Guidelines for Federal Recognition of a 

State Managed Phytosanitary Program

Updated February 17, 2023

Introduction

This guideline describes procedures established by the Animal and Plant Health and Inspection Service, Plant 

Protection and Quarantine (APHIS-PPQ) to petition the Agency for official recognition of state-level plant pest 

regulations and associated actions. This program contributes to the accomplishment of USDA-APHIS Mission Goal 

2 safeguarding American Agriculture by collaborating and working with states, foreign governments, and

international partners to reduce risk pathways; support pest- free zones and preventing the spread and 

introduction of pests; and develop regional cooperation and awareness, and Mission Goal 3 to facilitate safe 

agricultural trade through effective management of sanitary and phytosanitary issues, as stated in the APHIS 

Strategic Plan (2019-2023).

International Framework

As a member of the World Trade Organization (WTO) the US agrees to observe the provisions of WTO agreements, 

including the Agreement on the Application of Sanitary and Phytosanitary Measures (the SPS Agreement). APHISPPQ is the US Agency with primary responsibility for the implementation of phytosanitary measures. As such, PPQ 

is also responsible for provisions of the Agreement related to phytosanitary measures, including those 

implemented in the US by other than the national government. PPQ’s role in this regard is to ensure that these

entities comply with relevant provisions of the Agreement and do not take measures which are, directly or 

indirectly, inconsistent with the provisions of the Agreement. Further clarification of the role of PPQ under the SPS 

Agreement is provided by the International Plant Protection Convention (IPPC) and associated international 

standards. The IPPC is specifically identified by the SPS Agreement as holding the responsibility for standard 

setting associated with phytosanitary measures.

Under the IPPC’s International Standards for Phytosanitary Measures (ISPM) No.5, Supplement No.1, a national 

government or a National Plant Protection Organization (NPPO) should establish or recognize Official Control 

under appropriate legislative authority. The national government or NPPO should perform, manage, supervise, or 

at minimum, audit/review the Official Control program and ensure its enforcement. Agencies other than the NPPO 

may be responsible for aspects of official control programs, and certain aspects of official control programs may be

the responsibility of sub-national authorities.

Regulatory Conditions for Implementation

APHIS-PPQ has the primary authority and responsibility for phytosanitary measures associated with preventing 

the introduction and spread of exotic plant pests. In instances where a plant pest has become established in the

United States but APHIS- PPQ decides not to take regulatory actions or establish regulatory programs, States may 

take actions and establish programs domestically. APHIS-PPQ can officially recognize these programs as the basis 

for taking regulatory actions at ports of entry which are consistent with the intent of the State-managed program.
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There are two situations where States may apply for Federal recognition of their phytosanitary programs:

1. When APHIS-PPQ does not regulate a plant pest of limited distribution in the United States, a State that has

that pest within its own borders may implement procedures to eradicate the plant pest or to contain the 

plant pest within its borders.

2. When APHIS-PPQ does not regulate a plant pest of limited distribution in the United States, a State without 

that pest may implement procedures to exclude the pest in order to prevent the risk of introduction of the

plant pest within its borders.

When there is a possibility that a trading partner may challenge APHIS-PPQ’s import requirements based on the 

presence of a regulated pest in the United States, APHIS-PPQ may encourage a State where that pest occurs to

establish a State Managed Phytosanitary Program which can be recognized by APHIS-PPQ and thereby provide the 

justification for consistent actions against the same pest when found with imports at ports of entry.

Without federal recognition of a State Managed Phytosanitary Program, the pest’s regulatory status when found 

with imports may change from actionable to non- actionable, i.e. no action will be taken if the pest is detected at 

ports of entry. Establishing a State Managed Phytosanitary Program that is officially recognized by APHIS-PPQ

ensures that action will be taken at ports of entry if the imported article is destined to a recognized State and avoids 

potential discrimination claims by trading partners.

