In Response to Information Provided by The

Ref. Ares(2018)6237117 - 05/12/2018

EUROPEAN COMMISSION DIRECTORATE-GENERAL FOR HEALTH AND FOOD SAFETY

Health and food audits and analysis

DG(SANTE) 2018-6478

FINAL REPORT OF AN AUDIT CARRIED OUT IN GERMANY FROM 22 MAY 2018 TO 01 JUNE 2018 IN ORDER TO EVALUATE THE SYSTEM OF IMPORT CONTROLS FOR PLANT HEALTH

In response to information provided by the competent authority, any factual error noted in the draft report has been corrected; any clarification appears in the form of a footnote. Executive Summary

This report describes the outcome of an audit carried out in Germany from 22 May to 1 June 2018, as part of the Directorate General for Health and Food Safety’s published audit programme. The objectives of the audit were to evaluate the system of import controls for plant health, in particular the capacity and performance of the official bodies responsible for import controls and the adequacy and effectiveness of import checks carried out for plant health purposes to ensure compliance with EU requirements.

The audit team found that Germany has established a comprehensive system of import controls for plant health, including for wood and wood packaging material, which is overall in line with EU requirements and ensures that high-risk material is identified and subjected to checks.

There are many examples of good practice in the system of import controls including the systematic identification of high risk plants, plant products and other objects, and the close and effective cooperation with Customs, which ensures that all regulated and high-risk non-regulated plants, plant products and wood packaging material remain under customs control until completion of the plant health checks, or approval by the plant health services for their clearance. The regular controls of post and arriving passengers prevent entry to the EU of a large number of non- compliant consignments of plants, plant products and other objects.

However, there are a number of shortcomings in the system of controls, in particular the reduced level of sampling and plant health checks implemented at the two main points of entry to Germany for plants and plant products, which compromise the overall effectiveness and assurances provided by the system of import controls for plant health in Germany.

The report contains recommendations to the competent authorities to address the shortcomings identified and enhance the implementation of the official controls.

I Table of Contents

1 Introduction...... 1 2 Objectives and scope...... 1 3 Legal Basis...... 2 3.1 Relevant EU Legislation...... 2 3.2 International Standards...... 2 4 Background ...... 2 4.1 Imports of plants and plant products ...... 2 4.2 Interceptions ...... 3 5 Findings and Conclusions ...... 4 5.1 Organisation of plant health import controls...... 4 5.2 Cooperation and communication with Customs service and stakeholders ...... 10 5.3 Import procedures...... 12 5.4 Import inspections ...... 16 5.5 Wood packaging material...... 21 5.6 Action taken in case of non-compliance ...... 22 6 Overall Conclusions ...... 23 7 Closing Meeting...... 23 8 Recommendations ...... 24

II ABBREVIATIONS AND DEFINITIONS OF TERMS USED IN THIS REPORT

Abbreviation Explanation BMEL Federal Ministry for Food and Agriculture (Bundesministerium für Ernährung und Landwirtschaft) Consignment Defined in Article 2(1)(p) of Council Directive 2000/29/EC as a quantity of goods being covered by a single document required for customs formalities or for other formalities, such as a phytosanitary certificate or a single alternative document or mark; a consignment may be composed of one or more lots Customs clearance Transfer of consignments in a customs procedure (Article 5(16)(a) and (b), Article 5(26) of Regulation (EU) No 952/2013) after completion of Customs formalities and the necessary plant health checks. DG Health and Directorate-General for Health and Food Safety of the European Commission Food Safety EC European Community EU European Union Europhyt The EU’s notification system for plant health f.t.e. Full time equivalent Hamburg Free and Hanseatic City of Hamburg Harmful organism Defined in Article 2(1)(e) of Directive 2000/29/EC as any species, strain or biotype of plant, animal or pathogenic agent injurious to plants or plant products Hesse State of Hesse Inspection post Place at the point of entry or any other place close by, designated by both Customs authorities and the responsible official body, as referred to in Article 13c(2)(b) of Directive 2000/29/EC and Article 1 of Directive 98/22/EC ISO International Organization for Standardization (www.iso.org) ISPM(s) International Standard(s) for Phytosanitary Measures JKI The Institute for National and International Plant Health of the Julius Kühn Institute, Braunschweig Land/Länder Federal State/Federal States LPPS Land Plant Protection Service (Pflanzenschutzdienste der Länder) Lot Defined in Article 2(1)(o) of Directive 2000/29/EC as a number of units of a single commodity, identifiable by its homogeneity of composition and origin, and forming part of a consignment Place of A place approved by the responsible official body and customs authorities destination responsible for the area where the place is located, as referred to in Article 13c(2)(d) of Directive 2000/29/EC and Article 1(2)(b) of Directive 2004/103/EC Plants Defined in Article 2(1)(a) of Directive 2000/29/EC as 'all living plants and specified parts thereof, including seeds' Regulated harmful Those listed in the annexes to Directive 2000/29/EC – i.e. harmful organisms in organisms/articles Annexes I or II; and plants, plant products and other objects listed in Annex V

III Abbreviation Explanation TARIC Tarif Intégré de la Communauté (Integrated Tariff of the European Union) TRACES Trade Control and Expert System

IV 1 INTRODUCTION

The audit took place in Germany from 22 May to 1 June 2018 and was undertaken as part of the published audit programme of the Directorate-General for Health and Food Safety of the European Commission (DG Health and Food Safety).

The audit team consisted of two auditors of DG Health and Food Safety. It was accompanied throughout the audit by representatives of the Julius Kühn Institute (JKI), which acts as the Single Authority for plant health in Germany.

An opening meeting was held on 22 May 2018 at the Federal Ministry for Food and Agriculture (BMEL - Bundesministerium für Ernährung und Landwirtschaft) in Bonn, during which, the objectives, scope and itinerary for the audit were confirmed and additional information necessary for the conduct of the audit was requested.

2 OBJECTIVES AND SCOPE

The objectives of the audit were to evaluate the following: 1) the capacity and performance of the official bodies responsible for implementing relevant European Union (EU) legislation concerning plant health import controls; 2) the adequacy and effectiveness of import checks carried out for plant health purposes to ensure compliance with EU requirements.

The following table provides details of the meetings held and sites visited in order to achieve these objectives:

Meetings/visits No. Comments Plant health services 2 Federal - BMEL and JKI 3 Land Plant Protection Services (LPPS):North Rhine Westphalia, Hamburg and Hesse 1 State Forest Service - North Rhine Westphalia 2 Plant Protection Service laboratories in North Rhine Westphalia and Hamburg Other official authorities 1 Customs Service, Bonn and 3 points of entry (including passenger and postal imports) Control sites Points of entry Airports 2 Cologne-Bonn and Frankfurt Seaports 1 Hamburg Inspection posts 2 Cologne-Bonn and Frankfurt airports Places of destinations 4 1 - importers of plant products 1 - importer of plants for planting 2 - importers of products listed in Decision 2013/92/EU

1 The scope of the audit included the organisation and implementation of plant health import controls, in particular, the plant health checks, including of wood and wood packaging material, controls of parcel couriers and passengers and the cooperation of the Single Authority with Customs Service and stakeholders.

