EUROPEAN COMMISSION DIRECTORATE-GENERAL FOR HEALTH AND FOOD SAFETY

Transcription

1 Ref. Ares(2016) /01/2016 EUROPEAN COMMISSION DIRECTORATE-GENERAL FOR HEALTH AND FOOD SAFETY Directorate F - Food and Veterinary Office DG(SANTE) MR FINAL REPORT OF AN AUDIT CARRIED OUT IN THE DOMINICAN REPUBLIC FROM 14 OCTOBER 2015 TO 22 OCTOBER 2015 IN ORDER TO EVALUATE THE SYSTEM OF OFFICIAL CONTROLS FOR THE EXPORT OF PLANTS AND PLANT PRODUCTS TO THE EUROPEAN UNION

2 Executive Summary This report describes the outcome of an audit carried out by the Food and Veterinary Office (FVO) in the Dominican Republic from 14 to 22 October The audit was undertaken in response to continued interceptions in the European Union (EU) of consignments of plants originating in the Dominican Republic, due to the presence of harmful organisms on fruits and vegetables. The objective of the audit was to evaluate the official controls and the export certification system for fruit and vegetables originating in the Dominican Republic, which are regulated by Council Directive 2000/29/EC and are exported to the EU. The FVO team concluded that in response to EU interceptions, a National Action Plan has been implemented since August For certain vegetables, post-harvest treatments were introduced and pre-export checks for most of the consignments, destined to the EU, were moved to packhouses. Since the previous audit, there has been substantial progress with regard to inspectors qualifications and performance and inspection facilities. These measures have led to a significant decrease in the number of EUROPHYT notifications in the second half of 2014 and in However, some shortcomings were identified, which can compromise the effectiveness of pre-export controls and influence their consistency, i.e. the lack of detailed instructions for inspection and sampling, inadequate record keeping and inadequate working conditions at some inspection facilities. With regard to chillies, specific EU requirements concerning the pest free status of the place of production were not complied with. Based on the audit findings, it is concluded that the Dominican Republic has significantly improved their system of phytosanitary controls for exports to the EU which now provide better guarantees that plant products exported to the EU meet the EU import requirements. Recommendations to address remaining shortcomings identified during the audit are included in the report. I

3 Table of Contents 1 Introduction Objectives and scope Legal Basis RELEVANT EUROPEAN UNION LEGISLATION INTERNATIONAL STANDARDS Background Plant health status Notifications of interception Production and Trade Production Exports Findings and Conclusions Organisational aspects of plant health controls National Plant Protection Organisation Legislation Resources Guidelines and training Laboratories and technical support Communication with stakeholders Export procedures General procedures Approved pack houses Registration of producers and traceability of consignments Export inspections Facilities for performing inspections DINVOFEX field inspections DINVOFEX inspections at pack houses PQD pre-export inspections Phytosanitary certificates Action taken in response to EU notifications of interception and internal non-compliances Internal interceptions...17 II

4 5.5.2 EU notifications of interception Wood packaging material and ISPM No 15 certification Overall Conclusions Closing Meeting Recommendations...19 III

5 ABBREVIATIONS AND DEFINITIONS USED IN THIS REPORT Abbreviation ADEXVO CA(s) Consignment DG SANTE DINVOFEX EU EUROPHYT FVO GAP GMP ha Harmful organism IPPC ISPM(s) Lot MA MS(s) NAP NPPO PC(s) PEQL PHD Plants PQD Tephritidae Explanation Dominican Association of producers and exporters of oriental vegetables Competent Authority/ies Defined in ISPM 5 as a quantity of plants, plant products and/or other articles being moved from one country to another and covered, when required, by a single phytosanitary certificate (a consignment may be composed of one or more commodities or lots) Directorate-General for Health and Food Safety National Directorate for Export of Fruits and Oriental Vegetables European Union European Union notification system for plant health interceptions Food and Veterinary Office Good agricultural practices Good manufacturing practices hectare(s) Defined in Article 2 (e) of Council Directive 2000/29/EC as any species, strain or biotype of plant, animal or pathogenic agent injurious to plants or plant products. International Plant Protection Convention International Standards for Phytosanitary Measure(s) Defined in ISPM 5 as a unit of a single commodity, identifiable by its homogeneity of composition, origin, etc., forming part of a consignment Ministry of Agriculture Member State(s) National Action Plan National Plant Protection Organisation Phytosanitary Certificate(s) Post-Entry Quarantine Laboratory Plant Health Department Should be considered to mean 'all living plants and specified parts thereof, including seeds' as defined in Article 2(1)(a) of Council Directive 2000/29/EC Plant Quarantine Division Family of insects commonly called fruit flies IV

