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WTO ANALYTICAL INDEX: SANITARY AND PHYTOSANITARY MEASURES

Agreement on Sanitary and Phytosanitary Measures

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The texts reproduced here do not have the legal standing of the original documents which are entrusted and kept at the WTO Secretariat in Geneva.

> Preamble
> Article 1
> Article 2
> Article 3
> Article 4
> Article 5
> Article 6
> Article 7
> Article 8
> Article 9
> Article 10
> Article 11
> Article 12
> Article 13
> Relationship with other WTO Agreements
> Annex A
> Annex B
> Annex C

  

> Analytical Index main page


Table of contents     back to top

I. Preamble     back to top

A. Text of the Preamble
B. Interpretation and Application of the Preamble

1. “international standards, guidelines and recommendations”

2. The precautionary principle

(a) Status in international law

(b) Relationship with the SPS Agreement

 
II. Article 1     back to top

A. Text of Article 1
B. Interpretation and Application of Article 1

1. Article 1.1

(a) Scope of the SPS Agreement

(i) General

(ii) Applicable to all SPS measures in force

(b) Article 1.2: Reference to Annex A

 
III. Article 2     back to top

A. Text of Article 2
B. Interpretation and Application of Article 2

1. Article 2.2

(a) “maintained without sufficient scientific evidence”

(i) General

(ii) “Sufficient”

(iii) “Scientific evidence”

(iv) A rational and objective relationship

(v) Case-by-case methodology

(vi) Measure to be proportionate to risk

(b) Burden of proof

(i) Presumption of “no relevant studies or report”

(ii) Allocation of burden of proof

(iii) Establishing prima facie case of inconsistency

(c) Standard of review

(i) Panel to take into account the prudence commonly exercised by governments

(ii) Panel not to conduct own risk assessment

(iii) Panel to assess relevant allegations of fact

(iv) Panel to take into account views of experts while evaluating scientific evidence

(v) Panel not obliged to give precedence to importing Member’s approach to scientific evidence and risk

(d) Relationship with other Articles

(i) Article 1.1

(ii) Article 4

(iii) Article 5

2. Article 2.3

(a) Elements of violation

(b) Scope of discrimination

(c) Relationship with other Articles

(i) Article 1.1

(ii) Article 5.5

3. Relationship with other Articles

(a) Articles 3 and 5

(b) Articles 5, 6, 7 and 8

 
IV. Article 3     back to top

A. Text of Article 3
B. Interpretation and Application of Article 3

1. General

(a) Object and purpose

2. Article 3.1

(a) “base[d] … on”

(b) “international standards, guidelines or recommendations where they exist”

(i) Panel’s mandate

(ii) Relevance of international standards for individual diseases

(iii) Validity of OIE standards, guidelines and recommendations

(c) Burden of proof

(i) Exemptions from establishing prima facie inconsistency

(d) Relationship with other paragraphs of Article 3

(i) Paragraphs 1, 2 and 3

3. Article 3.2

(a) “… conform to …”

(i) Distinction from “based on”

(ii) Distinction as used in different parts of SPS Agreement

(b) Burden of proof

(i) Presumption of consistency

(c) Relationship with other paragraphs of Article 3

(d) Relationship with other Articles

4. Article 3.3

(a) General

(b) “based on”

(c) Clarification of conditions

(d) “scientific justification”

(i) Rational relationship

(e) Relationship with other paragraphs of Article 3

(f) Relationship with other Articles

(i) Article 1.1

(ii) Article 5.1

5. Article 3.5

6. Relationship with other Articles

 
V. Article 4     back to top

A. Text of Article 4
B. Interpretation and Application of Article 4

(a) Decision on equivalence

(i) General

(ii) Concept of equivalence

(iii) Explanation of SPS measures taken by importing Member

(iv) Procedure for the recognition of equivalence

(v) Technical assistance

(vi) International cooperation outside the WTO

(vii) Notification

(b) Specific programme for the further implementation of Article 4

 
VI. Article 5     back to top

A. Text of Article 5
B. Interpretation and Application of Article 5

1. Article 5.1

(a) Standard of review

(b) “based on” an assessment of the risks

(i) Taking into account risk assessment techniques

(ii) Rational relationship between the SPS measure and the risk assessment

(iii) Determination of relationship on “a case-by-case” basis

(c) “risk assessment”

(i) General

(ii) Concept of risk assessment versus risk management

(iii) Three aspects of risk assessment

(iv) Completing the analysis of a risk assessment

(v) Scope of the risk assessment

(vi) Studies not sufficiently specific to the case at hand

(vii) Who should carry out the risk assessment?