3 LEGAL BASIS

The audit was carried out under the general provisions of EU legislation, in particular Articles 21 and 27(a) of Council Directive 2000/29/EC.

3.1 RELEVANT EU LEGISLATION

All EU legislation referred to in this report is listed in Annex 1 to this report. Legal acts quoted in this report refer, where applicable, to the latest amended version.

3.2 INTERNATIONAL STANDARDS

International Standards for Phytosanitary Measures (ISPMs) are issued by the International Plant Protection Convention of which all EU Member States are members. Those of particular relevance to this audit are listed in Annex 2 to this report.

4 BACKGROUND

The audit was carried out as part of a series, aimed at evaluating Member States’ controls at import of plants, plant products and other objects for the purposes of plant health. It forms part of a wider project on this topic, the objectives of which are to ensure the correct and uniform application of EU plant health legislation, to identify examples of good practice being applied by Member States, and to help inform the development of new measures and guidelines for import controls in the EU.

This was the tenth audit carried out by the Commission services in Germany on plant health related topics since 2003, and the third related to plant health import controls. The previous audit on that topic was carried out in April 2008 (Ref: DG(SANCO)/2008/7909), as part of a general audit.

Further information on DG Health and Food Safety, including audit reports and its work programme, are available at: http://ec.europa.eu/food/audits-analysis/audit_reports/index.cfm.

Unless otherwise stated, statistical data in this and the following chapters was provided by the JKI.

4.1 IMPORTS OF PLANTS AND PLANT PRODUCTS

Approximately 40 000 consignments of regulated plants and plant products are imported into Germany each year. The majority of these are cut flowers (mainly roses (Rosa sp.)) and fruit and vegetables (mainly mangoes (Mangifera sp.), aubergines (Solanum melongena) and leaves of basil (Ocimim sp.). There are a further 60 000 consignments imported each year,

2 which contain wood packaging material included in the Commodity Risk List (see section 5.1.5 below).

There are 84 designated points of entry in Germany for regulated plants and plant products however, Frankfurt airport and the port of Hamburg are the two main points of entry for such consignments and both were visited during this audit.

4.2 INTERCEPTIONS

The Europhyt – Interceptions annual reports published by DG Health and Food Safety1, provide a detailed analysis of the interceptions notified by all Member States and Switzerland each year. According to the report for 2016, the latest published at the time of this audit, Germany accounted for 14.3% of all interceptions notified in Europhyt, the EU's rapid alert system for plant health, and 7.6% of all interceptions of harmful organisms that year.

As detailed in Table 1 below, Germany notified a total of 5 564 interceptions between 2013 and 2017. A further 1 733 interceptions were notified in the first five months of 2018. The majority of the interceptions were for reasons other than the presence of harmful organisms, including the lack of, or incomplete, phytosanitary certificates or the presence of prohibited items. Table 1: Interceptions of plants, plant products and other objects originating from non-EU countries, notified by Germany between 2013 and 2018 (source: EUROPHYT)

2013 2014 2015 2016 2017 2018* Total no of notifications 874 1 019 956 1 107 1 608 1 733 - with harmful organisms 175 250 198 135 79 34 - of wood packaging material 160 213 150 126 107 55 * - to 31 May 2018

Germany has implemented a risk assessment and control programme for high-risk wood packaging material and other commodities since 1998, which is detailed in section 5.1.5 below, and this is reflected in the relatively high number of interceptions (811) of wood packaging material reported by Germany since 2013, compared to the total number of such interceptions (4 356) notified by all 28 EU Member States and Switzerland in the same period. 187 of the interceptions notified by Germany were due to the presence of harmful organisms, which is a significant proportion (47%) of the 397 notified by all 28 Member States and Switzerland for the same reason during the same period.

Germany has also established control programmes aimed at postal consignments and passenger baggage (see sections 5.3.5 and 5.3.4 below). According to data provided by the JKI, which is summarised in Table 2 below, a significant number of the consignments intercepted for reasons other than the presence of harmful organisms were imported by post, or in passenger baggage.

1 https://ec.europa.eu/food/plant/plant_health_biosecurity/europhyt/annual_reports_en

3 Table 2: Interceptions of plants, plant products and other objects in postal consignments and passenger baggage between 2013 and 2018

No of interceptions Year Postal consignments % of all Passenger baggage % of all interceptions interceptions for year for year 2013 246 28 0 0 2014 198 20 0 0 2015 238 25 18 2 2016 359 32 5 0 2017 299 19 618 39 2018* 77 18 181 41 * - Interceptions entered into Europhyt as of 19/04/2018

In total, there were 1 417 interceptions of postal consignments and 822 of passenger baggage for such reasons since 2013. These 2 239 interceptions accounted for approximately half of all interceptions not involving harmful organisms or wood packaging material notified by Germany between 2013 and 2018 and detailed in Table 1 above. The JKI highlighted the increasing number of interceptions concerning post and passenger baggage, which is a reflection of the increasing internet trade in plants and plant products and airline passenger traffic, as well as the increased checks being carried out by the plant health and Customs services. The JKI has informed the Commission that, in light of these factors and following a sharp increase in interceptions from April 2018 onwards, which have not been notified in Europhyt, they estimate that there will be in excess of 7 000 interceptions involving postal consignments and passenger baggage in 2018.

5 FINDINGS AND CONCLUSIONS

5.1 ORGANISATION OF PLANT HEALTH IMPORT CONTROLS

Legal requirements

Articles 1(4), 2(1)(g), 2(1)(i), 12, 13(3) and 16(2) of Council Directive 2000/29/EC Article 1 and Annex to Commission Directive 98/22/EC Commission Implementing Decision 2011/787/EU ISPM 31

4 Findings

5.1.1Authorities involved in import controls

1. The Country Profile for Germany published by DG Health and Food Safety2 provides a detailed description of the organisation of the official controls for plant health relevant to this audit. In summary:  The Federal Ministry for Food and Agriculture (Bundesministerium für Ernährung und Landwirtschaft - BMEL) acts as part of the national plant protection organisation;  The Institute of National and International Plant Health of the Julius Kühn Institute (JKI) acts as the Single Authority, within the meaning of Article 1(4) of Directive 2000/29/EC. The tasks of the JKI are established in Article 57(2) of the Plant Protection Act; it plays an advisory and coordination role on matters relating to plant health, including the provision of information on new and emerging risks, training and guidance for use by inspectors. Further information is available on the JKI's website: https://www.julius-kuehn.de/en/;  The 16 Land Plant Protection Services (Pflanzenschutzdienste der Länder - LPPS) are competent for plant health at Land level, and are responsible for the implementation of official plant health controls in their respective territories. In some Länder (e.g. in North Rhine Westphalia) the State Forestry Service (Landesbetrieb Wald und Holz) is responsible for plant health activities in the forestry sector, including the control of wood and wood packaging material imported from non-EU countries;  The Federal Customs service (Bundeszollverwaltung) is responsible, inter alia, for monitoring compliance with customs legislation. It is also involved in the identification and supervision of consignments declared to contain regulated articles, including those imported by post or passenger baggage, until the required plant health controls have been completed;  Diagnostic and technical support for the plant health checks is provided by laboratories of the LPPS. The JKI acts as the national reference laboratory for plant health, and includes specialised laboratories such as entomology, mycology and bacteriology to assist the work of the institutes, and on request, the LPPS. 2. The authorities responsible for plant health have been designated in line with Article 1 and 2 of Directive 2000/29/EC.