6 Abbreviation Thysanoptera WMP Explanation Order of insect commonly called thrips Wood Packaging Material V

7 1 INTRODUCTION The audit took place in the Dominican Republic from 14 to 22 October 2015 and was undertaken as part of the Food and Veterinary Office's (FVO) planned audit programme. The FVO team consisted of two auditors and one National Expert from a European Union (EU) Member State (MS). Representatives of the National Plant Protection Organisation (NPPO), the Plant Health Department (PHD) of the Ministry of Agriculture (MA), accompanied the FVO team during the audit. An opening meeting was held on 14 October 2015 at the headquarters of the NPPO in Santo Domingo, during which the objectives of and the itinerary for the audit were confirmed, and additional information necessary for the conduct of the audit was requested. Unless specified otherwise, the data quoted in the following sections and elsewhere in the report, was provided by the NPPO (see section below). 2 OBJECTIVES AND SCOPE The objective of the audit was to evaluate the official controls and the export certification system for plants and plant products originating in the Dominican Republic and exported to the EU. Particular emphasis was given to plants and plant products regulated by Council Directive 2000/29/EC that are hosts of the pests referred to in section 4.1 below. In pursuit of this objective the following sites were visited: Meetings/visits No. Comments Competent Authorities Plant health control sites Central 1 PHD at the MA, Santo Domingo Regional 1 National Directorate for Export of Fruits and Oriental Vegetables (DINVOFEX), the main office in the North-Central Region, La Vega Points of exit 2 Santo Domingo and Punta Cana Airports Laboratory visits 2 Post Entry Quarantine Laboratory (PEQL) at Santo Domingo Airport and the Plant Health Diagnostics Laboratory in Punta Cana Places of production including production fields and pack houses Fruits 2 1 field, 1 pack house Vegetables 5 2 fields, 3 pack houses Exporter Associations 1 Dominican Association of producers and exporters of oriental vegetables - ADEXVO 1

8 3 LEGAL BASIS The audit was carried out under the general mandate of Articles 21 and 27a of Council Directive 2000/29/EC, and in agreement of the NPPO of the Dominican Republic. 3.1 RELEVANT EUROPEAN UNION LEGISLATION Council Directive 2000/29/EC provides for protective measures against the introduction into and spread within the EU of organisms harmful to plants or plant products. The legal reference for this Directive and other relevant EU legislation is listed in Annex 1. References to EU legislation are to the latest amended version, where applicable. 3.2 INTERNATIONAL STANDARDS Article X (4) of the International Plant Protection Convention (IPPC) establishes that contracting parties should take into account, as appropriate, international standards when undertaking activities related to the Convention. The International Standards for Phytosanitary Measures (ISPMs) issued by the IPPC thus provide a basis, in addition to the EU import requirements, for evaluating official export controls in contracting parties. The Dominican Republic is a contracting party to the IPPC. The full text of all adopted ISPMs is available on the International Phytosanitary Portal of the IPPC ( ). The ISPMs that were of particular relevance to this audit are listed in Annex 2. 4 BACKGROUND This was the third audit carried out in the Dominican Republic in relation to plant health issues. The first audit (Ref: DG(SANCO)/ ) took place in November 2010 and the second audit (Ref. DG(SANCO)/ ) was performed in June Both audits were carried out in order to evaluate the system of official controls for the export of plants and plant products to the EU. The reports of these audits include a detailed description of the control systems and status of harmful organisms in the Dominican Republic, which are also relevant to the current audit. The NPPO of the Dominican Republic had provided actions plans listing the measures they were going to take in order to address the recommendations made in both audit reports. Although these were considered satisfactory, EU interceptions continued at a high level. For this reason, an official letter was sent by the Directorate-General for Health and Consumers (DG SANCO) on 19 June 2014, asking the NPPO to investigate the reasons for these noncompliances with the EU legislation and to take adequate corrective actions to ensure that consignments being exported to the EU are free from harmful organisms. Both previous audit reports, together with the comments and action plans submitted by the NPPO, are available on the FVO website: 2

9 4.1 PLANT HEALTH STATUS The report of the audit in 2012 provides a detailed description of the status of harmful organisms of concern to the EU. The NPPO informed the FVO team that there has been no change in the status of these organisms since that time. No pest free areas have been established for the harmful organisms of concern to the EU. 4.2 NOTIFICATIONS OF INTERCEPTION This audit was undertaken in response to continued interceptions in the EU of consignments of fruits and vegetables originating in the Dominican Republic, due to the presence of harmful organisms. As detailed in Table 1 below, EU MSs notified a total of 496 interceptions from the Dominican Republic between 1 January 2012 and 07 October 2015 in EUROPHYT, the EU's notification system for plant health interceptions. Of these, 432 interceptions were due to the presence of harmful organisms. The remaining 73 were due mainly to non-compliant or missing phytosanitary certificates (PCs). These data show that there was an increase in the number of interceptions in 2013, compared to the previous year of In 2014, there was a slight decrease, but the total number was still high. In 2015, there was a significant decrease compared to data from the previous three years. In fact, the decrease had already started in the second half of 2014 (see points 21 and 31 below). Table 1: Summary of notifications of interception by EU Member States in consignments exported from the Dominican Republic (source EUROPHYT) Reason (until 07 October) Presence of harmful organism of plants Presence of harmful organism on objects Other reasons, including missing or inappropriate PC Total In the period , the most commonly intercepted organisms include fruit flies (non- European Tephritidae - 108), Thrips palmi and other Thysanoptera (253) and pepper weevil (Anthonomus eugenii - 33). In addition, there were 17 notifications of interception of Asian citrus psyllid (Diaphorina citri). The fruit flies were found mainly on mangoes, thrips on bitter gourds (Momordica) and eggplants (Solanum melongena), pepper weevil on chilli peppers (Capsicum) and Asian citrus psyllid on curry leaves (Murraya). 3