(viii) Format of the risk assessment

(ix) Relevance of the timing of publication of risk assessment

(x) Identifying the SPS measure

(xi) Evaluation of risk in a risk assessment (“Zero risk”)

(xii) No threshold level of risk required

(d) “as appropriate to the circumstances”

(i) Flexibility

(ii) Does not waive duty of risk assessment

(e) Taking into account risk assessment techniques

(i) Mention of scientific studies in preambular sections of the domestic directives

(f) Relationship with other paragraphs of Article 5

(i) Article 5.2

(ii) Article 5.5

(g) Relationship with other Articles

(i) Article 1.1

2. Article 5.2

(a) Risk factors to be taken into account

(i) Risk ascertainable by scientific and non scientific processes

(ii) Risks arising from control of compliance with certain requirements

(iii) Risks arising from abuse of controlled substances not to be excluded on an a priori basis

(b) Relationship with other Articles

(i) Articles 2.2 and 5.1

3. Article 5.3

4. Article 5.4

(a) General

(b) Relationship with other paragraphs of Article 5

5. Article 5.5

(a) Standard of review

(b) Cumulative elements of Article 5.5

(c) “appropriate level of protection”

(i) Legal status of the first part of Article 5.5

(ii) “distinctions in the levels of protection in different situations”

(iii) “Arbitrary or unjustifiable” distinctions in levels of protection

(iv) Distinctions which “result in discrimination or a disguised restriction on international trade”

(d) “guidelines to further practical implementation …”

(e) Relationship with other paragraphs of Article 5

(f) Relationship with other Articles

(i) Article 1.1

6. Article 5.6

(a) Cumulative elements

(b) “achieves the appropriate level of … protection”

(i) Determining “appropriate level of … protection” as a “prerogative” of the Member concerned

(ii) Implied or explicit level of protection

(c) “significantly less restrictive to trade”

(d) “taking into account technical and economic feasibility”

(ii) “Reasonably available”

(iii) Burden of proof

(iv) Relationship with other Articles

7. Article 5.7

(a) General

(i) Four cumulative requirements

(b) “where relevant scientific evidence is insufficient”

(i) Meaning

(c) “seek to obtain additional information”

(d) “review … within a reasonable period of time”

(e) Burden of proof

(f) Treatment of the precautionary principle

(g) Relationship with other Articles

(i) Article 2.2

8. Article 5.8

(a) General

(b) Relationship with other Articles

(i) Article 2.2

(c) Article 3

 
VII. Article 6     back to top

A. Text of Article 6
B. Interpretation and Application of Article 6

 
VIII. Article 7     back to top

A. Text of Article 7
B. Interpretation and Application of Article 7

1. General

2. Notification requirements

(a) Recommended notification procedures

(b) “significant effect on trade of other Members”

3. Reference to Annex B

 
IX. Article 8     back to top

A. Text of Article 8
B. Interpretation and Application of Article 8

 
X. Article 9     back to top

A. Text of Article 9
B. Interpretation and Application of Article 9

 
XI. Article 10     back to top

A. Text of Article 10
B. Interpretation and Application of Article 10

1. General

2. Article 10.2: “phased introduction of new sanitary and phytosanitary measures”

(a) “longer time frame for compliance”

(b) Impossibility of phased introduction of SPS measures

 
XII. Article 11     back to top

A. Text of Article 11
B. Interpretation and Application of Article 11

1. General

2. Article 11.2

(a) Appointment of scientific experts advising the panel

(i) Individual experts

(ii) Expert appointment procedures

(iii) Procedures for obtaining advice from scientific experts

(iv) Role of scientific experts

(b) Standard of review

 
XIII. Article 12     back to top

A. Text of Article 12
B. Interpretation and Application of Article 12

1. General

2. Article 12.3

(a) International Intergovernmental Organizations having observer status on a regular basis

(b) International Intergovernmental Organizations having observer status on an ad hoc basis

(c) International Intergovernmental Organizations whose request is pending

3. Article 12.4

4. Article 12.7

 
XIV. Article 13     back to top

A. Text of Article 13
B. Interpretation and Application of Article 13

1. Scope of the SPS Agreement

(a) Measures of a provincial government

 
XV. Relationship with other WTO Agreements     back to top

A. WTO Agreement

1. Article XVI:4

B. TBT Agreement

1. Article 1.5

C. GATT 1994

1. Order of analysis

2. Article III and Article XI

3. Article XX(b)

 
XVI. Annex A     back to top

A. Text of Annex A
B. Interpretation and Application of Annex A

1. Relationship between paragraph 1(a) and 1(b) of Annex A

2. Paragraph 4: “risk assessment”

(a) General

(b) First part of paragraph 4: First definition of risk assessment

(i) Types of risks

(ii) Elements of a “risk assessment”

(iii) Identifying risk on a disease-specific basis

(iv) “likelihood”

(v) “according to … which might be applied”

(vi) “Evaluation of likelihood of entry, establishment or spread of a pest or disease …”

(c) Second part of paragraph 4: Second definition of risk assessment

(i) General

(ii) Methodology of risk assessment

 
XVII. Annex B     back to top

A. Text of Annex B
B. Interpretation and Application of Annex B

1. Paragraphs 1 and 2: Publication requirements

2. Paragraph 2: “reasonable interval”

3. Paragraph 3: Enquiry points

(a) Paragraph 3(d)

4. Paragraph 5: Conditions for notification requirements

 
XVIII. Annex C     back to top

A. Text of Annex C
B. Interpretation and Application of Annex C

1. Paragraphs 1 (c)

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