s 

ability to make the best decisions based on risk analysis.

Setting Up a Process

Setting up a process of selecting representative samples in each group will be 

one of the biggest challenges in AQIM. Because each work location has its 

own unique set of circumstances in cargo operations, the work location must 

individualize its random sampling process. Document the process and, if 

needed, ask for feedback from other work locations, the AQIM coordinator, or 

port operations staff who have experience in selecting random samples in the 

cargo environment. 
Pathway Southern Border Truck Cargo

The Sampling Unit

4-9-4 AQIM Handbook 04/2023-22

The Sampling Unit

For southern border truck cargo, the sample unit is the truck box containing the 

commodity, not including the cab. It is crucial that the sample unit is inspected 

closely enough to detect any actionable pests or improperly manifested items. 

Southern border truck cargo sampling and inspection procedures are detailed in 

Table 4-9-2 on page 4-9-7. Procedures for sampling multiple commodities on 

the selected truck are detailed in Table 4-9-3 on page 4-9-8.

Contact the National AQIM coordinator for specific sampling numbers if 

unable to achieve the specified sampling amounts based on the pathway 

instructions. Always follow established protocols through your chain of 

command.

Follow the procedures exactly in order for the monitoring estimates to be valid 

and useful.

Data Collection Consistency

Record the monitoring results from the inspection of a random sample unit 

accurately and consistently. Because each sample represents many other units, 

all Agriculture Specialists must be as consistent as possible in following the 

inspection procedures.

Regulated commodities pose a special challenge. If the sample selected is a 

regulated commodity, it is important to understand the following:

Cargo monitoring estimates the number of trucks approaching the work 

location with commodity pest infestation levels requiring action by PPQ. 

AQIM uses risk-based inspection procedures for detecting a 10 percent or 

more pest infestation rate. This initial threshold is used to estimate the number 

of trucks with a pest threat approaching a work location.

To be 95 percent sure that the Agriculture Specialist inspecting the sampled 

truck will find the pest, when the shipment is infested at a 10 percent or more 

infestation level, the Agriculture Specialist must select, at random, a specific 

number of boxes in the shipment. Determine this number of boxes by using the 

hypergeometric table in Table 4-9-1. Inspect each of these boxes to ensure 

that:

No hitchhiker pests are present in the box

NOTICE

This 10 percent infestation level may change as the data for AQIM is collected and 

analyzed.
Pathway Southern Border Truck Cargo

Data Collection Consistency

04/2023-22 AQIM Handbook 4-9-5

No internal feeding insects are present in randomly selected fruit in the 

box

No mismanifested or smuggled items are present
Pathway Southern Border Truck Cargo

Southern Border–Truck Cargo Procedures Summary

4-9-6 AQIM Handbook 04/2023-22

Agriculture Specialists should follow normal inspection procedures of the 

commodities to determine if pests are present. For example, fruit should be cut 

to detect internal feeders if external evidence is present. 

Southern Border–Truck Cargo Procedures Summary

Sample southern border truck cargo for AQIM at the following ports (and the 

staffed crossings managed by these ports):

Table 4-9-1 Hypergeometric Table For Random Sampling

Total number of boxes on the truck: Randomly select this number of boxes:

1-10 All boxes in the shipment

11-12 11

13 12

14-15 13

16-17 14

18-19 15

20-22 16

23-25 17

26-28 18

29-32 19

33-38 20

39-44 21

45-53 22

54-65 23

66-82 24

83-108 25

109-157 26

158-271 27

272-885 28

272-885 28

886-200,000 29

Brownsville, TX Nogales, AZ1

Calexico West, CA1

1 Sampling is suspended until further notice

Otay Mesa, CA1

El Paso, TX Pharr, TX1

Laredo, TX1 San Luis, AZ1

Los Indios, TX
Pathway Southern Border Truck Cargo

Southern Border–Truck Cargo Procedures Summary

04/2023-22 AQIM Handbook 4-9-7

Refer to Table 4-9-2 when sampling and inspecting southern border truck 

cargo commodities for AQIM.

Table 4-9-2 Southern Border Truck Cargo Procedures Summary

SOUTHERN BORDER TRUCK CARGO PROCEDURE SUMMARY

Cargo Population 

Definition

Commercial plant perishable agricultural cargo is any commercial shipment of perishable, fresh fruit, vegetables, and plants. Refer to Sampling Universe Exclusions on page 

4-9-2.

Note: Commodities with mandatory cold treatments are also included.

Sample Size If the port has no distinct high and low volume periods, the sample size is 6-12 inspections 

per week per port from a minimum of 6 trucks. 

If the port has distinguishable high and low volume time periods during the year, adjust sampling during these time periods. High volume is considered 8 -12 samples per week and low 

volume is considered 1-2 samples per week. 

If the consignment consists of smaller retail units like clam shell packaging or smaller filmwrapped retail packaging or trays in boxes, then select the proper sample size from the total 

number of clam shells, trays, etc. for inspection.

Contact the National Operations Manager for Exclusion and Imports for assistance (Mikell 

Tanner at 919-855-7317 or email Mikell.Tanner@usda.gov).

Inspection MethodologyPhysically inspect each truck at the port or consignee premise. Refer to Table 4-9-3 on page 

4-9-8 before beginning the inspection process.

Inspect cargo using appropriate AQIM hypergeometric inspection procedures. Determine the 

number of boxes using the hypergeometric sampling rates from Table 4-9-1. Select boxes for 

inspection from random locations throughout the truck to detect a 10 percent level of infestation (at 95% confidence). Inspect entire contents of boxes selected and available floor space 

of the truck for agricultural pests or mismanifested or smuggled items.

If a bulk shipment is randomly selected for AQIM inspection and is not loose bulk floor 

loaded, then determine best estimate of total number of box equivalents as if this was a 

boxed cargo shipment. (Using an average 10 Kg (appx. 22 lbs.) box or carton as reference.) 

Based on the estimated number of boxes, use the hypergeometric table to determine the 

number of box equivalents that must be randomly inspected. For example: if a bulk shipment 

contains 16 bins of jalapeno peppers with total weight of 14400 Kg (31,746 lbs.), then the 

estimated box equivalent of this shipment is 1440 boxes or cartons. In this instance, the 

hypergeometric table indicates that a total of 29 box or carton equivalents must be randomly 

selected from the entire shipment and inspected for AQIM.

Other Issues Inspect cargo during normal port business hours. Costs for OT clearance will be paid by the 

shipper/broker/consignee, or government.