10 Further information on EUROPHYT, including summaries of interceptions, are available on the web-site of Directorate-General for Health and Food Safety (DG SANTE): PRODUCTION AND TRADE 4.3.1Production There is a group of vegetables, so called "Oriental" vegetables, specifically produced for the export as there is no domestic consumption. These are mainly vegetable species from the Cucurbitaceae family like ivy gourd (Cuccinea grandis), bitter melon (Momordica charanthia), luffa (Luffa acutangula) and calabash (Lagenaria siceraria). Authorities consider also eggplants (Solanum melongena) and chilli peppers (Capsicum spp.) within the same group of products. Production of these type of vegetables is concentrated in the North- Central region, La Vega and Moca. Mangoes (Mangifera indica) are mostly produced in the Central Region, in the provinces of Peravia, San Cristobal, Azua and San Juan. Table 2 below provides details of the main production of vegetables in the Dominican Republic 2012, 2013 and Table 2: Production of vegetables in the Dominican Republic (Source: NPPO) Common name Botanical name Estimated areas (ha) Eggplants Solanum melongena Bitter melon Momordica charanthia Chilli peppers Capsicum spp Luffa Luffa acutangula Ivy gourd Cuccinea grandis Indian oregano/curry leaves Murraya spp Calabash Lagenaria siceraria Green beans Phaseolus sp Total 1, 007 1, 114 1, 280 Data provided in the table above demonstrates that the total production area for oriental vegetables was increasing in the period The NPPO could not provide statistical data on the production of mangoes Exports The PHD informed the FVO team that the EU is one of the main destinations for fruits and vegetables from the Dominican Republic. Other important markets for their produce are the United States of America and Canada. With regard to exports to the EU, the United Kingdom 4

11 is the main destination, followed by the Netherlands, France and Germany. The vegetable export volumes to the EU between 2012 and 2014 are listed in Table 3 below: Table 3: Exports of fresh vegetables to the EU (Source: NPPO) Common name Botanical name Quantity (t) Eggplants Solanum melongena 2, 879 5, 396 3, 926 Bitter melon Momordica charanthia 1, 699 3, 302 2, 253 Chilli peppers Capsicum spp. 5, 824 7, 196 6, 316 Luffa Luffa acutangula Ivy gourd Cuccinea grandis 1, 391 3, 440 1, 754 Indian oregano/curry leaves Murraya spp Calabash Lagenaria siceraria Green beans Phaseolus sp. 1, 206 2, 635 1, 439 Total 14, , , 506 The NPPO informed the audit team that export of curry leaves (Murraya sp.) was stopped as at the end of March 2015, following the entry into force of Commission Implementing Directive No 2014/78/EU on 01 October According to data provided by the PHD, most vegetable and fruit exports to the EU take place via Punta Cana International Airport. A smaller number of consignments and lower volumes are also shipped via Santo Domingo and Puerto Plata International Airports. Consignments of mangoes were sent to the EU also by sea, via maritime ports. 5 FINDINGS AND CONCLUSIONS 5.1 ORGANISATIONAL ASPECTS OF PLANT HEALTH CONTROLS Legal requirements Article 2(1)(i) of Directive 2000/29/EC establishes the requirements for a measure or statement, to be considered as 'official'. In particular, ' if it is made by representatives of the official national plant protection organisation of a third country, or, under their responsibility, by other public officers who are technically qualified and duly authorised ' ISPM 7 describes the basic elements of the phytosanitary certification process and the requirements for a certification system to fulfil these functions. Sections 1 (Legal Authority), 2 (NPPO Responsibilities), 3 (Resources and Infrastructure), 4.3 (Documentation (procedures)), 5 (Communication) and 6 (Phytosanitary Certification System Review) are of particular relevance. 5

12 ISPM 23 describes the objectives and requirements for inspections. Section 1.3 (Responsibility for inspection) and Section 1.4 (Requirements for inspectors) are particularly relevant here. ISPM 31 provides methodologies for sampling of consignments. Findings 5.1.1National Plant Protection Organisation 1. Since the previous FVO audit in June 2012 (DG(SANCO)/ ), there has been a re-structuring within the PHD, which still acts as the NPPO of the Dominican Republic. As a result of the re-structuring, a Quarantine Sub-Directorate was established. All three Divisions under this Sub-Directorate have responsibilities within the scope of the audit, as follows: The Plant Quarantine Division (PQD), which is responsible for plant health pre-export checks and phytosanitary certification of plants and plant products destined for export; staff of PQD are allocated at the 26 points of exit, including airports and maritime ports; The Laboratory Division, under which four laboratories are operational; these include the PEQL at Santo Domingo Airport, including its branch at the maritime port of Causedo, laboratory at Punta Cana Airport, at the maritime port of Haina Oriental and at the maritime port of Puerto Plata; The Risk Analyses Division covers different areas, including food safety, plant protection and plant health related issues. 2. As of 05 November 2014, the Programme for export of oriental vegetables, fruits and other produce was raised to the category of National Directorate for Export of Oriental Vegetables, Fresh Fruits and Other Produce (DINVOFEX). Following the last changes, DINVOFEX is part of the Vice-Ministry of Farming Development and Training, but coordinates all of its actions with the PHD and the Food Safety Department with regard to issues in the areas of plant health, food safety and pesticide application. It remains the responsibility of DINVOFEX to supervise field and pack house activities in the context of production and exports. They are also in charge of the application of good agricultural practices (GAPs) and good manufacturing practices (GMPs) during the production, harvest and post-harvest, covering also handling and treatments during packaging of fresh vegetables, fruit and other related products. 3. The main office of DINVOFEX is located in La Vega, in the North-Central region, where the majority of exporting operators are registered, covering both producers and pack-houses of oriental vegetables. There are further locations in the remaining seven regions of the Dominican Republic. 6