To obtain a program’s designation as a FRSMP Program, States (through the National Plant Board) must petition 

APHIS-PPQ to recognize their established or proposed programs to exclude, eradicate or contain a regulated plant 

pest.

Petition Procedures

The State should provide the following supporting information and documentation.

1. Presence

Evidence the pest does not exist in the State, or if it does exist, that it is being contained or there are 

programs in place for eradication. Include appropriate survey data, define the infested area(s),

endangered area(s), and protected area(s), and the procedures used for establishing containment 

(including exclusion) or eradication.

2. Possible entry and establishment.

Evidence that the pest could enter and become established in the State, or if it already exists in the state, 

that it could become widespread.

3. Economic/environmental harm.

Evidence that the pest could cause economic and/or environmental harm in the State.

4. Maintenance/Verification.

A description of the State actions used to maintain and monitor for pest freedom, limit distribution, or

containment (including exclusion) including a description of monitoring programs.

5. Quarantine regulations.

A copy of the State, local or tribal quarantine regulations that provide for enforcement of the 

appropriate programs.
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Where to send a Petition

Please send your Petitions for federal recognition of a state managed phytosanitary program for both quarantine 

and regulated non-quarantine pests, or your questions regarding the program, to Ms. Lydia Colón, National Policy

Manager, Pest Emergency and Response, PPQ, APHIS, at frsmp@usda.gov. 

Administrative Requirements

APHIS-PPQ will require State Plant Regulatory Officials, to commit, in writing, the willingness to allocate resources 

necessary to implement and maintain the program. State Plant Regulatory Officials will identify the State’s

authority by citing the relevant regulations. State Plant Regulatory Officials will provide a description of how to 

implement the program, such as surveys, inspections, and compliance agreements.

Criteria Used to Evaluate the Petition

The criteria are available electronically in the Federally Recognized State Managed Phytosanitary Program Manual.

Audit/Review Requirements

States will submit annual accomplishment reports and APHIS-PPQ will audit programs for survey and monitoring 

in order to confirm compliance. APHIS-PPQ will base the audits on the state petition and workplans and will follow 

the checklist included in the FRSMP manual. Any non-compliance must be addressed appropriately.

Definitions

From ISPM No 5

EndangeredArea: An area where ecological factors favor the establishment of a pest whose presence in the area 

will result in economically important loss

Monitoring: An official ongoing process to verify phytosanitary situations

Quarantine Pest:A pest of potential economic importance to the area endangered thereby and not yet present

there, or present but not widely distributed and being officially controlled

Regulated Non-Quarantine Pest: A non-quarantine pest whose presence in plants for planting affects the 

intended use of those plants with an economically unacceptable impact and which is therefore regulated within the

territory of the importing contracting party

Surveillance: An official process which collects and records data on pest presence or absence by survey, 

monitoring or other procedures [CEPM, 1996; revised CPM, 2015]

Survey: An official procedure conducted over a defined period to determine the presence or absence of pests, or 

the boundaries or characteristics of a pest population, in an area, place of production or production site [FAO, 

1990; revised CEPM, 1996; CPM, 2015; CPM, 2019]
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From FRSMP Manual Glossary

Protected Area: A regulated area that an NPPO has determined to be the minimum area necessary for the effective

protection of an endangered area

From Plant Protection Act of 2000

State: The term “State” means any of several States of the United States, the Commonwealth of the Northern 

Mariana Islands, the Commonwealth of Puerto Rico, the District of Columbia, Guam, the Virgin Islands of the United 

States, or any other territory or possession of the United States.

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to 

respond to, a collection of information unless it displays a valid OMB control number. The valid OMB control number for this 

information collection is 0579-0365. The time required to complete this information collection is estimated to average 80 hours 

per response, including the time for reviewing instructions, searching existing data sources, gathering, and maintaining the data 

needed, and completing and reviewing the collection of information.

OMBAPPROVED: 0579-0365

Exp: 08/31/2023