5.1.2National legislation relating to import controls for plant health

3. The JKI informed the audit team that Directive 2000/29/EC is transposed by the Federal Plant Protection Act (Pflanzenschutzgesetz) and the Plant Health Order (Pflanzenbeschau-verordnung). The Plant Health Order contains specific provisions on

2 http://ec.europa.eu/food/audits-analysis/country_profiles/details.cfm?co_id=DE

5 new harmful organisms and sets obligations for the Länder for import and outbreak controls (see section 5.5.3 below). The Annexes to Directive 2000/29/EC are directly applicable; no implementing act is required. Similarly, Commission decisions on emergency measures are directly applicable in Germany.

4. Article 10 of the Plant Health Order transposes the provisions of Article 13b(3) of Directive 2000/29/EC concerning exemptions for small quantities (see section 5.3.4 below).

5. The BMEL stated that the Plant Protection Act provides the necessary legal powers to perform import controls for plant health and to take any necessary measures including the power to control the movement of consignments or to require their destruction or re- export. This was confirmed by the audit team during their site visits and review of documents relating to the interception of consignments (see section 5.6 below).

6. The BMEL informed the audit team that requirements for charging fees for import checks are harmonised at national level, however it is the responsibility of individual Lander to establish the level of fees for their import checks. The fees are published by the Lander; the method for their calculation has been communicated to the European Commission in line with Article 13d (3) of Directive 2000/29/EC.

7. The Federal Ministry of Finance and the customs authorities it appoints are involved in monitoring compliance with plant protection regulations during import, export and transit in accordance with Article 61 of the Plant Protection Act. To this end, they can intercept affected consignments, communicate their suspicion of a violation of plant protection provisions and share information obtained during customs formalities with the relevant authorities, and present these consignments to the relevant plant protection authorities.

8. The responsible official bodies in charge of inspection posts, have the authority to carry out their duties in line with Article 1, and Point 1, first indent, of the Annex, to Directive 98/22/EC.

5.1.3Staffing provisions and training

9. The BMEL informed the audit team that there is a total of 197 full-time equivalent (f.t.e.) plant health inspectors in Germany, of which, 81.5 f.t.e. are responsible for import controls for plant health.

10. In Hesse, there is a total of 21 inspection staff based at Frankfurt airport, which provide cover in a three-shift pattern. At Hamburg port there are 7.4 f.t.e. inspectors who perform import and export plant health checks. As noted in section 5.4.4 below, this number is not sufficient to ensure that appropriate checks can be carried out for all consignments of regulated plants, at peak times.

6 11. All of the staff responsible for performing plant checks have at least a university or third level qualification, which is complemented by training provided by the LPPS and the JKI.

12. The LPPS are primarily responsible for providing training for their inspectors, and this varies by Länder, but typically comprises of a period of on-the-job training for new recruits, followed by three to four one-to-two day training courses annually, covering all aspects of plant health controls, including surveillance, plant passports and import controls. In North Rhine Westphalia, Hesse and Hamburg, the LPPS informed the audit team that they also hold weekly meetings with inspectors to provide an update on new legislation and risks, and to enable the informal exchange of information between staff.

13. The JKI, together with the LPPS, also provides training for inspectors, including annual workshops, which are held in February and March, and involve 100 to 120 inspectors. LPPS inspectors should attend these at least once every two years.

14. The JKI also provides specific training for inspectors on the use of Europhyt- interceptions, and occasional training following significant amendments to the Compendium (see section 5.1.5 below). The JKI stated that it is organising a first training on the use of TRACES3, in 2019.

15. Meetings are also held in May each year between the JKI and senior inspectors to exchange experience and discuss proposed changes to controls at national and EU level. The JKI also informed the audit team that it organises bilateral and multilateral meetings and visits, to enable the exchange of experience with other Member States, including visits to points of entry.

16. The system of training ensures that the staff responsible for performing plant health checks are appropriately qualified to do so, in line with Article 2(1)(i) of Directive 2000/29/EC, and have the necessary technical competence, especially in the detection of harmful organisms, required by Article 1, and Point 2, first indent, of the Annex to Directive 98/22/EC.

5.1.4Laboratory and technical support

17. Inspectors performing checks at points of entry and places of destination make an initial identification of suspected harmful organisms, which enables a preliminary decision to be taken on whether there is a non-compliance, and if so, the action that should be taken, pending confirmation by the relevant laboratory. It was noted that the inspection posts at Frankfurt airport and Hamburg port had access to appropriate laboratory facilities and equipment for that purpose, including Berlese funnels and mesh cages for samples of suspected fruit flies.

18. The JKI acts as the national reference laboratory for plant health. It informed the audit team that most LPPS have established their own laboratories to provide diagnostic and

3 https://ec.europa.eu/food/animals/traces_en

7 technical support for plant health controls. The laboratories are either already accredited to ISO Standard 17025 with flexible scopes for analytical methods, or are in the process of being so.

19. The audit team visited the LPPS laboratories in North Rhine Westphalia and Hamburg and noted that both had a high-level of expertise and facilities for performing analysis of samples from imported consignments. Both laboratories had appropriate record keeping and procedures in place for handling samples suspected of being infested with harmful organisms.

20. The specialists met by the audit team stated that they used only internationally recognised diagnostic protocols for the identification of harmful organisms, including fruit flies.

21. The JKI is responsible for performing preliminary pest risk analysis on request by the LPPS to support decision making following a finding of a new harmful organism, either in imported consignments, or in the field. The JKI informed the audit team that it had carried out assessments for 88 such assessments since 2012. Further details are available on the JKI website: http://pflanzengesundheit.jki.bund.de/index.php?menuid=57.

22. The official bodies responsible for performing plant health checks have expertise in the identification of harmful organisms, or access to such expertise, in line with the Article 1, and the third point of Item 1 in the Annex, to Directive 98/22/EC.

5.1.5Working instructions and internal communication

23. The JKI informed the audit team that a range of information and guidelines relating to import controls have been provided at federal level to assist inspectors performing import checks, which are published on the JKI plant health portal4. The main guidance document is the Compendium on plant health controls in Germany (Kompendium zur Pflanzengesundheitskontrolle in Deutschland, hereafter, 'the Compendium'). Additional, specific guidance is issued as required, either by email or as a specific guidance document.