Advise shippers, importers, and brokers that random sampling and inspection will be part of 

day-to-day operations. They should understand that there is a probability that their shipment 

will be intensely inspected.
Pathway Southern Border Truck Cargo

Pathway Monitoring Maintenance and Quality Assurance

4-9-8 AQIM Handbook 04/2023-22

Pathway Monitoring Maintenance and Quality Assurance

Port managers and local AQIM coordinators are responsible for ensuring that 

monitoring activities are being performed and performed properly. To help 

with reviewing the status of monitoring activities, refer to Appendix E on page 

E-1-1. This appendix contains a checklist of questions port managers and local 

AQIM coordinators should periodically answer to ensure proper monitoring of 

each designated pathway at their work locations. The questions review the 

following topics:

Table 4-9-3 AQIM Sampling Procedures for Multiple Commodities in Cargo

If the randomly selected AQIM consignment is: Then: Which Creates:

All the same perishable commodity 

from one origin

 APPLY hypergeometric inspection 

sampling to whole shipment, 

AND;

 SELECT the appropriate number 

of units for inspection

One AQIM record for ARM data input

Different perishable commodities 

from one or multiple origins (other 

than CUT FLOWERS)

 SELECT the single commodity 

with the most quantity (boxes, 

cartons, etc.) AND;

 SELECT the single commodity 

with the least quantity units (must 

be a minimum of 5 quantity units)

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the commodities selected) 

for one ARM data input

Different CUT FLOWER genera/varieties from one or multiple originsConsider ONLY boxes of single variety cut flowers OR boxes of same 

flower composition bouquets1

:

 SELECT the cut flower genus/

variety with the most quantity 

units (boxes, cartons, etc.) AND;

 SELECT the cut flower genus/

variety with the least quantity units 

(must be a minimum of 5 quantity 

units)2

 APPLY hypergeometric inspection 

sampling separately to each of 

these selections and inspect as 

separate AQIM samples

Two different AQIM inspections (one 

for each of the cut flower genera 

selected) for one ARM data input. 

Record cut flower variety name and 

origin of the cut flower (NOT origin of 

flight or vessel.)

1 Consider only bouquets where most of its flowers are from one single flower variety, excluding greenery. For example, if the 

bourquet’s flower composition is five roses, two daisies, and one carnation (excluding greenery), identify the bouquet as a 

rose bouquet.

2 If there are multiple commodities/cut flower varieties with five boxes each, then port discretion is used to select the 5 box 

commodity to be sampled and inspected.
Pathway Southern Border Truck Cargo

Southern Border Truck Cargo Worksheet

04/2023-22 AQIM Handbook 4-9-9

Accurate and complete data

Adequate sampling

Local support

Proportional sampling

Random sampling

Working risk committees

Southern Border Truck Cargo Worksheet

For AQIM purposes, use the Southern Border Truck Cargo data worksheet and 

associated instructions for recording information gathered from southern 

border truck cargo inspection. Properly record the commodity being inspected.

Agricultural Risk Management System (ARM)

Authorized users must enter AQIM data into the ARM database. This webbased system is accessible from any USDA-APHIS or DHS-CBP computer. 

The web address is:

https://arm.aphis.usda.gov/

Log in using eAuthentication. 

Refer to Appendix B for ARM Help Desk contact information.

Survey Results and How To Use Them

AQIM activities have been put into place to develop baseline data to help 

answer two basic questions:

1. What is the threat of agricultural pests approaching work locations?

2. How effective is the AQI program at managing this threat?

There are varying rates at which prohibited agricultural materials and pests 

approach the work locations. These prohibited agricultural materials are what 

can have agricultural pests. 

Further analysis of the monitoring data is needed to determine the risk 

associated with the prohibited items approaching the work location. The origin 

and destination of the prohibited items is important to determine risk levels. 

Also, whether or not the prohibited item carries an actual agricultural pest is 

crucial in analyzing risk.
Pathway Southern Border Truck Cargo

Questions To Guide Data Analysis

4-9-10 AQIM Handbook 04/2023-22

Analyses of the monitoring data need to occur at several levels of PPQ. At the 

work locations, PPQ personnel need to study what the data means and answer 

the first question for their specific work location. Analysis tools are available 

to help with these analyses, which are explained in the next subsection. At the 

same time, PPQ holds risk analysis workshops around the country to introduce 

risk analysis concepts. At some work locations, Risk Management Teams are 

formed to look at monitoring data and other data, which are normally collected 

at the work location.

At other locations, analyses of monitoring data occur to establish the rates at 

which quarantined items and agricultural pests are approaching the borders of 

States, areas of the country, and the United States.

Once baseline rates are well established, PPQ can use the monitoring data as a 

baseline to answer the second basic question: How effective is the AQI 

program at managing the risk of introduction of agricultural pests and 

diseases? Again, each work location must conduct this type of analysis. AQIM 

provides a framework which work location can use to carry out the analysis.

Questions To Guide Data Analysis

1. How many trucks were selected for sampling during the survey period?

How many actions were required on the trucks sampled?

How many actions by strata category sampled were there? (Previous data 

has multiple strata.)

What is the action approach rate of trucks that require action (number of 

trucks requiring action divided by total trucks in the sample)?

2. How many pest interceptions (actionable pests) were made from survey 

samples?

Pest Approach Rate: What is the rate of pest interceptions in relation to 

the total sampled number of trucks (number of trucks with actionable 

pests divided by total trucks in the sample)?

3. Compare the rate of actions required for each month of the survey.

DISCUSSION:

Are there easily identified trends when the rate of cargo actions transiting 

the work location are higher?

Are there seasonal trends?

Do higher rates correlate with national or religious holidays, certain types 

of trucks, cargo, or importers?
Pathway Southern Border Truck Cargo

Questions To Guide Data Analysis

04/2023-22 AQIM Handbook 4-9-11

4. Generate a listing and frequency of shipments requiring action. Which 

commodities present the greater risk?

Which commodities most likely to require action? Where were the 

agricultural pests found? What is the rate of trucks with smuggled or 

mismanifested items?

DISCUSSION:

How effective is the current tailgate inspection process in detecting pests 

and/or smuggled cargo?

5. What types of shipments (refrigerated, mixed vegetables, dry containers, 

empties, cut flowers, express carriers, etc.) require higher rates of action?

DISCUSSION:

What selectivity factors are currently used to identify shipments likely to 

require action?

What additional selectivity factors would be used to identify shipments 

likely to require action?

Do the survey results indicate additional factors that help identify 

shipments most likely to require action?

6. Using monitoring data, apply the survey results to the cargo universe at the 

work location to estimate the number of actions required and interceptions 

likely to transit the work location during the same time the survey period 

took place.

How many trucks arrived at the work location during the survey period? 

Using the action approach rate for trucks requiring action, calculate an 

estimate of the number of trucks transiting the work location that are 

likely to require action.

Using WAD data, how does the estimated number of actions required 

compare with the reported number of actions taken?

How many additional actions may have been required during the survey 

period?

How does the estimated number of actionable pest interceptions compare 

with the reported number of actionable pests on WAD for truck cargo?

DISCUSSION:

What percentage of resources are dedicated to staffing AQI activities for 

southern border truck cargo at the work location?

What is the relative risk of this pathway compared with other pathways in 

the work location?

Should resources be reallocated among all the pathways in the work 

location to better address the relative risk of the pathways?
Pathway Southern Border Truck Cargo

Questions To Guide Data Analysis

4-9-12 AQIM Handbook 04/2023-22
04/2023-22 AQIM Handbook A-1-1

Appendix

A Appendix A

Government Performance Results 

Modernization Act of 2010

Refer to the following link for the complete GPRA Modernization Act:

Government Performance Results Modernization Act of 2010
Appendix A

A-1-2 AQIM Handbook 04/2023-22
10/2022-19 AQIM Handbook B-1-1

Appendix

B Appendix B

Key Contacts

Contents

Responsibilities of Work Locations B-1-1

Agricultural Risk Management System (ARM) Technical Questions/Issues 

B-1-1

AQIM Operational and Policy Questions/Issues B-1-2

Responsibilities of Work Locations

Work locations where AQIM is conducted are responsible for the following 

AQIM activities:

Analyze the data collected.