13 5.1.2 Legislation 4. There have been no changes with regard to the national framework legislation related to the export of plants and plant products. 5. Since the previous audit, two new Resolutions of the MA have been published and entered into force, as follows: Resolution No 07/2012 dated on 21 August 2012 on the re-structuring within the PHD (as described under point 1 above) and the appointment of managerial staff; Resolution No 49/2014 dated on 05 November 2014 on the responsibilities of DINVOFEX and changing its status from a programme to a national directorate Resources 6. According to information provided by the PHD, 30 staff are available at central level. Of these, 70 % are technical staff and the remaining 30 % have administrative functions. At the PQD, a total of 123 quarantine technicians are allocated at the 26 points of exit. Of these, 25 staff are involved in pre-exports inspections of plants and plant products destined to the EU. With regard to the main points of exit, ten of these technicians are allocated at Santo Domingo Airport and another five, at Punta Cana Airport. A total of 25 staff are appointed at the Laboratory Division, of whom six work in the laboratory in Punta Cana and 13, at the PEQL. The Risk Analyses Division has three staff specialised in pest risk analysis. 7. A total of 112 staff work for DINVOFEX. The majority of these are appointed at the main office in La Vega (North-Central Region), including also administrative staff. The remaining staff are allocated in the other seven Regional Offices of the MA. In the Central Region, where the main production area for mangoes is located, there is a total of 18 staff of the MA. Of these, three are DINVOFEX technicians. When considered necessary, the remaining staff assist DINVOFEX staff in field visits at exporting producers. 8. The resources of the PHD and DINVOFEX are provided by the State budget. No fees are charged for field and pack house inspections. For issuing PCs, a fixed fee of 200 Dominican Pesos is applicable, which is the equivalent of 3.90 Euro. If the PC consists of two pages, this amount is 300 Dominican Pesos, or the equivalent of 5.85 Euro Guidelines and training 9. A new Plant Quarantine Manual of Procedures has been drafted, which is still under discussion and has not been approved yet. According to PHD, this document is expected to become applicable by the end of However, neither the current nor the up-dated versions of the Manual contain guidance on performing checks of specific commodities or for specific harmful organisms. In addition, no detailed instructions for sampling are in place. This is not in line with ISPM 7, Section 4.2, first indent. 7

14 10. DINVOFEX staff have their own instructions and standard forms. However, there are no crop and/or pest specific instructions in place. Currently, the National Action Plan (NAP) of August 2014 (described under point 11 below), is used as the main guidance document. 11. In response to the high number of EUROPHYT notifications, a NAP has been implemented since the beginning of August 2014, which contains general instructions on measures to be taken at all levels (production sites, pack houses and points of exit), covering the three main critical commodities: Momordica, eggplants and mangoes. However, instructions with regard to field activities for the monitoring and control of the pepper weevil (Anthonomus eugenii) are not in line with the EU requirements (see point 34). The NAP also provides for sanctions for both underperforming technicians and noncompliant exporters. The FVO team noted that the NAP was available to all DINVOFEX and PQD staff and it was strictly followed. 12. The NPPO stated that all PQD and DINVOFEX technicians have relevant educational background and 95 % of the staff have university degree in agriculture (bachelor or master degree). A system is in place for training of staff, which includes initial and ongoing training. 13. PQD and DINVOFEX technicians met during the audit had the knowledge and the expertise to perform their tasks, which is in line with Section 3.1 of ISPM 7 and with Article 2(1)(i), first indent of Directive 2000/29/EC. As required by the NAP, evidence was seen for underperforming staff to be sanctioned, including: suspension of bonuses and collateral benefits, re-allocation to other jobs or dismissal Laboratories and technical support 14. The audit team visited the PEQL of Santo Domingo Airport and the Plant health Diagnostics Laboratory in Punta Cana. At present, the laboratory in Punta Cana works exclusively under the Programme for control and eradication of Mediterranean fruit fly, following the pest outbreak in the area of Punta Cana. 15. The audit team noted that the PEQL is the only laboratory, which performs some confirmatory analyses in the context of exports. All the remaining laboratories, which are based at maritime ports, are only involved in import sample analyses Communication with stakeholders 16. Since the previous audit, there have been no changes with regard to communication between the PHD and stakeholders. The audit team met representatives from ADEXVO, which, at the time of the audit, had 45 members. It was confirmed by representatives from the Association that regular meetings and other related events are organised by the PHD and DINVOFEX. ADEXVO members were all aware of the NAP in place and all the requirements they have to meet under the NAP. Following the introduction of the new requirements on post-harvest treatments in pack-houses, a demonstration was organised for the exporters at one of the registered pack-houses. It was also confirmed 8