24. The JKI informed the audit team that development of the Compendium started in 2006, with the aim of harmonising the actions and measures between the federal states. It includes general information on import controls and specific guidance on the import controls for specific commodities and internal market controls, which was developed in collaboration with the federal states. It also includes data sheets and information on relevant pests. The Compendium was completed in 2010 and is available on-line; it is updated by the JKI as necessary.

25. The audit team noted that the Compendium was widely referred to by all inspectors met by the team. There was a high-level of awareness of the guidance that it provided and its use appeared to be encouraged by the LPPS.

4 http://pflanzengesundheit.jki.bund.de/index.php?menuid=32

8 26. The LPPS also issue guidance for performing import checks, which is more tailored to the trade at individual points of entry. This includes formal guidance, issued by the LPPS itself, as well as informal guidance, shared between inspectors to assist in interpreting import requirements and legislation, or the Compendium. During visits to the points of entry, the audit team noted that:

 Sampling guidance had been issued for performing checks of low-risk commodities ('non-ISPM 31' checks – see section 5.4.4 below) at Frankfurt airport, which differed significantly to that established in the Compendium, and ISPM 31;  Guidance on EU import requirements was being used by inspectors at one point of entry. This was developed locally, based on guidance developed by another point of entry. Both guidelines were undated and did not include recent changes in EU legislation and import requirements.

27. The Federal Ministry of Finance and the General Directorate of Customs issue instructions and guidance (administrative regulations, decrees and orders) to customs officers involved in performing controls of imported plants, plant products and other objects.

28. Inspectors have access to instructions and guidelines for import controls, in line with Article 1, and Item 1(a) of the Annex, to Directive 98/22/EC. However, the local guidance for inspection and national legislation maintained at some points of entry were not up-to-date, as required by that same legislation.

29. The JKI informed the audit team that it provides information to the LPPS on new pests, risk commodities and a weekly summary of interceptions notified by other Member States in Europhyt. The JKI also establishes two lists of high risk commodities:  The Risky Commodity List for Plants and plant products identifies high-risk plant and plant products, including those that are not regulated by the EU, by TARIC code, country of origin and scientific name, taking account of interceptions notified in Europhyt, the EU Alert List and other sources of information. The list is published in the Federal Gazette and, based on Article 8(4) of the Plant Health Order, and imports must be notified to the LPPS;  The List of Risky Commodities identifies commodities by TARIC code and country of origin, which may be accompanied by high-risk wood packaging material, including stone, metal and machinery which are not regulated by Directive 2000/29/EC. The list is published in the Federal Gazette and, based on Article 7(b) of the Plant Health Order, importers must notify the arrival of any listed consignments to the LPPS. The LPPS must issue a certificate to enable customs clearance of such consignments (see section 5.3 below).

9 30. The LPPS inspectors performing import checks had up-to-date information on interceptions by other LPPS and other Member States, in line with Article 1, and Item 1(e) of the Annex, to Directive 98/22/EC.

5.1.6Planning of official controls

31. Import controls are planned based on the notification of import provided by importers or their import agents (see section 5.3.1 below) and all regulated articles are submitted to plant health controls.

32. The JKI informed the audit team that the implementation of a reduced frequency of plant health checks as provided for by Commission Regulation (EC) 1756/2004 is at the discretion of each LPPS. The management of the reduced checks, including the choice of which consignments are to be subject to plant health checks, is done at each point of entry. The JKI submits an annual report to the Commission in line with that Regulation.

33. The audit team confirmed that the level of plant health checks carried out was in line with, or exceeded, the minimum level established by the Regulation5.

5.1.7Verification procedures and audit

34. The BMEL informed the audit team that internal audits of the plant health system are carried out by the Federal-Land Audit Group for Phytosanitary Controls (Bund-Länder Auditgruppe für Pflanzengesundheitliche Kontrollen). The Audit Group was established in 2005 and is composed of representatives of BMEL, JKI and LPPS. The group meets annually to identify audits for the following year, and reports directly to Länder ministries, BMEL and LPPS.

35. The first audit by the Audit Group was carried out in Bavaria in 2005 and concerned issues relating to exports, this was followed by other audits, including, in 2013 an audit of import controls in Hamburg, focussing on plants and plant products, and an audit of the JKI itself. In 2018, audits of import controls in Berlin and plant passport inspections in Brandenburg are planned.

36. Additional internal audits are carried out by the LPPS. The LPPS of North-Rhine Westphalia stated that one had been performed in 2018.

5 https://ec.europa.eu/food/sites/food/files/plant/docs/ph_biosec_trade-non-eu_prods-recom-reduced-ph- checks_2018.pdf

10 Conclusions on organisation of plant health import controls

37. The organisation of plant health controls in Germany is in line with EU requirements and it provides considerable assurance that import checks on consignments of regulated articles are carried out by trained and competent staff.

38. This is however undermined by the resources available for performing checks at the key points of entry and the use of locally issued guidelines that are not up-to-date.

5.2 COOPERATION AND COMMUNICATION WITH CUSTOMS SERVICE AND STAKEHOLDERS

Legal requirements Article 6 of Commission Directive 2004/103/EC.

Findings

5.2.1 Customs

39. The BMEL informed the audit team that, in light of the clear legal basis for the role of the Customs service in the control of imported regulated articles, a Memorandum of Understanding between the Federal Ministry of Finance and the BMEL was not necessary. The BMEL noted that this approach provides considerable flexibility for cooperation with the Customs service on issues relating to plant health; regular meetings take place at Federal level between the two Ministries, but the BMEL informed the audit team that most coordination and cooperation is focussed at Land and point of entry level.

40. The JKI informed the audit team that specific meetings take place as needed, for instance, there was a meeting in December 2017 to discuss the issues of postal consignments at Federal level, and in May 2018, the Customs service participated in the annual meeting between the LPPS and JKI.

41. The representatives from the Directorate-General for Customs, met by the audit team, stated that they follow developments or changes in all EU legislation of relevance to the Customs service, including plant health. These are notified to officers involved in performing control of regulated articles, through an amendment to the instructions or (individual) orders.

42. During their visits to the LPPS and points of entry, the audit team met with representatives of the Customs services and noted that there was very good cooperation at both national and local level between the plant health and Customs Service. This ensures that consignments of regulated commodities are kept under Customs supervision until all of the import formalities have been completed, in line with Article 13 (1) of Directive 2000/29/EC.

11 5.2.2 Stakeholders

43. The JKI informed the audit team that guidance on plant health import requirements and procedures is publicly available on the JKI, LPPS and Customs service websites including updates to legislation or the scope of import controls, and information on new and emerging threats from specific harmful organisms.

44. During their visits to the points of entry, and in particular the airport at Frankfurt it was noted that there was little information on EU plant health requirements available to departing or arriving passengers, prior to the Customs controls. The LPPS informed the audit team that such information is available on its website. Specific information on EU plant health requirements is provided following a seizure of plants or plant products from arriving passengers, or in postal consignments.