Collect all results monitoring data.

Develop performance target, using selected indicators.

Ensure quality data and analysis.

Enter all data into ARM.

Prepare budget documents and reports request by other USDA offices.

Set program and meeting end-results.

Agricultural Risk Management System (ARM) Technical Questions/

Issues

For assistance with ARM web-based systems, APHIS and DHS-CBP 

employees must contact the ARM Helpdesk by email 

ARM-helpdesk@usda.gov or by phone 301-851-2252. Hours of operation are 

0800-2200 Eastern Standard Time (EST) Monday through Friday.

For URGENT (cargo on hold) matters, include “URGENT-APHIS PPQ ARM 

Application Issue” in the email subject line.

ARM is available at the following address:

https://arm.aphis.usda.gov/
Appendix B Key Contacts

AQIM Operational and Policy Questions/Issues

B-1-2 AQIM Handbook 10/2022-19

AQIM Operational and Policy Questions/Issues

PPQ Field Operations via email: aqi.db.admin@aphis.usda.gov

PPQ Policy Headquarters: Edna Cintron-Velazquez, 301-851-4146 or email 

QPAS-AQIM@usda.gov.
05/2021-11 AQIM Handbook C-1-1

Appendix

C Appendix C

Trade Articles

Contents

APHIS Trade Risk Analysis Position C-1-2

Introduction C-1-2

APHIS and Risk Assessment C-1-3

APHIS Risk Analysis Principles C-1-4

Risk Management C-1-7

Risk Communication C-1-8

Conclusion C-1-9

GATT Agreement on the Application of Sanitary and Phytosanitary Measures 

C-1-9

Assessment of Risk and Determination of the Appropriate Level of 

Sanitary or Phytosanitary Protection. C-1-9

Introduction

Use this appendix to obtain information and criteria on risk management. 

Contained here are the:

APHIS Trade Risk Analysis Position on page C-1-2

GATT Agreement on the Application of Sanitary and Phytosanitary 

Measures on page C-1-9
Appendix C Trade Articles

APHIS Trade Risk Analysis Position

C-1-2 AQIM Handbook 05/2021-11

APHIS Trade Risk Analysis Position1

Introduction

The Animal and Plant Health Inspection Serviced (APHIS) anticipates and 

responds to U.S. issues that involve animal and plant health, conflicts with 

wildlife, environmental stewardship, and animal well-being. With our 

customers and stakeholders, we promote the health of animal and plant 

resources to facilitate their movement in the global marketplace and to ensure 

abundant agricultural products and services for American consumers.

An important component of the APHIS mission is to facilitate the safe 

movement of import and export commodities. APHIS uses risk analysis to 

make trade decisions in a risk assessment (the scientific evaluation of the 

biological risks and potential consequences), risk management (a process of 

determining appropriate mitigation measures to reduce risk), and risk 

communication (the sharing of risk information). The results of risk analyses 

provide well supported recommendations to APHIS decision makers to 

achieve the objective of facilitating safe trade.

The Agreement on Sanitary and Phytosanitary Measure of the General 

Agreement on Tariffs and Trade requires that countries base their animal, plant, 

and human health requirements related to trade on relevant international 

standards. If appropriate standards do not exist, or a country chooses not to use 

the existing international standards, then the Agreement requires that the 

regulatory authorities of the importing country base their import requirements 

on a scientific risk analysis.

Like many in the international trade community, APHIS holds the view that 

mutually accepted standards will help ensure safe trade that is consistent, fair, 

enhances economic prosperity and reduces trade tensions. APHIS is committed 

to an active role in the International Office of Epizootics, the International 

Plant Protection Convention, and other international standard setting bodies to 

further the development of risk analysis standards and guidelines.

APHIS recognizes that risk analysis is a dynamic process and therefore must 

retain sufficient flexibility to incorporate scientific advances. APHIS is 

committed to revising risk analysis procedures, as appropriate, to continually 

take advantage of the best available science.

The Agreement on Sanitary and Phytosanitary (SPS) Measures of the General 

Agreement on Tariffs and Trade (GATT) requires members to base their 

animal, plant, and human health requirements related to trade on an objective 

1 APHIS Trade Committee, Trade Risk Analysis Core Team. 1996
Appendix C Trade Articles

APHIS Trade Risk Analysis Position

05/2021-11 AQIM Handbook C-1-3

analysis of risk. The SPS Agreement also requires that members make their 

risk analysis procedures transparent and available to other interested members. 

To address the issue of transparency under the SPS Agreement, this document 

provides an overview of the risk analysis process used by the Animal and Plant 

Health Inspection Service (APHIS) of the United States Department of 

Agriculture.

APHIS has a long history of practical experience and knowledge related to risk 

analysis. Considerable time and resources have been invested in refining risk 

analysis models and techniques as well as developing new ones. APHIS also 

actively supports and participates in international discussions to further the 

development of risk analysis standards and procedures related to trade.

APHIS and Risk Assessment

Risk analysis, as defined by APHIS, is equivalent to risk assessment as defined 

in the SPS Agreement. The APHIS risk analysis definition and subsequent 

explanations provide additional detail and interpretation of the SPS risk 

assessment definition.

The SPS Agreement defines risk assessment as:

“The evaluation of the likelihood of entry, establishment or spread of a pest 

or disease within the territory of an importing Member according the 

sanitary or phytosanitary measure which might be applied, and of the 

associated potential for adverse effects on human or animal health arising 

from the presence of additives, contaminants, toxins, or disease-causing 

organisms in food, feedstuffs and beverages.”

APHIS defines risk analysis as a process comprised of risk assessment (the 

scientific evaluation of the biological risks and potential consequences), risk 

management (a process of determining appropriate mitigation measures to 

reduce risk), and risk communication (the sharing of risk information). The 

results of APHIS risk analyses provide well supported recommendations to 

APHIS decision makers to achieve the objective of facilitating safe trade.

APHIS believes its definition is fully consistent with the SPS Agreement. The 

documentation of this process provides risk analysts with guidance in the 

preparation of recommendations for decision makers and makes the process 

more transparent to our trading partners
Appendix C Trade Articles

APHIS Risk Analysis Principles

C-1-4 AQIM Handbook 05/2021-11

APHIS Risk Analysis Principles

APHIS recognizes that there are various approaches to risk analysis. The 

selection of the approach depends on the particular circumstances associated 

with the commodity and the current pest or disease information.