15 that, in addition to inspection and verification related activities, the PHD and DINVOFEX constantly provide advice on issues related to GAPs, GMPs and Hazard Analyses and Critical Control Points systems. Conclusions on organisational aspects of plant health controls 17. There is a well-established NPPO in the Dominican Republic and responsibilities of relevant Competent Authorities (CAs) are clearly defined. Staff met during the audit had the educational background, technical experience and knowledge to carry out plant health controls. 18. Laboratories visited had the facilities and the resources to implement their tasks which are mainly related to import controls. 19. The lack of detailed guidelines and written instructions for inspectors could undermine the effectiveness of pre-export controls. In particular, instructions in place with regard to places of production for chilli peppers were not in line with the EU requirements. 20. There is a good communication between CAs and stakeholders and they work closely together to solve problems related to EU exports and EUROPHYT notifications. 5.2 EXPORT PROCEDURES Legal requirements Annex IV, Part A Section I of Directive 2000/29/EC establishes specific requirements for plants and plants products that must be met in order to be exported to the EU. These may vary depending on the status of the relevant harmful organism in the country of origin. Annex V, Part B to Directive 2000/29/EC lists the plants, plant products and other objects which must be subject to a plant health inspection in the country of origin or the consignor country, if originating outside the EU and accompanied by a phytosanitary certificate. ISPM 7 describes the basic elements of the phytosanitary certification process and the requirements for a certification system to fulfil these functions. Findings 5.2.1General procedures 21. As already described in the previous audit report, export controls are performed at three stages: at places of production, at pack houses and at the points of exit. Since July 2014, in response to the high number of EU interceptions, the PHD decided to move most of the pre-export checks for produce destined to the EU to pack-houses. According to the information provided by the PHD, 60 % of pre-export inspections take place already at this level; for exports from Punta Cana Airport, this percentage is up to 90 %. For mangoes, chilli peppers and guavas (Psidium guajava) the pack house check is supplemented by another pre-export check carried out at the point of exit, prior to 9

16 issuing the PC. In addition, for mangoes the NAP introduced one further requirement. Produce destined to the EU has to be supplied by commercial farms only. Banilejo mangoes and other Creole varieties are not allowed for export to the EU, as these are more susceptible to fruit flies, mainly Anastrepha spp Approved pack houses 22. Under the NAP all exporting pack houses are required to be registered. One further requirement from January 2015 is also that registered pack houses exporting oriental vegetables (other than chilli peppers) to the EU have the facilities for post-harvest treatments, which include the following: Initial pressure water washing; Hot water treatment water temperature between C, for four minutes, followed by cold water bath water temperature 4 to 11 C, for four minutes at least. 23. The NPPO informed the audit team that mandatory post-harvest treatments, listed under point 22, are applied for oriental vegetables, including eggplants, Momordica, Luffa and long squash (Trichosanthes spp.), as a preventive measure to eliminate the presence of Thrips palmi and other Thysanoptera. Before the implementation of the above mentioned treatments as a common practice, trials were organised and performed by the PHD. In some of the pack houses visited, there were also additional treatments using agricultural soap (organic oil authorised for post-harvest treatments by the MA Registration Department) and/or adding sodium hypochloride to the water used for washing or for the cold water treatment. 24. In the case of mangoes, processing includes washing, using water and sodium hypochloride, and waxing. In the mango exporting pack-house, visited by the audit team, there was also a post-harvest treatment applying fungicides, as their produce was usually sent by sea and transport was stated to take from nine to eleven days, depending on the final destination in the EU. 25. All post-harvest treatments and processing operations were performed under the direct supervision by and in the presence of DINVOFEX pack house technicians. 26. According to data provided by the PHD, there were 123 registered pack houses at the time of the audit. Of these, 17 were exporting oriental vegetables to the EU and all had facilities for the post-harvest treatments required under the NAP and described under point 22. With regard to mangoes, there were nine pack houses exporting to the EU in the area of Bani (Central Region), which is the main production area. Smaller quantities of mangoes are transported to and processed in exporting pack houses in La Vega. 10

17 5.2.3Registration of producers and traceability of consignments 27. Exporting producers are required to notify their activities to DINVOFEX. After having done so, they become subject to supervision by DINVOFEX field inspectors who carry out regular on-the-spot visits, usually once a week during the growing season and up to two to four times a week during harvesting. DINVOFEX maintains lists of approved producers and intermediaries. These lists were available to DINVOFEX staff met by the audit team and pack house technicians. They stated that only produce coming from approved operators is accepted. However, the audit team saw some cases, where produce was supplied by non-approved operators, which, resulted in EU interceptions. 28. At the time of the audit, there were 639 producers of oriental vegetables, fresh fruit and other related products. There were separate lists of intermediaries and the figures were, as follows: 71 approved oriental vegetables intermediaries, eight mango intermediaries and ten curry leaves intermediaries. 29. Already in 2010, traceability systems were in place allowing lots to be traced back to individual producers. At all pack houses visited, ready-to-be-shipped products were labelled and the lot numbers contained codes for individual producers and for individual plots. The FVO team noted consignments for export to the EU at the points of exit, whose labels did not contain lot numbers. However, all accompanying documents for individual consignments (pre-inspection certificates, commercial invoices, customs declarations and Air Waybills) were linked to and kept together with the PCs, providing traceability. If any of the above listed accompanying documents is missing, export of the consignment in question is refused. Conclusions on export procedures 30. Exporting pack houses have to be registered and their suppliers have to be approved by the relevant CAs. Both categories of operators are subject to regular inspections and traceability systems are put in place. This should provide better guarantees that plant products exported to the EU meet the EU requirements. 31. The amended export procedures, including recently introduced post-harvest treatment and moving final pre-export inspections to pack houses, have resulted in a significant decrease in the number of EU notifications in the second half of 2014 and in If systematically applied, the number of EU interceptions should be further reduced. The export procedures are compliant with ISPM 7 Section 2.2 requirements and with EU legislation. 5.3 EXPORT INSPECTIONS Legal requirements Annexes I and II Part A to Directive 2000/29/EC list those harmful organisms whose introduction and movement within the EU is banned. 11