Conclusions on cooperation and communication with Customs Service and stakeholders

45. The good cooperation between the plant health and Customs services at Federal and local level, which is based on national legislation, ensures effective supervision and control of imported consignments, whether declared to Customs or not, in line with EU legislation.

46. Information on plant health is widely available to stakeholders however, this is not directly aimed at informing passengers, who are, according to the interception data, frequently found to be carrying plants and plant products that do not comply with EU legislation, or the national exemption for such material.

5.3 IMPORT PROCEDURES

Legal requirements

Articles 4, 13(1), 13(3), 13b(1) and (3), 13c(1)(c)(ii) and 16(2) of Directive 2000/29/EC. Directive 2004/103/EC.

Findings

5.3.1 Notification of import

47. The JKI informed the audit team that importers are required to register with the LPPS, in accordance with Article 13(n)(1)(1)(a) of the Plant Health Order. There is no national register of importers, however, the registration provides the importer with access to the federal database 'PGZ-Online'6, used throughout Germany, which is the only means of submitting notification of import of regulated consignments, and also forms the application for inspection. PGZ-Online is used to manage import and export inspections and to ensure the collection of fees. On completion of the checks, a certificate permitting customs clearance is issued in PGZ-Online.

6 See: https://www.pgz-online.de/pgz/jsf/importPf_hp.jsf

12 48. The notification of import requires comprehensive details of the consignment, including the TARIC code, botanical name(s), number of packages and the number of the accompanying phytosanitary certificate and the time of arrival and estimated time for inspection.

49. The notification is checked by the LPPS and is used to plan the inspections, including the size of samples that should be taken, and to manage the reduced frequency of checks regime, if applied by the LPPS. The status of each notified consignment is colour coded in the database, to indicate which checks have been completed, and whether the consignment may be customs cleared. The audit team noted that this ensures that consignments remain under plant health and Customs controls until the necessary checks have been completed. The BMEL stated that it is considered vital that the EU’s TRACES system, the use of which will become mandatory in late 2019, should provide for communication with PGZ-Online (and other Member States management systems), in order to ensure that the planning of inspections is not disrupted.

50. The port of Hamburg has established an additional notification system 'ephyto'7 for the notification of arrival of commodities on the two Risk Commodity Lists, detailed in section 5.1.5 above. The information required in ephyto notifications is similar to that required by PGZ-Online, and the audit team noted that the ephyto system ensures that a high-level of control of imported consignments is maintained.

51. Notification of import is provided in line with Article 13c(1)(c)(ii) of Directive 2000/29/EC.

5.3.2 Customs supervision

52. The Customs service disclosed that regulated articles are identified during the customs entry process based on the declared TARIC code and country of origin or export. Such material may only be Customs cleared after clearance from the LPPS. Postal and courier shipments declared, or found to contain regulated products (see section 5.3.5 below), are subject to the same import procedures and checks as for commercial shipments.

5.3.3 Implementation of Directive 2004/103/EC

53. The JKI informed the audit team that, in order to operate as an approved place of destination, an application must be submitted by the operator for registration, as detailed in section 5.3.1 above, together with a technical dossier setting out how the operator intends to meet the requirements of Directive 2004/103/EC. The pre-conditions for registration as a place of destination are established in Article 8a(2) of the Plant Health Order. The conditions are evaluated during a site visit by the LPPS responsible for the area in which the facility is situated. A checklist prepared by JKI is used for this purpose. If shortcomings are identified during the inspection, corrective actions are required and a follow-up visit is carried out, before the place is authorised.

7 www.ephyto.de

13 54. The JKI hosts a national database of places of destination. At the time of the audit there were 286 registered places of destination for plants and plant products and a further 738 for wood packaging material. The movement of regulated consignments to the customs office responsible for the intended destination or to an authorised consignee takes place in the external transit procedure in accordance with customs regulations.

55. Germany has established bilateral agreements for controls at places of destination with six other Member States: Austria, Netherlands, Belgium, Czech Republic, Denmark and Hungary. The JKI exchanges lists of registered places with these other Member States and publishes details on their website with restricted access provided to the LPPS in each country only.

56. In cases where the inspection is to be carried out at an approved place of inspection, a Plant Health Movement Document is issued to accompany the consignment. The audit team noted that it is in line with the template provided in the Annex to Directive 2004/103/EC. Customs clearance occurs after the plant health inspection is completed at the intended destination and clearance has been granted by the LPPS.

57. The LPPS in Hamburg informed the audit team that consignments are frequently moved to places of destination for inspection. In 2017, 4 518 consignments, comprising of 3 998 consignments with wood packaging material in use, and 520 consignments of regulated material, were moved to places of destination for inspection.

58. The approval of places of destination, and movements of plants from point of entry to such places, is done in line with Directive 2004/103/EC.

5.3.4Exemptions for small quantities

59. The JKI informed the audit team that they have established exemptions for the import of small quantities of regulated plants and plant products, in Article 10 of the Plant Health Order. The exemption applies only to imports in passenger baggage for personal use, and extends to 50 cut flowers and 3 Kg fruit per person, from European and Euro- Mediterranean third countries. 60. The Customs service and LPPS at Frankfurt Airport informed the audit team that they carry out regular controls of arriving passengers to confirm compliance with the import requirements, including the small quantity exemption. These controls may be targeted at passengers arriving from high-risk origins based on Europhyt interceptions and other information. The Customs service has the authority to stop and search passengers and in the event that any plants or plant products are found, then the LPPS checks and confirms whether or not the material may be imported, or should be seized.

61. The audit team observed checks of arriving passengers being carried out at Frankfurt airport and noted that the Customs officers and LPPS inspectors had a good knowledge of relevant EU import requirements for plant health and the small quantity exemptions. However, both the Customs service and the LPPS noted that the identification of plant products, and the determination of whether it is regulated or not, is problematic, and

14 joint controls are therefore more efficient and result in fewer delays in the Customs channels.

62. The exemption for small quantities has been established in line with Article 13b(3) of Directive 2000/29/EC.

5.3.5Postal and courier imports

63. The Customs service informed the audit team that in line with EU Customs legislation, the import of any goods by post with a value of more than €22 for purchased (ordered) material, or €45 for gifts, must be declared to the Customs service. The JKI informed the audit team that postal and courier imports of regulated articles are not exempted from plant health import requirements or checks, and must be declared to Customs, regardless of value. Any packages declared to contain such material, or suspected to contain such material are detained by the Customs service for checks by the LPPS.

64. The JKI informed the audit team that commercial couriers must register as importers, in line with Article 13 of the Plant Health Order, and declare all shipments of regulated plants and plant products using PGZ-Online, as detailed in section 5.3.1 above. The JKI informed the audit team that this procedure is applied because of the large number of the consignments that are imported by individuals who themselves are not subject to registration. The audit team met with one commercial courier, and observed notifications of import and import checks being carried out. The courier informed the audit team that the contents of each parcel must be declared and verified before the parcel is accepted. These declarations form a manifest for each shipment and the basis for the declaration to Customs, and, if appropriate, the notification of import to the LPPS. If phytosanitary certificates accompany the parcels, these must be attached to the outside of the parcel in a document sleeve.