Regardless of the approach, APHIS believes that a credible risk analysis 

process must embody the following principles:

Flexible

GATT Consistent

Open to Review

Science-based

Well-documented

GATT Consistent

APHIS risk analysts understand and comply with GATT SPS terms and 

principles and produce Agency recommendations that can withstand ATT/

World Trade Organization (WTO) challenges. Compliance with the SPS 

Agreement also means that APHIS is committed to using relevant standards of 

the International Office of Epizootics, the International Plant Protection 

Convention, or other relevant international or regional organizations 

recognized by the WTO. Alternatives to the standards may be used when 

supported by objective risk analyses.

Science-based

Data used in APHIS risk analyses are collected and evaluated using the best 

available scientific methods. Also, APHIS analysts recognize the importance 

of describing uncertainty and identifying data gaps. APHIS analysts actively 

solicit input and review from the scientific community to the extent necessary 

to confirm the scientific integrity of risk analysis.

Well-documented

Data used in the risk analysis are organized, evaluated, and referenced in a 

systematic manner and in sufficient detail to allow interested parties to 

understand the process.

Flexible

Because of the pest and disease situations evaluated using risk analysis, 

methods that apply to one situation may be irrelevant or misleading in 

evaluating another. While acknowledging that various methods can be used, 

APHIS analysts are able to articulate the rationale for the choice of a method. 

Flexibility also means that the risk analysis process is dynamic and able to 

accommodate new information and technology.
Appendix C Trade Articles

APHIS Risk Analysis Principles

05/2021-11 AQIM Handbook C-1-5

Open to Review

APHIS acknowledges its responsibility to document the risk analysis process 

and allow interested parties to provide relevant scientific information and 

comments on the process and results.

Components of the APHIS Process for Risk Analysis

When initiating a risk analysis because action is proposed, such as a 

commodity importation or other relevant event, APHIS analysis will identify 

and record background information and situation-specific details, such as the 

source of the request, the origin, proposed destination, and intended use for the 

commodity. The analysis then proceeds following the general process outlined 

below.

Risk Assessment

APHIS defines risk assessment as the evaluation of the likelihood and the 

biological and economic consequences of entry, establishment or spread of a 

pest or disease agent within the territory of an importing country. Risk 

assessments also consider the degree of uncertainty associated with a proposed 

action.

The degree of uncertainty depends upon the availability and quality of pest/

disease data. An agent for which little is known cannot be as precisely assessed 

as one for which much more relevant information is available. A high degree 

of biological uncertainty, because of limited scientific information, may justify 

conservative estimate. However, APHIS also recognized the importance of 

updating risk assessments as additional scientific information becomes 

available.

A risk assessment evaluates the unmitigated pest or disease risk in order to 

determine if there is sufficient risk to warrant mitigation. The focus is on 

establishing the existence of biological and economic consequences and the 

likelihood of their occurrence. In many cases, there is broad agreement 

concerning this risk, negating the need for formal risk assessment.

Formal risk assessments are conducted when the unmitigated risk is not clearly 

understood to be wither acceptable or unacceptable. These assessments are 

also important when assumptions concerning the level of unmitigated risk are 

challenged or when new information concerning the unmitigated risk has been 

provided. The assessment of risk at this level typically involves the evaluation 

of origin, commodity, and destination factors.

Origin Risk Factors: The evaluation of the exports are to estimate the 

likelihood that agents of sanitary or phytosanitary concern are associated with 

a commodity importation, including:
Appendix C Trade Articles

APHIS Risk Analysis Principles

C-1-6 AQIM Handbook 05/2021-11

Geographic and environmental characteristics

Prevalence of a pest or disease agent in the exporting area

Previous risk assessments (including foreign country) on commodity and 

related commodities from the same origin.

Regulatory infrastructure of the exporting country

Sanitary and Phytosanitary status of the adjoining or neighboring areas

Surveillance system(s)

Trading partners and practices

Commodity Risk Factors: APHIS analysts consider information about the 

commodity to estimate the likelihood of introduction of a particular pest or 

disease agent. Commodity factor include:

Intended use of the product

Interception data

Nature of raw material used to produce commodity

Pest or disease agent survival in transit

Type of class of commodity

Destination Risk Factor: An evaluation of the likelihood and consequences of a 

particular pest or disease agent surviving, multiplying, establishing, and 

spreading in the territory of the importing country. Destination factors include:

Availability of susceptible host and/or competent vectors

Distribution of the commodity

Geographical and environmental characteristics
Appendix C Trade Articles

APHIS Risk Analysis Principles

05/2021-11 AQIM Handbook C-1-7

Risk Management

APHIS defines risk management as the process of analyzing and 

recommending options for mitigating pest and disease agents of concern 

identified through risk assessment.

In determining appropriate levels of protections, the SPS Agreement requires 

that countries base their animal, plant, and human health requirements on 

relevant international standards. If an appropriate standard does not exist or a 

country chooses not to use an existing standard, then the Agreement requires 

regulatory authorities of the importing country to base their health 

requirements on a scientific analysis of the risks to animal, plant, or human 

health and to share information regarding the analyses with interested parties.

The analysis risk mitigation options may vary due to the differing nature of 

animal, plant, and human health issues.

Consistent with SPS Agreement, APHIS maintains transparent processes for 

objectively evaluating new risk mitigation alternatives in situations where an 

international standard may not exist or may not be appropriate. In evaluating 

these alternatives, APHIS will consider biological as well as economic factors 

including, but not limited to, potential damage in terms of loss of production or 

sales in the event of entry, establishment or spread of a pest or disease; the 

costs of control or eradication in the territory of the importing Member; and the 

relative cost effectiveness of alternative approaches to risk eradication.

APHIS recognizes the responsibility of the exporting country to address the 

importing country’s sanitary and Phytosanitary issues of concern. APHIS 

approves risk management options based on a comprehensive evaluation of the 

efficacy and feasibility of the option in reducing the likelihood and magnitude 

of the biological and economic consequences identified in the risk assessment.

Efficacy: The degree to which a mitigation option reduces the likelihood 

magnitude of adverse biological and economic consequences is a measure of 

its efficacy. Evaluating mitigation options for efficacy is an iterative process 

that involves revisiting risk assessment to determine the degree to which risk is 

reduced by the implementation of the option. In cases where an acceptable 

efficacious option exists, the efficacy of new options needs to compare 

favorably with existing options.

Feasibility: The evaluation of mitigation options for feasibility normally 

focuses on technical, operational, and economical factors affecting the 

implementation of mitigation options. It is in this level of evaluation that 

factors relevant to industry needs and practices are considered, as well as the 

potential for applying new technologies.
Appendix C Trade Articles

APHIS Risk Analysis Principles

C-1-8 AQIM Handbook 05/2021-11

This level of evaluation is a responsibility shared primarily by the exporting 

country and the commercial sector (industry). APHIS assumes that feasibility 

has been considered when a risk management proposal is offered by the 

exporting country. The role of APHIS in this level of evaluation is to assess 

whether the exporting country is able to meet its obligations and to ensure that 

undesirable impacts are not placed upon the United States (e.g. at National 

level).

APHIS recognizes that information to objectively determine tolerable risk 

levels may not always be readily available. In accordance with the SPS 

Agreement, APHIS adheres to the premise that it may be necessary to institute 

provisional sanitary and phytosanitary measures until scientific evidence can 

be obtained to justify a different position. APHIS is committed to working with 

relevant parties to obtain and evaluate this information in a timely manner.