18 Annex V, Part B lists those plants, plant products and other objects that must be subject to a plant health inspection in the country of origin or the consignor country, if originating outside the EU and accompanied by a phytosanitary certificate. Annex IV, Part A Section I establishes specific requirements for plants and certain plants products, which must be met for export to the EU. In particular, point 36.2 lays down provisions for the export of fruits of Momordica L. and Solanum melongena L. and point 36.3(a) and (b) sets out the requirements to be complied with for the export of fruits of Capsicum L. originating in the Dominican Republic. ISPM 5 defines free from (of consignment,...) as being without pests (or specific pest) in numbers or quantities that can be detected by the application of phytosanitary procedures. ISPM 7 describes the basic elements of the phytosanitary certification process and the requirements for a certification system to fulfil these functions. ISPM 23 establishes guidelines for inspection. Section 1.4 describes the requirements for inspectors, including access to appropriate inspection facilities, tools and equipment. ISPM 31 provides methodologies for sampling of consignments. Findings 5.3.1Facilities for performing inspections 32. The FVO team visited Punta Cana and Santo Domingo Airports and four pack houses. Three of the pack houses processed oriental vegetables and one packed mangoes. The audit team noted that: Sorting and packing of fruits and vegetables take place on selection tables and are supervised by the DINVOFEX technicians who are allocated to pack houses. The PQD inspectors, if present in the pack houses, also supervise all processing related activities; The areas designated for inspections in pack houses and at the points of exit visited were equipped with tables and, in most cases, with supplementary lighting. However, there was inadequate lighting in some of the premises visited which could affect the performance of visual inspections of the commodities; The inspection facility at Punta Cana Airport was a shed constructed for that purpose and located outside the main cargo warehouse building and exposed to weather-related conditions (high temperature, rain) and to potential infestation with pests. Similar shortcomings were noted at one (of three visited) facility at Santo Domingo Airport, which is a very small area located at the entrance to the warehouse. In both cases working conditions were not adequate and could compromise the effectiveness of controls. This is not in line with ISPM 7, Section 3.4 and ISPM 23, Section 1.4; 12

19 The staff performing inspections had hand lenses, knifes, brushes and sample tubes. Table illuminated magnifying glasses were used at one of the locations; In all places visited, inspectors had appropriate access to the whole consignment, while selecting boxes for the inspection; There were no posters indicating the main pests of fruits and vegetables displayed on site. The NAP which, as mentioned in above, does not have specific crop/pest guidance, was available at all locations and used as a reference for carrying out inspections DINVOFEX field inspections 33. At the production sites, inspections are performed by DINVOFEX field technicians and exporters own technicians on a regular basis, during the growing season and prior to harvest. These aim to verify, that quarantine pests are under the thresholds set out in the NAP. For chilli peppers, mangoes, papaya and Murraya sp., field forms have to be filled in and these accompany the commodities to the pack-house. For all other vegetables and fruits, based on the findings from the pre-harvest inspection, harvesting approval is given orally by DINVOFEX staff. 34. The presence of pepper weevil (Anthonomus eugenii) in chilli pepper crops before harvesting is monitored. However, the harvesting is allowed where the pest is present under the threshold set out in the NAP, which is: five damaged flower buds in a sample of 200 plants or one or more adults present. This is not in line with point 36.3 (b) of Annex IV Part A, Section I to Directive 2000/29/EC which requires the pest free status of the place of production to be monitored and confirmed during two months prior to export. 35. With regard to the other pests, most frequently involved in EU interceptions, the thresholds for rejection of harvesting are the following: for Thrips palmi in oriental vegetables, infestation level exceeding 10 % and for non-european Tephritidae in mangoes, 0,5 flies/trap/day DINVOFEX inspections at pack houses 36. At pack houses, DINVOFEX technicians perform two inspections, one at the reception of commodities and another, after packing has been finalised. The first inspection aims to verify that the presence of pests is at or below the thresholds, set out in the NAP, which are the following: for Thrips palmi in eggplants and Momordica 10 % presence in harvested fruits; no presence of live insects and/or damages by pepper weevil (Anthonomus eugenii) in chillies and fruit flies (non-european Tephritidae) in mangoes ("0 tolerance"). During processing, DINVOFEX staff supervise the post-harvest treatments in order to verify that these are performed in accordance with the requirements set out in the NAP. Second inspection of treated and packed commodities is to verify freedom harmful organisms. 13