65. The courier and LPPS informed the audit team that the declaration of the contents of the parcels was accurate in the majority of cases, and that phytosanitary certificates normally accompanied any regulated material.

66. The main points of entry for postal imports are Leipzig and Frankfurt. The audit team visited the International Postal Centre in Frankfurt and met with representatives of the postal and Customs services and the LPPS. Postal imports containing regulated material may be identified from the declaration attached to each parcel. However the Customs service stated that in approximately 90 – 95% of cases, this did not accurately identify the contents. For example, 'gift' is the most commonly used description. The postal and Customs service provided details of additional measures which they use to identify parcels containing plants or plant products, which are then held for checks by the Customs service and LPPS.

67. At Frankfurt, the import checks of detained parcels are carried out one to two times weekly. According to the LPPS, on average, 50 to 80 parcels are inspected during each visit and approximately 50 – 60% of these are non-compliant, resulting in seizure of the

15 parcels. The main non-compliance is the absence of a phytosanitary certificate. As noted in section 4.2 above, the JKI anticipated that based on that level of non-compliance, there will be in excess of 7 000 interceptions involving postal consignments annually.

68. Postal consignments are not subject to the small quantity exemption; the checks carried out by the plant health service are in line with Article 13(1) of Directive 2000/29/EC.

5.3.6Checks of non-regulated articles

69. The JKI informed the audit team that checks of non-regulated articles are not systematically checked. However, those articles included on the Risky Commodity lists, or assessed by the LPPS as presenting a risk to plant health, are subject to checks. The LPPS in Hesse informed the audit team that it carries out a monthly assessment of interceptions notified in Europhyt, and inspects non-regulated articles that have been intercepted. These are sampled in-line with the Compendium. The LPPS informed the audit team that 222 consignments of non-regulated articles were inspected in 2017. The LPPS at Frankfurt Airport informed the audit team stated that import trade is very stable and that cases of new import trade or new countries of origin are rare.

70. The mandatory notification of import of commodities listed in the two Risky Commodity Lists detailed in section 5.1.5 above, enables checks of any listed non- regulated articles to be carried out, on a case-by-case basis.

5.3.7Checks for prohibited and non-declared items

71. The JKI stated that all documentary, identity and plant health checks include a check for any prohibited or non-declared regulated articles.

Conclusions on import procedures

72. The procedures in place for the import of regulated plants and plant products ensure that they are subject to supervision and import checks as required by EU legislation.

73. The targeted checks of postal consignments and passenger baggage have been very effective and resulted in the detection of a high-level of non-compliance with EU import requirements.

5.4 IMPORT INSPECTIONS

Legal requirements Articles 13(1)(i) and (ii), 13a(1)(a) and (b)(i),(ii) and (iii), 13a(3), 13a(4),(b),(c) and (d) and 13c(2)(b) of Directive 2000/29/EC Directive 98/22/EC Directive 2004/103/EC

Findings

16 5.4.1Facilities at places where checks are carried out

74. The points of entry for plants and plant products have been designated in Ministerial Order BAnz AT 17.11.2016 B2 of 17 November 2016.

75. The audit team visited two points of entry - Frankfurt airport and Hamburg port, and an inspection post near Cologne-Bonn airport and noted that inspectors had access to inspection facilities that met the appropriate minimum conditions specified in the Annex to Commission Directive 98/22/EC, in line with Article 1 of that Directive. The inspectors had access to the whole consignment for sampling and inspection at all three places.

76. However, the LPPS at Frankfurt Airport informed the audit team that the facilities at the inspection post were used only for 'ISPM 31 inspections' (see section 5.4.4 below); the majority of inspections were carried out in the perishable centre, where there were less suitable conditions, in particular lighting, for performing plant health checks. In Hamburg, a mobile inspection table with wheels was used, which was equipped with dedicated battery-powered lighting. Additional battery-powered floodlights for the purposes of inspections under poor lighting conditions (e.g. for illuminating containers), or in cases of insufficient artificial lighting, are also used.

77. The JKI informed the audit team that inspections of wood packing material are usually carried out at approved places of destination. The audit team visited two such places. At both facilities the consignments were unloaded on arrival, into marked bays and kept separate to goods that had been customs cleared. The inspectors had sufficient access to the consignments and carried the necessary equipment for performing checks, including moisture meters, and drills for taking samples for analysis by the laboratory in their car.

78. The audit team also visited two approved places of destination for cut flowers and plants for planting. The audit team noted that the conditions for carrying out plant health checks at these places were in line with those required by Directive 2004/103/EC.

5.4.2Documentary checks

79. The JKI informed the audit team that a preliminary documentary check may be carried out in cases where the phytosanitary certificate is submitted in PGZ-Online, in advance of the arrival of the consignment. However, the original documents must be presented and cross-checked against those provided with the advanced notification before the identity and plant health checks are carried out.

80. The audit team checked the records and observed documentary checks being carried out by LPPS inspectors at Frankfurt and Cologne-Bonn airports and Hamburg seaport and noted that:  The inspectors had a good knowledge of the documentary requirements and were familiar with the additional declaration requirements of the consignments;  The checks were sufficient to ensure that the phytosanitary certificates complied

17 with the provisions of Article 13a(3) and (4) of Directive 2000/29/EC, which is in line with Article 13(1)(ii) of the same Directive;  Following completion of the documentary checks, the original phytosanitary certificates and the accompanying documents were retained by the LPPS and securely stored. The certificates were not however marked with a ‘visa’ of the responsible official body, together with its denomination and the date of presentation of the document as required by Article 13c(3) of Directive 2000/29/EC;  In the event of a non-compliance, the phytosanitary certificates had been cancelled and endorsed with a red triangle stamp in line with points (a), (b) and (c) of Article 13c(7) of Directive 2000/29/EC.

5.4.3Identity checks

81. The JKI informed the audit team that all consignments of regulated articles are subject to an identity check. The identity check is based on a visual examination of a consignment for consistency of the contents and labels with the descriptions given in the official certificates, official attestations and other documents accompanying the consignment.

82. Identity checks are carried out in line with Article 13a(1)(b)(ii) of Directive 2000/29/EC.

5.4.4Plant health checks of plants and plant products

83. The audit team observed plant health checks of plant products at Frankfurt airport and Hamburg port, and checks of plants for planting (seedlings) and cut flowers at places of destination, with the objective of evaluating whether the samples inspected were representative of the lot and whether the check itself could be considered to be meticulous, as required by Articles 13a(1)(a) and 13(1)(b)(iii) of Directive 2000/29/EC. In determining whether the samples were representative, the audit team considered both access to the consignment and the size of the sample taken for visual inspection. In assessing whether the checks were meticulous, the audit team considered a range of factors, including the facilities for inspection, access to and awareness of work instructions and the competence of staff performing the checks.