APHIS is committed to ensuring that recommended measure are not more 

trade restrictive than required to achieve their appropriate level of sanitary and 

phytosanitary protection.

Risk Communication

APHIS defines risk communication as the process of exchanging information 

concerning risk with interested parties (e.g. domestic and foreign industry 

groups, foreign governments, consumer groups, and other interested 

individuals). This includes the active exchange of information throughout the 

risk analysis process with involved parties and the communication of the 

conclusions of risk analyses to all interested and impacted parties. This process 

includes routine interaction with the scientific community to ensure the 

validity of scientific data, methods, and assumptions.

When risk analysis is used as a basis for promulgating regulations, APHIS 

meets risk communication goals and transparency obligations by publishing 

proposed and final rules in the Federal Register. APHIS demonstrates its 

commitment to transparency by notifying the WTO of any measure which may 

affect another country’s trade.

New proposed regulatory changes published in the Federal Register specify the 

risks and the requirements which will be imposed to mitigate the risks. After 

public comments are received and reviewed a decision is made regarding a 

final result. If comments and input are compelling enough for APHIS to 

change its position, the proposed rules will be withdrawn and alternative 

courses of action may be considered. Both the proposed and final rules explain 

the factors supporting the Agency’s choice of mitigation measures, including 

the Agency’s geological concerns and scientific rationale to support the 

decision.
Appendix C Trade Articles

GATT Agreement on the Application of Sanitary and Phytosanitary Measures

05/2021-11 AQIM Handbook C-1-9

Conclusion

APHIS considers the product of risk analysis to be risk-based 

recommendations. Decision makers take those recommendations into account 

as well as other factors they may consider relevant.

GATT Agreement on the Application of Sanitary and Phytosanitary 

Measures2

Assessment of Risk and Determination of the Appropriate 

Level of Sanitary or Phytosanitary Protection.

1. Members shall ensure that their sanitary or phytosanitary measures are 

based on an assessment, as appropriate to the circumstances, of the risk to 

human, animal or plant life or health, taking into account risk assessment 

techniques developed by the relevant international organizations.

2. In the assessment of risks, Members shall take into account available 

scientific evidence; relevant processes and production methods; relevant 

inspection, sampling and testing methods; prevalence of specific diseases 

or pests; existence of pest or disease-free areas; relevant ecological and 

environmental conditions; and quarantine or other treatment.

3. In assessing the risk to animal or plant life or health and determining the 

measure to be applied for achieving the appropriate level of sanitary or 

phytosanitary protection from such risk, Member shall take into account 

relevant economic factors: the potential damage in terms of loss of 

productions or sales in the event of the entry; establishment or spread of a 

pest or disease; the costs of control or eradication in the territory of the 

importing Member; and the relative cost-effectiveness of alternative 

approaches to limiting risks.

4. Member should, when determining the appropriate level of sanitary or 

phytosanitary protection, take into account the objective minimizing 

negative trade effects.

5. With the objective achieving consistency in the application of the concept 

of appropriate level of sanitary or phytosanitary protection against risks to 

human life or health, or to animal and plant life or health, each Member 

shall avoid arbitrary or unjustifiable distinctions in the levels it considers to 

be appropriate in different situations, if such distinctions result in 

discrimination or a disguised restriction on international trade. Member 

shall cooperate in the Committee, in accordance with paragraphs 1, 2, and 

3 of Article 12, to develop guidelines to further the practical 

implementation of this provision. In developing the guidelines, the 

2 GATT Agreement on the Application of Sanitary and Phytosanitary Measures
Appendix C Trade Articles

GATT Agreement on the Application of Sanitary and Phytosanitary Measures

C-1-10 AQIM Handbook 05/2021-11

Committee shall take into account all relevant factors, including the 

exceptional character of human health risks to which people voluntarily 

expose themselves.

6. Without prejudice to paragraph 2 of Article 3, when establishing or 

maintaining sanitary or phytosanitary measures to achieve the appropriate 

level of sanitary or phytosanitary protection, Members shall ensure that 

such measures are not more trade-restrictive than required to achieve their 

appropriate level of sanitary or phytosanitary protection, taking into 

account technical and economic feasibility.

7. In cases where relevant scientific evidence is insufficient, a Member may 

provisionally adopt sanitary or phytosanitary measures on the basis of 

available pertinent information, including that from the relevant 

international organizations, as well as from sanitary or phytosanitary 

measures applied by other Members. In such circumstance, Member shall 

seed to obtain the additional information necessary for a more objective 

assessment of risk and review the sanitary or phytosanitary measure 

accordingly within a reasonable period of time.

8. When a Member has reason to believe that a specific sanitary or 

phytosanitary measure introduced or maintained by another Member is 

constraining, or has the potential to constrain its exports and the measure is 

not based on the relevant international standards, guidelines, or 

recommendations, or such standards, guidelines, or recommendations do 

not exist, an explanation of the reasons for such sanitary or phytosanitary 

measure may be requested and shall be provided by the Member 

maintaining the measure
05/2021-11 AQIM Handbook D-1-1

Appendix

D Appendix D

Samples Of Standard Operating Procedures 

(SOPs)

Contents

Introduction D-1-1

Purpose D-1-1

Background D-1-1

Sample SOP—Air Passenger Baggage D-1-2

Sampling and Inspection Guidelines D-1-2

Procedures D-1-3

Data Collection and Entry D-1-3

Quality Control D-1-3

Sample SOP—Maritime Cargo D-1-3

Inspection Protocol D-1-3

Reefer-AQI Interest (refrigerated cargo normally held by PPQ) D-1-4

Non-Reefer AQI Interest: (Non-Refrigerated Cargo normally held by PPQ) 

D-1-5

Hypergeometric Table for Risk-Based Sampling D-1-6

Documentation D-1-6

Charts And Forms Required D-1-6

Sample SOP – Northern Border—Vehicles D-1-7

Inspection Protocol D-1-7

Local Area D-1-7

Introduction

Purpose

To help PPQ become a results-oriented organization, PPQ uses AQI program 

performance information to make risk-based decisions. AQIM will provide 

“hard” data for risk-based decisions and to meet the requirements of the 

Government Performance and Results Act (GPRA).

Background

The National Performance Review requires government agencies to 

objectively measure how well they are achieving their legislative missions. 

The GPRA requires government agencies develop accurate performance 

measurements as part of their budget submission. AQIM is a valuable tool in 

performing risk assessment and is an integral component of PPQ’s selectivity 

approach.
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP—Air Passenger Baggage

D-1-2 AQIM Handbook 05/2021-11

Use the samples in this appendix as models when developing standard 

operating procedures (SOP) for a work location.

The models include a sample SOP for the following pathways:

Sample SOP—Air Passenger Baggage on page D-1-2

Sample SOP—Maritime Cargo on page D-1-3

Sample SOP – Northern Border—Vehicles on page D-1-7

Sample SOP—Air Passenger Baggage

Sampling and Inspection Guidelines

1. Inspect all hand carried and checked baggage randomly at 100 percent. 

Inspect baggage at USDA tables. Bag and label all seizures as an AQIM 

seizure. Thoroughly inspected the seized/intercepted material for pests.