20 37. The audit team noted that during both inspections, DINVOFEX staff check 5 % of boxes for low risk commodities and 10 % of boxes for high risk commodities, which include Momordica, eggplants, chilli peppers and mangoes. The first inspection, at reception of commodities, is just an initial screening for the presence of the relevant pests (mentioned under point 36 above) and randomly selected units from each box are checked. For the second inspection, of the processed commodities, all units from each box are checked. The audit team was informed that the percentage of boxes selected is not increased for small lots (e.g. one box was selected from a consignment of nine boxes and two boxes from a total of 16). 38. DINVOFEX staff stated that, in the case of oriental vegetables, if thrips is found, they require re-processing of the commodity, including hot water treatment. Re-processing is followed by another inspection. If the pest is still present, the export is rejected (internal interception). After the inspections and, if no harmful organism is found, a preinspection certificate is issued and the consignment is ready for the pre-export inspection by the PQD technician. 39. No records were kept on inspection, treatments, sampling (sample size and/or number of units inspected), testing, results (infestation level found or any further observations), reprocessing (if any) or other verification, which is not in line with ISPM 7, Section PQD pre-export inspections 40. The FVO team visited four pack houses and two points of exit (Punta Cana and Santo Domingo Airports), where PQD inspectors were interviewed and pre-export inspections were observed. These included inspections of oriental vegetables (eggplants, Momordica and chilli peppers), mangoes, pineapples (Ananas comosus) and avocado (Persea americana). The audit team noted that: The PQD inspectors carried out documentary and identity checks for all consignments upon their arrival at the airports. They issued phytosanitary certificates for consignments, which had already been inspected by the PQD inspectors inland (at the pack houses), unless repeated pre-export inspections were required (in the case of chilli peppers and mangoes). If the identity check is not satisfactory and a discrepancy is identified between the accompanying documents and the consignment, the export is rejected and the consignment is sent back to the pack house; The PQD inspectors selected 10 % of boxes for high risk commodities (oriental vegetables, guavas and mangoes) and 5 % of boxes for low risk commodities (avocado, pineapple). They stated that, for small consignments of less than 30 boxes, they inspect all the boxes. This is in line with the principle of ISPM 31 to achieve similar probability of detecting harmful organisms in lots of different sizes. It was also stated that, in the case of low risk commodities coming from non-compliant operators, who have been involved in EU interceptions, the level of sampling (percentage of boxes) is increased; 14

21 In all cases, inspectors checked the entire content of the selected boxes. No detailed procedures were in place for crop/type of commodity specific sampling. For certain (large) type of fruit the sample size was too low to result in a satisfactory probability for finding pests. For instance, in the case of mango inspection observed, 20 boxes were selected (10 % of the consignment) with seven fruits in a box totalling some 140 fruits. All seven fruits per box were inspected. ISPM 31, however, recommends to inspect some 260 units (fruits) for the consignment of units to achieve a 95 % probability of finding a pest at 1 % level of detection. Similarly, for the inspection of pineapples, 13 boxes were selected (5 % of the consignment) with seven fruits per box totalling some 90 to 100 fruits. To achieve satisfactory probability for finding pests some 270 should be sampled for inspection; Inspectors were aware of the appropriate inspection methods and visual inspections witnessed were adequately performed. In the case of mangoes and avocados, some fruits were cut to check for the presence of seed weevil. For chilli peppers, selected fruits were cut to check for the presence of Anthonomus eugenii larvae. In all cases inspectors emptied the boxes for the detection of pests in the packaging; It was stated that, in the case of thrips found in oriental vegetable consignments during pre-export inspections, which have already been inspected in the pack house, PQD staff allow for a repeated processing to be carried out. However, this is not applicable for chilli peppers and mangoes; The audit team observed pre-export inspections of avocados and pineapples at both points of exit visited, where export was rejected due to the presence of nonregulated pests above the internal thresholds set out; When quarantine pests are found in commodities at the point of exit, inspectors reject the entire lot of the same commodity; Similarly to inspections by DINVOFEX technicians, no records were kept by PQD staff on inspection related activities for individual consignments. Conclusions on export inspections 41. Specific EU requirements for Capsicum fruits concerning the pest free status of places of production are not fulfilled. 42. Although there had been an improvement with regard to export inspection facilities since the previous audit, some shortcomings were identified, which could still reduce the effectiveness of controls. This is not in line with requirements of ISPM 7 and ISPM 23 and reduces the assurance that EU requirements have been met. 15