84. The Compendium provides guidance on sampling of consignments for plant health checks as follows:  10% of boxes in the consignment should be opened for a preliminary visual check.  If no problems are identified, then a sample should be taken, based on table 1 of ISPM No 31 and the following probabilities of detection and level of infection, for a detailed check: o Plants and plant products: . probability of detection between 85 – 95%,

18 . 5% level of infection, . Unit = stem or fruit; o Plants for planting, . probability of detection of 99%, . 1% level of infection, . Unit = cutting or plant.

85. The JKI stated that for fruits of Citrus spp., a sample of 200 fruit must be taken from each lot, up to 30 tonnes, in line with Commission Implementing Decision 2016/715/EU. 86. The LPPS in North Rhine Westphalia and Hamburg informed the audit team that samples are taken based on the above guidance. 87. The LPPS at Frankfurt Airport informed the audit team that high-risk consignments, which are those that are subject to EU emergency measures or have been the subject of interceptions of harmful organisms, are moved to the inspection facility and sampled at the above inspection rates. The LPPS stated that this an exceptional procedure, and informed the audit team that the last time that such a check had been carried out was four weeks prior to the audit. All other plants and plant products are sampled at the following rates:  Fruit and vegetables: 5% of boxes;  Cut flowers: 4 to 5% of boxes;  Plants: 10% of boxes.

88. The audit team noted that, with respect to the implementation of the checks:  The inspectors performing the checks had a very good knowledge of the harmful organisms of concern for the commodities that they were checking;  The inspectors had access to the whole consignment and samples for inspection were taken at random from the consignment.

89. Taking account of the guidelines for sampling in ISPM 31, samples taken in line with the guidance of the Compendium, are representative of the consignment and provide an appropriate probability of detecting harmful organisms that may be present, in line with Article 13a(1)(b)(iii) of Directive 2000/29/EC and taking account of the evidence in the previous paragraphs, the plant health checks observed by the audit team were meticulous, in line with Article 13a(1)(a) of Directive 2000/29/EC.

90. However, the samples applied in the majority of cases at Frankfurt Airport are significantly smaller than those suggested in ISPM 31 to achieve the level of reliability set out in the Compendium, and necessary to reasonably conclude that the plants and

19 plant products are not contaminated with harmful organisms, as required by Article 13(1)(i) of Directive 2000/29/EC.

91. The LPPS in Hamburg informed the audit team that, at peak times, it was not possible to check all consignments of regulated material. The main peaks occur in June each year, when high-volumes of fruit are imported. The LPPS stated that high-risk articles, including plants for planting and potatoes are checked at 100%; the remaining articles are checked at the highest level possible. The LPPS provided the data in Table 3 below, regarding the number of declared and checked consignments in June 2017.

Table 3: Phytosanitary import inspections in Hamburg, June 2017

Regulated No of No subject to Details commodity declared plant health  Botanical name consignment checks  No of consignments s  Total no (no inspected) Fruit and vegetables 328 163 Citrus spp 43 (38) Malus spp. 207 (86)  Argentina 1 (1)  Chile 104 (44)  New Zealand 78 (29)  South Africa 24 (12) Mangifera spp.: 18 (14) Passiflora spp.: 2 (2) Pyrus spp.: 57 (22)  Argentina 1 (1)  Chile 16 (8)  South Africa 40 (13) Solanum melongena: 1 (1) Leafy vegetables 20 12 Ocimum spp.: 20 (12) Sawn wood and logs 71 32 Acer saccharum, Canada: 2 (1) Fraxinus spp., USA: 2 (1) Larix spp., Russian Federation: 45 (13) Pinus spp., (USA, Honduras): 4 (3) Pseudotsuga, USA: 1 (1) Quercus, USA: 11 (8) Thuja, Canada: 3 (2) Tsuga, Canada: 3 (2) Bark from Pinus sp., Indonesia: 1 (1) Potatoes (Israel) 63 63 Seeds for planting 19 19 Living plants 2 2 Total 503 291

92. The data in Table 3 confirms that all high-risk articles were checked, but indicates also that the majority of consignments of regulated fruit and vegetables, leafy vegetables and sawn wood and logs were not subject to checks. A reduced frequency of checks is not in line with Article 13(1) of Directive 2000/29/EC, except where one has been established in line with Regulation EC/1756/2004.

20 Conclusions on import inspections

93. The import checks in Germany are carried out meticulously, in line with either national or local guidelines. The effectiveness of the plant health checks carried out at the two main points of entry for plants and plant products is compromised though, by the size of the samples taken for 'non-ISPM 31' checks at Frankfurt Airport, which significantly reduce the probability of detecting any harmful organisms that are present, and the reduced checks of regulated commodities at peak times, at Hamburg port, which is not in line with EU legislation.

94. Phytosanitary certificates are not systematically endorsed with a 'visa' of the responsible official body, following completion of the checks as required by EU legislation. However the risks arising from this are mitigated by the secure storage of the original documents, which effectively prevents their misuse.

5.5 WOOD PACKAGING MATERIAL

Legal requirements Article 13(3) and Annex IV, Part A, Section I, point 2 of Council Directive 2000/29/EC. Commission Implementing Decision 2013/92/EU. Findings

95. Importers of commodities included in the Risk Commodity List and Decision 2013/92/EU are obliged to notify the LPPS of their arrival. Such consignments may only be cleared by Customs after clearance is given by the relevant LPPS.

96. The LPPS determines which consignments are to be checked on a case-by-case basis, depending on the percentage of checks already carried out for each type of commodity and resources available to perform checks. The majority of checks of wood packaging material are carried out at places of destination, either at the time of unloading, or shortly after. The JKI informed the audit team that, at the time of the audit, there were 738 registered places of inspection for wood packaging material listed in Decision 2013/927/EU.

97. The JKI informed the audit team that, in 2017, approximately 43% of consignments of commodities listed in Decision 2013/92/EC were inspected, compared to the minimum of 15% established by that Decision.

98. The audit team observed checks of wood packaging material being carried out at places of destination and noted that inspectors had access to the whole consignment, and were able to systematically check the wood packaging material for the presence of an ISPM 15 mark and harmful organisms. In the event that non-compliant wood packaging material is found, the consignment is held and the wood packaging material must be replaced before customs clearance is permitted. The non-compliant wood packaging

21 material is required to be destroyed by incineration. The JKI confirmed that action is taken in the event that non-regulated nematodes or insects, for example Sinoxylon spp., are identified during the controls, as their presence is considered to indicate that the treatment specified in ISPM 15 has not been carried out appropriately, if at all.

99. The State Forestry Service is responsible for performing checks of wood packaging material and wood in North Rhine Westphalia. It also carries out surveillance and other controls for forestry pests on the territory of the Land. The Service informed the audit team that it had developed the ‘Thousand Eye Project’, which provides that wood packaging material that is not subject to mandatory checks by EU legislation (i.e. that listed in Decision 2013/92/EU), may be checked, at least in part, by authorised persons at approved places of destination. The persons involved are authorised to perform checks following completion of a training course and assessment by the Service. The LPPS informed the audit team that the project had been very successful in increasing awareness of risks associated with imported wood packaging material and the level of checks of such material that could be carried out. Authorised importers are subject to a lower level of official checks, which reduces the level of fees that they would be subjected to, for the performance of official checks.