2. All members of a household on the same Customs declaration (CBP Form 

6059-B) will be examined and counted as one sample. Customs 

declarations are completed orally, on paper, or electronically. Adjust 

sampling procedures accordingly.

3. Inspect every Customs declaration that approaches the work location 

through the Federal Inspection Service areas (FIS), excluding diplomats 

with A-1, A-2 status, and ‘domestic’ declarations.

4. Sample size: 7,300 declarations per year—3,650 declarations per year at 

both ‘E’ and ‘B’ (10 per day at both ‘E’ and ‘B’).

5. AQIM should not interfere with and does not replace normal passenger 

processing operations. Continue to perform secondary examinations during 

this sampling period.

NOTICE

These sample SOPs are examples of FORMATTING only.
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP—Maritime Cargo

05/2021-11 AQIM Handbook D-1-3

Procedures

Select random times each day using a random time generator (i.e. random.org). 

Generate random times using previous weeks’ passenger projections. The site 

monitoring leaders prepare the daily schedule and notify all working on the 

baggage floor of the designated times. Rotate all inspections among all 

personnel. At the designated time, the Agriculture Specialist or technician at 

concourse ‘E’ responsible for selecting the passenger for inspection will select 

the fifth passenger back from the checkpoint. Alternate between all open red 

and green lines when counting to select the fifth passenger. If the passenger 

selected has already been designated to go to PPQ Secondary, the passenger 

will also be included in the sample. At concourse ‘B’ at the designated time, 

the Agriculture Specialist or technician will select the first passenger that 

enters the baggage carousel area from immigration. Mark the selected 

passenger’s declaration with the random time, the work ‘random’ and ‘USDA’ 

with a green marker. If a random inspection is missed, a passenger may be 

selected using the above procedures any time prior to the next random 

inspection. Make a note on the data form each time an inspection is missed. 

Include a brief note as to why the inspection was missed.

Data Collection and Entry

1. Complete the PPQ Data Sheet for each examination.

2. Maintain data forms in a folder at the desk in PPQ secondary. Deliver data 

forms to the operations office daily. Personnel assigned to the work unit 

will share the task of data entry. The site leaders will be responsible for 

ensuring data entry is completed within a reasonable time after inspection.

Quality Control

The Risk Management Team will ensure forms are collected and data entered. 

Bi-weekly reports will be forwarded to the work sites by the Team on the 

progress of the monitoring program.

Sample SOP—Maritime Cargo

Inspection Protocol

The inspection protocol depends on the type of strata a container falls into. 

Each container is required to have a physical inspection of the commodity. 

Conduct inspections during normal business hours at the port. The shipper/

broker/consignee must pay costs for overtime clearance.
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP—Maritime Cargo

D-1-4 AQIM Handbook 05/2021-11

Exclusions:

Commodities admissible according to the National Agriculture Release 

Program (NARP)

Commodities which are pre-cleared at foreign sites

Frozen commodities, and those undergoing some type of mandatory 

treatment (for example: fumigation, irradiation, hot water, steam 

sterilization)

Non-Reefer-AQI Interest that can be cleared with just a paperwork review

Oil, salt, iron ore, coal, etc. which pose no risk

Exceptions: Commodities with mandatory cold treatments are included.

Sampling Unit: The random sampling unit is one container or container unit. A 

container unit is equivalent to 20 pallets or 20,000 kilograms for the purposes 

of AQI Monitoring when converting bulk shipments for sampling.

Reefer-AQI Interest (refrigerated cargo normally held by PPQ) 

There will be a total of 87 sample containers or container units chosen per year. 

This will break out to around eight per month, or two per section per month. 

The two for each section will be chosen on designated days of the month, about 

every 2 weeks. The procedure for choosing the samples will be as follows:

1. Use the ‘calendar chart’ supplied to determine the day the sample will be 

chosen.

2. All of the active ‘212's’ (Hold Sheets) in the section will be used for 

sampling.

3. Put all the 212's in a pile and count the total number of pages (like it is one 

big hold sheet).

4. Take this number and go to your ‘Random Digit Page’ (this number will 

represent the maximum number you can choose from 1-18? Or 1-32?).

5. Go down the random digit page and select the first number that is within 

this range.

6. Use this number as the ‘page number’ to turn to in your pile of 212's to 

begin sampling.

7. Put all the other 212's behind this ‘chosen’ 212 and start reviewing the 

containers.

NOTICE

AQIM sampling of Northern border refrigerated (reefer) truck cargo is suspended 

until further notice.
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP—Maritime Cargo

05/2021-11 AQIM Handbook D-1-5

8. Look for the first refrigerated container or container units you come to as 

you go down the sheet.

9. Turn to the next page if necessary (or to the next 212 behind the one you 

are reviewing).

10. When you have located the ‘reefer’ container, verify that it is not under an 

exclusion.

11. If no exclusion, indicate “Random Sample Reefer AQI Interest” on the line 

next to it.

12. Notify section personnel of the ‘hold’ and fill in information on ‘Random 

Sample Chart.’

These containers will be stripped 100 percent. The container may be moved to 

one of the Centralized Examination Station (CES) sites or an off-port 

warehouse approved by management. The number of boxes required for 

inspection will be determined using the hypergeometric table and random 

selection of those boxes will be emphasized.

Non-Reefer AQI Interest: (Non-Refrigerated Cargo normally 

held by PPQ) 

There will be a total of 87 sample containers or container units chosen per year. 

This will break out to around eight per month, or two per section per month. 

The two for each section will be chosen on designated days of the month, about 

every 2 weeks. The procedure for choosing the samples will be the same 

procedures as stated above for ‘Reefer’ containers.

These container units will be inspected based on the commodity. If it is a 

regulated commodity, strip the container 100% according to the 

hypergeometric table. If it is unregulated, the normal inspection procedures 

may be used, but requires a more intense examination. If it is a mixed load, 

follow the most restrictive mode of inspection. 

NOTICE

If a non-reefer AQI interest container can be cleared by reviewing documents, then 

do not select it for monitoring. Select another container.
Appendix D Samples Of Standard Operating Procedures (SOPs)

Hypergeometric Table for Risk-Based Sampling

D-1-6 AQIM Handbook 05/2021-11

Hypergeometric Table for Risk-Based Sampling

The hypergeometric table is used to determine the number of boxes an 

Agriculture Specialist must inspect from the shipment in order to reach a 

certain level of confidence (expressed in a percentile) that a pest will be found 

at a certain percentage of infestation rate. AQIM uses risk-based sampling 

protocols for detecting 10 percent pest infestation rates. This means, to be 95 

percent sure that the Agriculture Specialist will find a pest when the shipment 

is infested at a 10 percent infestation level, the Agriculture Specialist must 

randomly select a specific number of boxes in the shipment. The number of 

boxes is determined by using the hypergeometric table.

Documentation

Documentation will include: 

CES or warehouse transport form (if a container is required to be moved 

and stripped in another location)

Choosing and holding random samples on the 212 or Hold Sheet

Details about the sample chosen on a ‘Random Sample chart’ (including 

vessel, container number, date, B/L for reference, and possibly a random 

sample number, date held, date inspected)

‘Inspection Result’ forms for each strata sampled.