22 43. The technical staff performing inspections are technically qualified and competent and export inspections performed are generally in line with the EU requirements. However, weaknesses were identified with regard to record keeping, which could be a limitation for an appropriate review of the inspection system and the effective follow-up of interceptions. This is not in line with requirements of ISPM 7, Section Since the previous audit, there has been an improvement with regard to sampling for visual inspection and sample size, which were generally appropriate. However, due to the lack of detailed instructions for sampling, it could not be ensured that for all types of commodities the inspection is based on adequate sample size and thus that EU import requirements are met. 5.4 PHYTOSANITARY CERTIFICATES Legal requirements Article 2(1)(i) of Directive 2000/29/EC establishes the requirements for a measure or statement, to be considered as 'official'. In particular, ' if it is made by representatives of the official national plant protection organisation of a third country, or, under their responsibility, by other public officers who are technically qualified and duly authorised ' Paragraph 3 of Article 13a establishes requirements for the phytosanitary certificate, in particular its format, the information it should contain and its issuance. Paragraph (4) of the same Article contains requirements relating to the use of additional declaration on phytosanitary certificates. Annex IV, Part A Section I establishes specific requirements which must be met in order to export plants and certain plant products to the EU. ISPM 7 describes the basic elements of the phytosanitary certification process and the requirements for a certification system to fulfil these functions. ISPM 12 establishes guidelines for phytosanitary certificates. Findings 45. PCs are issued by the PQD inspectors at the airports for the consignments shipped by air. The PQD inspectors carry out documentary and identity checks for all consignments upon their arrival at the airports. For the consignments shipped through maritime ports, PCs are issued at the pack houses, where pre-export inspections were carried out. 46. The FVO team observed issuing of PCs at Punta Cana and Santo Domingo Airports and checked those already issued, noting that: Blank PCs with standardised format are completed by entering relevant data in the computer, printed and endorsed by the PQD inspector; 16

23 The PCs are completed using information provided by the exporters and listed in DINVOFEX pre-inspection certificates. In addition, for mangoes, DINVOFEX field inspection reports have to be presented; At both points of exit visited, records were kept on PCs issued; PCs for Capsicum fruits included additional declaration statements that the place of production is free from Anthonomus eugenii, which had not been confirmed by the official services. Conclusions on phytosanitary certificates 47. The issuance of PCs is based on official control measures and results of the plant health checks. 48. In general, the official statements in the additional declarations are in compliance with the requirements of Directive 2000/29/EC. However, PCs are issued also in cases (chilli peppers), where it has not been ascertained, that specific EU requirements are complied with. 5.5 ACTION TAKEN IN RESPONSE TO EU NOTIFICATIONS OF INTERCEPTION AND INTERNAL NON-COMPLIANCES Legal requirements ISPM 7, Section 6 (System review) requires that the NPPO should periodically review the effectiveness of all aspects of its export certification system and implement changes to the system if required. ISPM 13, Section 9 (Investigation of Non-compliance and Emergency Action) requires that investigations should be performed in the case of non-compliance found in the exporting country aiming to determine the possible cause with a view to avoid recurrence. ISPM 23, Section 2.6 (Review of inspection systems) establishes that NPPOs should conduct periodic reviews of import and export inspection systems to validate the appropriateness of their design and to determine any course of adjustments needed to ensure that they are technically sound. Findings 5.5.1Internal interceptions 49. Since the first audit in 2010, there have been no changes with regard to action taken in the case of internal interceptions, which may take place either at pack houses or at the points of exit. At both points of exit visited, the audit team noted that log-books were kept for internal interceptions. In order to avoid exports of internally intercepted lots/consignments, the accompanying documents of such consignments are retained at the point of exit. 17

24 50. According to data provided by the PHD, there were internal interceptions in the period January September Of these, the majority (761) was related to Thrips palmi. In 225 cases, internal interceptions were due to the presence of pepper weevil (Anthonomus eugenii) and 92 cases were related to non-europen Tephritidae fruit flies (Anastrepha sp.). Statistical data provided demonstrated a decrease in the period July September EU notifications of interception 51. Internal investigations take place in response to all EU interceptions as was the case at the time of the previous FVO audits. However, one improvement had since been made; now sanctions are imposed on both non-compliant operators and technicians. The audit team noted that this applied in all cases, following an EU interception. Several cases were examined by the FVO audit team and it was noted that: Exports were suspended, following EU interceptions due to the presence of harmful organisms. Although the NAPs provides for suspension of exports for 40 days up to six months in the case of repeated violations, in all cases demonstrated to the audit team, suspensions were for a period of 20 or 21 days. This was explained to be the result of delays in receiving the EU notifications. It was stated that information on non-compliances is firstly provided, in many cases, by importers in the EU to their trade partners in the Dominican Republic, who, on their side, immediately inform DINVOFEX. The audit team noted that in some cases sanctions have been imposed prior to EU interceptions officially notified from EUROPHYT; In the case of EU interceptions due to missing, incorrect or incomplete PCs, sanctions applied to technicians were much stricter than sanctions in the case of interceptions due to the presence of harmful organisms. 52. Information on EU interceptions is communicated in due time to quarantine technicians at all points of exit. These were taken into account by PQD staff when considering the sampling levels (see point 40, second bullet point). Conclusions on action taken in response to EU notifications of interception and internal non-compliances 53. There is a systematic approach with regard to follow-up of EU interceptions and further investigation takes place in all cases, which is in line with ISPM No 13. EU interceptions are communicated to all quarantine technicians at the points of exit. 5.6 WOOD PACKAGING MATERIAL AND ISPM NO 15 CERTIFICATION Legal requirements Point 2 of Annex IV Part A Section I of Directive 2000/29/EC provides conditions for importing wood packaging material (WPM) from third countries. 18