100. The inspectors performing checks of wood packaging material and the importers met by the audit team, stated that there had been a considerable improvement in the quality of wood packaging material used, and in many cases, this had been replaced, at least partially, by metal, plastic or plywood, as a result of the controls.

Conclusions on checks of wood packaging material 101. Systematic checks of wood packaging material are carried out, which ensures that such potentially high-risk material introduced into Germany complies with EU requirements and is free from harmful organisms.

102. The scope of checks on wood packaging material extends beyond that associated with regulated commodities, which provides a good overview of the risks presented by such material.

5.6 ACTION TAKEN IN CASE OF NON-COMPLIANCE

Legal requirements Articles 13c(7) and 16(2) of Directive 2000/29/EC Point 1(e) and indent 7 of Point 1 of the Annex to Directive 98/22/EC Articles 2 and 5 of Directive 94/3/EC

Findings

103. The LPPS informed the audit team that in the event of a non-compliance, or finding of a harmful organism, the consignment will be held pending confirmation by the relevant

22 LPPS laboratory. In the case of non-compliant phytosanitary certificates, the opportunity is usually provided, if requested by the importer, to obtain a correct certificate from the exporting country. If the presence of a harmful organism is confirmed or if a correct certificate is not received, then the consignment is either destroyed or refused entry to the EU in line with Article 13c(7) of Directive 2000/29/EC. The destruction must be carried out under official supervision.

104. The LPPS at Frankfurt Airport informed the audit team that in the event that prohibited or non-declared regulated plants and plant products are found in passenger baggage, an on-the-spot fixed penalty fine of €20 to €55 is applied, which may be waived depending on the cooperation shown by the passenger. The LPPS stated that the fines are intended to act as a deterrent and to raise awareness of EU plant health requirements.

105. The JKI is responsible for notifying the Commission and other Member States of any interceptions and the action taken. The audit team noted that the notification procedures laid down in Directive 94/3/EC are complied with.

Conclusions on action taken in case of non-compliance

106. The action taken following a finding of non-compliance or the presence of a harmful organism, effectively addresses any plant health risk, and in the case of passenger baggage, acts as a deterrent to repeated non-compliance.

6 OVERALL CONCLUSIONS

Germany has established a comprehensive system of import controls for plant health, including for wood and wood packaging material, which is overall in line with EU requirements and ensures that high-risk material is identified and subjected to checks.

There are many examples of good practice in the system of import controls including the systematic identification of high risk plants, plant products and other objects, and the close and effective cooperation with Customs, which ensures that all regulated and high-risk non- regulated plants, plant products and wood packaging material remain under customs control until completion of the plant health checks, or approval by the plant health services for their clearance. The regular controls of post and arriving passengers prevent entry to the EU of a large number of non-compliant consignments of plants, plant products and other objects.

23 7 CLOSING MEETING

A closing meeting with representatives of the competent authorities was held on 1 June 2018 at the BMEL in Bonn. The audit team presented the main findings and preliminary conclusions of the audit. The authorities provided corrections and comments on the information provided by the audit team.

24 8 RECOMMENDATIONS

No. Recommendation

1. Ensure that meticulous plant health checks can be, and are, carried out on a representative sample of each consignment of regulated plants and plant products, so as to ensure that plants, plant products and other objects are not contaminated by harmful organisms, as required by Article 13(1)(i) of Directive 2000/29/EC. The recommendation is based on conclusion No. 93. Associated finding Nos. 90 to 92.

2. Ensure that the inspection guidelines available to the responsible official bodies are up-to-date, in line with Article 1 and Item 1(a) of the Annex to Directive 98/22/EC. The recommendation is based on conclusions No. 38. Associated finding Nos. 26 and 28. 3. Ensure that, following completion of the import checks, phytosanitary certificates are endorsed with a 'visa', together with its denomination and the date of presentation of the document, as required by Article 13c(3) of Directive 2000/29/EC. The recommendation is based on conclusion No. 94. Associated finding No. 80.

The competent authority's response to the recommendations can be found at:

http://ec.europa.eu/food/audits-analysis/rep_details_en.cfm?rep_inspection_ref=2018-6478

25 ANNEX 1 – LEGAL REFERENCES

Legal Reference Official Journal Title Dir. 2000/29/EC OJ L 169, 10.7.2000, Council Directive 2000/29/EC of 8 May p. 1-112 2000 on protective measures against the introduction into the Community of organisms harmful to plants or plant products and against their spread within the Community

Dir. 2004/103/EC OJ L 313, Commission Directive 2004/103/EC of 7 12.10.2004, p. 16-20 October 2004 on identity and plant health checks of plants, plant products or other objects, listed in Part B of Annex V to Council Directive 2000/29/EC, which may be carried out at a place other than the point of entry into the Community or at a place close by and specifying the conditions related to these checks

Dir. 98/22/EC OJ L 126, 28.4.1998, Commission Directive 98/22/EC of 15 April p. 26-28 1998 laying down the minimum conditions for carrying out plant health checks in the Community, at inspection posts other than those at the place of destination, of plants, plant products or other objects coming from third countries

Dir. 94/3/EC OJ L 32, 5.2.1994, p. Commission Directive 94/3/EC of 21 January 37-40 1994 establishing a procedure for the notification of interception of a consignment or a harmful organism from third countries and presenting an imminent phytosanitary danger

Dec. 2013/92/EU OJ L 47, 20.2.2013, 2013/92/EU: Commission Implementing p. 74-77 Decision of 18 February 2013 on the supervision, plant health checks and measures to be taken on wood packaging material actually in use in the transport of specified commodities originating in China

Dec. 2011/787/EU OJ L 319, 2.12.2011, 2011/787/EU: Commission Implementing p. 112-115 Decision of 29 November 2011 authorising Member States temporarily to take emergency measures against the dissemination of Ralstonia solanacearum (Smith) Yabuuchi et al. as regards Egypt Reg. 952/2013 OJ L 269, Regulation (EU) No 952/2013 of the 10.10.2013, p. 1–101 European Parliament and of the Council of 9 October 2013 laying down the Union Customs Code ANNEX 2: STANDARDS QUOTED IN THE REPORT

International Title Standard

ISPM No. 15 International Standard on Phytosanitary Measures Publication No 15, Regulation of wood packaging material in international trade, Food and Agriculture Organisation, Rome, Adopted 2013; published 2016 https://www.ippc.int/en/publications/640/

ISPM No. 31 International Standard on Phytosanitary Measures Publication No 31, Methodologies for sampling of consignments, Food and Agriculture Organisation, Rome, Adopted 2008; published 2016 https://www.ippc.int/en/publications/588/