Charts And Forms Required

Certain charts and forms are required to perform the ‘random sampling’ 

procedure. Some of them have been provided and some will be created to 

specifically answer a particular need. The following are necessary:

Table D-1-1 Example of Charts to Perform Random Sampling Procedure

To choose the sample: Calendar Chart

Random Digit Page

Random Sampling Chart

CES or Warehouse Transport Form

To inspect the sample: Random Sampling Chart

CES or Warehouse Transport Form

Inspection Result Form (for the appropriate 

strata)
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP – Northern Border—Vehicles

05/2021-11 AQIM Handbook D-1-7

Sample SOP – Northern Border—Vehicles

Inspection Protocol

In order to ensure that the vehicles selected for inspection are truly random, the 

Agriculture Specialist will sample a vehicle that arrives at the primary customs 

booth in 15 minute time intervals. If no vehicle is at the booth when the 

sampling time occurs, the very next one to arrive will be selected. The 15 

minute cycle then begins after the selection of the previous vehicle is 

completed.

If more than one primary lane is open, the inspection will alternate between 

each lane on a successive basis.

All randomly selected vehicles will undergo the 7 point inspection process.

Inspect all agriculture material intercepted during the border survey. Bring the 

material to the office to be cut for inspection. If the material is a fruit or 

vegetable, also inspect the peel for scale insects or plant diseases. Use a 

microscope to examine leaves, stems, flowers, etc.

Bring any seized/intercepted bulk materials (i.e., bags of rice, seeds, etc.) back 

to the lab and examine using a microscope. Empty and sift the entire contents 

of a bag into another container. If there are numerous bags, sample an 

appropriate number.

Local Area

The local area will be considered 50 miles. Include all material seized/

intercepted from local travelers in the survey.

Table D-1-2 Schedule of Random Sample Times Month

Month Day Week Shift Actual Date Hours

January Tuesday 3 2 21st 1400-2230

February Sunday 2 1 9th 0700-1530

March Wednesday 2 1 12th 0800-1630

April Friday 3 1 18th 0600-1430

May Thursday 1 3 1st 2300-0730

June Wednesday 4 2 25th 0700-1530

July Sunday 3 1 20th 0800-1630

August Monday 4 2 25th 1500-2330

September Saturday 2 1 13th 0600-1430

October Monday 1 1 6th 0700-1530

November Tuesday 4 1 25th 0800-1630

December Friday 1 1 6th 0600-1430
Appendix D Samples Of Standard Operating Procedures (SOPs)

Sample SOP – Northern Border—Vehicles

D-1-8 AQIM Handbook 05/2021-11
08/2021-12 AQIM Handbook E-1-1

Appendix

E Appendix E

Pathway Monitoring

Quality Assurance Questions

Use this list of quality assurance questions to review the status of monitoring 

activities at work locations. Local port managers and local AQIM coordinators 

should periodically answer these questions to ensure proper monitoring of each 

designated pathway at their work locations.

1. AQIM Sampling and Monitoring

A. What has been done to ensure that the samples are as random as 

possible?

B. Is a Standard Operating Procedure (SOP) for AQIM developed, 

updated, and available to employees?

C. What is being done to limit bias?

D. What difficulties are encountered in ensuring randomness?

E. How are these difficulties being dealt with?

F. How are samples selected so that they are proportional to the 

approaching population?

G. What is done to ensure that all of the appropriate population (i.e., 

passengers, vehicles or cargo) have a chance to be selected?

H. What system is used to select times for selecting samples?

I. How is timing of sample selection adjusted so busy times have 

proportionally more samples?

J. What aspects of monitoring have been the most difficult to implement? 

What has been done to improve the situation?

K. What changes have been made in daily operations as a result of 

monitoring?

2. Inspections, QMIs, and Pest Interceptions

A. What is done to ensure that all samples are properly inspected (100 

percent inspection of non-cargo baggage/mail; ensuring 

hypergeometric cargo inspection process is used where applicable)?

B. How are AQIM QMIs separated and marked?

C. How are QMIs inspected for pests?
Appendix E Pathway Monitoring

Quality Assurance Questions

E-1-2 AQIM Handbook 08/2021-12

D. If pests are found, what system is in place to ensure the pest 

interception number from the PPQ Form 309 or the ARM Diagnostic 

Request event is entered as part of the monitoring record?

E. How often is contraband fruit inspected for pests?

F. Is all the contraband 100% inspected for multiple pests?

3. Data Review

A. Are current data worksheets being used and instructions followed?

B. Who coordinates and ensures completeness and accuracy of AQIM 

data collection?

C. How is consistency ensured?

D. Is the data entry up to date?

E. How often is data quality assurance done?

F. What does the available gap analysis information show about AQIM 

and port operations?

G. How reasonable are the initial results?

H. What is the port doing with the information?
02/2023-21 AQIM Handbook Glossary-1-1

AQIM 

Handbook

Glossary

Use this Glossary to find the meaning of specialized words, abbreviations, 

acronyms, and terms used by USDA, APHIS, PPQ, Plant Health Programs 

(PHP), and the Information Services and Manuals Unit (ISMU). To locate 

where in the manual a given definition, term, or abbreviation is mentioned, 

refer to the Index.

Definitions, Terms, and Abbreviations

analysis. determining the nature or proportion of one or more data elements or 

sets of data.

approach rate. the total prohibited agricultural items seized/intercepted or 

total PPQ cargo actions per the respective, total sampled population.

AQIM. acronym for Agricultural Quarantine Inspection Monitoring.

ARM. acronym for the Agricultural Risk Management System, a web-based 

service-oriented system to support the operational and analytical needs of 

USDA-APHIS-PPQ and DHS-CBP Agricultural Quarantine Inspection 

programs.

confidence interval. a level of belief that the true value of the population was 

captured. For AQIM, the numbers of samples taken at each work location were 

designed to ensure that by detecting the presence of certain pests and 

quarantine materials during the monitoring, PPQ could be 95 percent sure that 

it would happen again.

data. raw information that provides values for any characteristic of a larger 

population. For AQIM, these would be all the entries on the data collection 

form (i.e., flight number, origin, contaminant codes, etc.).

decision-making. the final choice or commitment to action. Decisions are 

impacted by the risk analysis process, resource issues and political 

implications.
Glossary

Definitions, Terms, and Abbreviations

Glossary-1-2 AQIM Handbook 02/2023-21

hazard. elements or events which represent potential harm; an adverse event 

or adverse outcome. In risk analysis, hazard is specified by describing what 

might go wrong and how this might happen.

mean. this term is also referred to as the average. It is computed by adding all 

the values for a characteristic and dividing by the number of observations. For 

example, the mean of passengers going through an airport in a day would be 

the total number of passengers in one year divided by 365 days

mitigation. deliberate action(s) taken to reduce the risk associated with a pest 

organism or plant disease. Consistent with risk management strategies.

monitoring. to watch, check, or regulate the performance of a process or 

activity

negligible risk. a risk value so low (or reasonable) that most parties agree to 

accept risk at or below this level under most circumstances (also known as 

tolerable, not significant or minimal risk).

pest risk assessment. determination of whether a pest organism is of 

quarantine significance, and the evaluation of the likelihood and consequences 

of its introduction, including discussions of the uncertainty associated with the 

estimates.

pest risk management. the decision-making process concerned with 

mitigating the risk of introduction or spread of a plant quarantine pest.

probability. the statistical prediction of the likelihood of possible outcomes.

proportions. shows the relative frequency of an event, e.g. percentage of 

passengers with a QMI.

