Operationalizing Export Certification and Regionalization Programmes NPPO Operations Module 4 Operationalizing Export Certification and Regionalization Programmes

Module 4 What will I learn? The obligations of the NPPO regarding the core activities of export certification and regionalization programmes, including: Legal authority Administrative and operational responsibilities Resources and infrastructure Document and record-keeping Communication Establishment of PFAs and ALPPs

Export Certification IPPC Article V.1 states each contracting party shall make arrangements for phytosanitary certification, with the objective of ensuring that exported plants, plant products and other regulated articles and consignments thereof are in conformity with the certifying statement in the model phytosanitary certificate of the IPPC.

Export Certification Certifying Statement (ISPM 12, 2015): This is to certify that the plants, plant products or other regulated articles described herein have been inspected and/or tested according to appropriate official procedures and are considered to be free from the quarantine pests specified by the importing contracting party and to conform with the current phytosanitary requirements of the importing contracting party, including those for regulated non- quarantine pests.

Export Certification The system includes several components Legal authority Administrative and operational responsibilities Information on phytosanitary import requirements Resources and infrastructure Documentation and record keeping Communication Review

Export Certification Legal authority Phytosanitary legislation clearly provide this authority. No other authority is responsible for export certification. Responsibilities are as indicated in Article IV .2 (a) of the IPPC.

Export Certification Administrative and operational responsibilities Non-governmental personnel may be authorized by the NPPO to perform specified certification functions, with the exception of issuing phytosanitary certificates. Such personnel should be qualified and skilled.

Export Certification Administrative and operational responsibilities Identify and register users (producers, exporters and re- exporters). Establish a close working relationship with users. Put into place a management system that ensures that all legislative and administrative requirements for phytosanitary certification are satisfied.

Export Certification Requirements for a certification system A person or office is responsible for the system. Duties and communication channels of all personnel involved are clear. Sufficient personnel with appropriate qualifications, skills and resources are available. Adequate and sustained training is provided.

Export Certification Actions required for a certification system Identify, approve and establish legally binding relationships with third party service providers. Make customs and handlers aware of their roles in maintaining the phytosanitary integrity and security of consignments in the exporting country.

Export Certification Information on phytosanitary import requirements Check phytosanitary import requirements on export documentation to verify that they are valid and current. All personnel involved in certification should have adequate technical information on regulated pests in the importing countries. Control over the certification process and who issues certificates.

Export Certification Information on phytosanitary import requirements Documented procedures are in place for phytosanitary certification. Adequate equipment, materials and facilities are available to carry out sampling, inspection, testing, treatment and other phytosanitary certification procedures.

Export Certification Documentation A system for recording the relevant procedures and maintaining records to: Trace phytosanitary certificates and the related consignments and their parts Verify compliance with the phytosanitary import requirements

Export Certification Documentation Procedures and guidelines are needed for specific activities including: Inspection, sampling, testing, treatment and verification of the identity and integrity of consignments Maintaining security over official seals and marks Ensuring trace-back of consignments, including their identification and phytosanitary security (as appropriate) through all stages of production, handling and transport prior to export

Export Certification Documentation Procedures and guidelines are needed for specific activities including: Investigating notifications of non-compliance Investigating invalid or fraudulent phytosanitary certificates

Export Certification Record-keeping For each consignment requiring phytosanitary certificates: Inspection, testing, treatment and verification are carried out. Samples are taken. Names of the personnel who undertook these tasks are recorded. The date of the inspection is recorded.

Export Certification Record-keeping All results are recorded. Information is recorded in non-compliant consignments for which phytosanitary certificates were not issued. Copies of phytosanitary certificates are kept for validation and trace-back for at least one year.

Export Certification Communication Pest status, import requirements of importing countries and operational procedures are communicated to all relevant stakeholders. When necessary, official communication will take place between contact points or alternative designated contacts. The NPPO of the importing country is informed as soon as possible of a consignment that may not have complied with phytosanitary requirements.

Exercise 4.1 Does your NPPO have the necessary, legal, administrative, operational and technical elements in place for an effective export certification system? Identify the areas in your export certification system where improvements can be made.

Regionalization The status of regulated pests in an area can be changed through the combined result of a number of measures, creating opportunities for a country to negotiate market access.

Regionalization Regionalization measures include: Establishment, maintenance and surveillance of pest free areas (PFAs), pest free production sites (PFPS) and pest free places of production (PFPP) Pest eradication Establishment of areas of low pest prevalence (ALPP)

Regionalization: Important considerations Financial feasibility Undertake a cost-benefit analysis to assess the cost of systems and activities: Establishing pest freedom Maintaining pest freedom Managing the maintenance of product identity and phytosanitary security of the consignment

Regionalization: Important considerations Technical feasibility Type of pest to be regulated Type of crops Cropping pattern, host plants and the spread of pests in the targeted area Possible physical and other barriers that may affect the establishment of pest free status

Regionalization: Important considerations Technical feasibility Measures to establish and maintain pest freedom Legal and administrative requirements for establishing and maintaining pest freedom Availability of inputs to carry out the PFA programme and reliability of supply

Regionalization: Important considerations Environmental impact assessment Determines the potential environmental effects of a PFA or an ALPP with regard to: The physical environment Natural enemies and other species Removal of host species and their impact

Regionalization: Establishing a PFA or ALPP To establish a PFA or ALPP, the NPPO: Identifies the crops to be protected Determines the pest(s) to be regulated Determines the area to be regulated Identifies the stakeholders that will be affected by regulating the pest(s)

Regionalization: Establishing a PFA or ALPP To establish a PFA or ALPP, the NPPO: Determines a sustainable funding mechanism Determines the technical requirements of the programme Procures the necessary equipment and supplies Considers the logistics of the operation

Regionalization: Establishing a PFA or ALPP To establish a PFA or ALPP, the NPPO: Establishes an implementation plan Ensures necessary legislation is in place to support all regulatory aspects of the programme Provides a robust documentation system to support the declaration and recognition of the PFA or ALPP once established

Regionalization: Establishing a PFA or ALPP On establishment of the programme, the NPPO: Designates a point of contact for the recognition process Requests recognition by the importing country of the PFA or ALPP Provides appropriate information to the importing country in support of the programme Provides additional information if necessary for recognition Helps organize on-site verification visits, if requested by the importing country.

Regionalization: Establishing a PFA or ALPP Maintenance Establish a programme to maintain or suppress pest freedom. Develop a protocol to respond rapidly and decisively to any re-introduction. Record keeping All actions undertaken in support of a PFA, PFPP, PFPS or ALPP programme should be well documented for review and audit purposes.

Regionalization: Establishing a PFA or ALPP Review and audit Have a system in place for performing internal audits or performance reviews of the programme.

Exercise 4.2 What crops and pests are likely candidates for a PFA/PFPP/PFPS/ALPP programme in your country? Describe the steps you would take to establish such a programme.