QMI. quarantine material intercepted.

quarantine security. a management decision concerning the safety at a 

defined level of pest risk. Additional mitigation is not required when 

quarantine security is achieved.

random sampling. each member of the population must have a known 

probability of being sampled (greater than 0).

risk. the likelihood and magnitude (of the consequence) of occurrence of an 

adverse event.
Glossary

Definitions, Terms, and Abbreviations

02/2023-21 AQIM Handbook Glossary-1-3

risk analysis. the process which includes risk assessment, risk management, 

and risk communication.

risk assessment. the process of identifying a hazard and evaluating the risk of 

a specific hazard in qualitative or quantitative terms. This process should 

include estimates of uncertainty and should be objective, repeatable, and 

scientific.

risk communication. open, two-way exchange of information and opinion 

about risk, leading to a better understanding and better risk management 

decisions.

risk management. the pragmatic process concerned with developing options 

for mitigating or eliminating the risk.

safety. the degree to which risks are judged acceptable; a subjective measure 

of the acceptability of risk.

sample. the part (or a subset) of a population that has been selected for 

monitoring.

simple random sampling. a selection process where each member of the 

population must have a known probability (greater than 0) of being sampled.

strata. homogeneous and distinctly different groups created for the purpose of 

dividing cargo. 

variable. any characteristic on which the elements of a sample differ from 

each other (i.e., height versus weight, cargo destinations versus type).

WAD. initials representing the Work Accomplishment Data.
Glossary

Definitions, Terms, and Abbreviations

Glossary-1-4 AQIM Handbook 02/2023-21
12/2022-20 AQIM Handbook Index-1-1

AQIM 

Handbook

A

B

C

D

E

F

G

H

I

J

K

L

M

N

O

P

Q

R

S

T

U

V

W

X

Y

Z

Index

A

agriculture quarantine inspection monitoring

(AQIM)

random selection 2-5-2

statistics 2-5-1

what and why 2-4-1

analysis

definition of Glossary-1-1

approach rate

definition of Glossary-1-1

C

confidence interval

definition of 2-5-3, Glossary-1-1

D

data

definition of 2-5-3, Glossary-1-1

data analysis questions

air cargo 4-3-11

air passenger 4-2-6

mail facility 4-5-4

maritime cargo 4-4-11

northern border truck cargo 4-7-9

northern border vehicle 4-6-5

southern border truck cargo 4-9-10

southern border vehicle 4-8-6

decision-making

definition of Glossary-1-1

E

exclusions from the sampling universe

air cargo 4-3-2

express carrier 4-5-2

maritime cargo 4-4-2

southern border truck cargo 4-9-2

G

government performance results act (GPRA) 2-2-1

H

handbook

conventions 1-1-4

ordering paper copies 1-1-9

purpose 1-1-1

related documents 1-1-4

users 1-1-3

hazard

definition of Glossary-1-2

hypergeometric table

air cargo 4-3-5

maritime cargo 4-4-5

northern border truck cargo 4-7-4

southern border truck cargo 4-9-6

I

implementing AQIM 3-1-1

checklist for 3-2-2

inspection criteria

northern border vehicle 4-6-3

southern border vehicle 4-8-3

M

mean

definition of 2-5-4, Glossary-1-2

mitigation

definition of Glossary-1-2

monitoring

definition of Glossary-1-2

N

negligible risk

definition of Glossary-1-2

P

pathway

air cargo 4-3-1

air passenger baggage 4-2-1

mail facility 4-5-1

maritime cargo 4-4-1

northern border truck cargo 4-7-1

northern border vehicles 4-6-1

southern border truck cargo 4-9-1

southern border vehicles 4-8-1

pest interception procedures

northern border vehicle 4-6-3

southern border vehicle 4-8-3

pest risk assessment

definition of Glossary-1-2

pest risk management

definition of Glossary-1-2

ports participating in

air cargo 4-3-6

foreign arrival air passenger 4-2-3

maritime cargo

commercial perishable agricultural cargo

4-4-5

Italian tile container cargo 4-4-6

wood packing material 4-4-6

northern border truck cargo 4-7-5

preclearance air passenger 4-2-4

predeparture air passenger 4-2-4

southern border truck cargo 4-9-6

southern border vehicle 4-8-2

probability

definition of 2-5-4, Glossary-1-2

procedures summary

air cargo 4-3-7

maritime cargo 4-4-7
Index

Index-1-2 AQIM Handbook 12/2022-20

A

B

C

D

E

F

G

H

I

J

K

L

M

N

O

P

Q

R

S

T

U

V

W

X

Y

Z

northern border truck cargo 4-7-6

southern border truck cargo 4-9-7

proportions

definition of Glossary-1-2

Q

QMI

definition of Glossary-1-2

quarantine security

definition of Glossary-1-2

R

random sampling

definition of Glossary-1-2

reporting issues 1-1-9

risk

definition of Glossary-1-2

risk analysis

definition of Glossary-1-3

risk analysis fundamentals 2-6-1

risk assessment

definition of Glossary-1-3

risk based decision making 2-4-1

risk communication

definition of Glossary-1-3

risk management

definition of Glossary-1-3

roles and responsibilities

AQIM coordinator 3-2-1

assistant AQIM coordinator 3-2-2

S

safety

definition of Glossary-1-3

sample

definition of 2-5-4, Glossary-1-3

sampling for multiple commodities in

air cargo 4-3-8

maritime cargo 4-4-8

northern border truck cargo 4-7-7

southern border truck cargo 4-9-8

sampling protocol

air passenger pathway 4-2-2

express carrier 4-5-2

northern border vehicle 4-6-2

sampling universe

air cargo 4-3-1

maritime cargo 4-4-2

northern border truck cargo 4-7-2

northern border vehicle 4-6-3

southern border truck cargo 4-9-3

southern border vehicle 4-8-3

strata

definition of Glossary-1-3

U

unit of sampling

air cargo 4-3-3

mail facility 4-5-1

maritime cargo 4-4-4

northern border truck cargo 4-7-3, 4-9-4

V

variable

definition of Glossary-1-3

W

work accomplishment data (WAD)

definition of Glossary-1-3

worksheet

air cargo 4-3-9

foreign arrival air passenger 4-2-4

mail facility 4-5-3

maritime cargo 4-4-9

northern border truck cargo 4-7-8

northern border vehicle 4-6-4

preclearance air passenger 4-2-5

predeparture air passenger

Hawaii 4-2-4

Puerto Rico 4-2-4

southern border truck cargo 4-9-9

southern border vehicle 4-8-4