SPS HANDBOOK TRAINING MODULE: CHAPTER 2
Operating the SPS notification authority
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2.2 Making an SPS notification
Filling in the notification form
Who writes the notification?
Notifications should be written, or at least scrutinized, by someone (such as the author of the document being notified) who has a good knowledge of the measure being notified. It is not necessarily the officials working at the notification authority that have to do this. This competence may be elsewhere. For instance, the notification form could be filled in by a person working at a national standard-setting body responsible for developing the regulation which will give rise to the proposed new trade measure. Nevertheless, given that the measure is an SPS measure, it remains the responsibility of the notification authority to ensure that a notification is correctly completed and is sent to the WTO.
All notifications to the WTO Secretariat are required to be in one of the three working languages of the WTO: English, French or Spanish. The SPS Committee has adopted forms to be used for routine and emergency notifications. These are available from the Secretariat in electronic format or in document G/SPS/7/Rev.2 (Recommended procedures for implementing the transparency obligations of the SPS Agreement (Article 7)). Notifications should be sent to the address given below).
Routine notifications
Information contained in the notifications should be as complete as possible and no section should be left blank. Where necessary, “not known” or “not stated” should be indicated.
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Item |
Description |
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1. Member notifying |
Government, including the competent authorities of the European Communities, which is making the notification. Example: Canada |
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2. Agency responsible |
Body elaborating a proposal for or promulgating a sanitary or phytosanitary regulation. Example: Department of Health |
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3. Products covered |
Use clear definitions to aid understanding of the notification by country officials and translators. Avoid abbreviations. Example: Fresh fruit and vegetables, ornamental, fruit-bearing and forest plants Tariff item should be provided, using the Harmonized System, where possible, at least to chapter level. Example: Frozen/chilled de-boned beef (HS Nos. 0201 30, 0202 30) |
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4. Regions or countries likely to be affected |
Identify the geographical regions or countries likely to be affected, to the extent relevant or practicable. Where possible, list the countries affected. Otherwise use suitable wording such as “any countries exporting the commodities to Thailand”, or “all countries susceptible to bluetongue”. Example: State of California, United States |
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5. Title, language and number of pages of the notified document |
This item must contain the title of the proposed or adopted (in the case of late submissions) sanitary or phytosanitary regulation, the number of pages in the notified document, and the languages in which it is available. If a translation exists of the whole document, or a translated summary of the document, indicate this here. Example 1: Department of Agriculture (DA) Memorandum Order No. 18, series of 1999: SGS Inspection of Buffalo Meat Export from India to the Philippines (2 pages). Example 2: (Draft) Regulations Governing the Tolerances for Certain Seeds in Certain Agricultural Products. Government Notice No. R.1202 dated 15 October 1999 (3 pages). Available in English and French. |
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6. Description of content |
Summarize the SPS regulation clearly, indicating its health protection objective and content. Describe the species or products and countries affected, the status quo and significance of the proposed changes. Where practicable also include an outline of the specific sanitary measures the regulation will impose. To the extent possible, describe the likely effects on trade. The summary should be as complete and accurate as possible to allow full understanding of the proposed regulation. Write clearly and without abbreviations. You could specify the exact risks, e.g. “to protect Australian horses from the entry, establishment or spread of equine influenza”. When a regulation contains both SPS and TBT measures, it should be notified according to both the SPS and TBT Agreements, preferably with an indication of which parts of the regulation fall under the SPS Agreement and which parts fall under the TBT Agreement. Example 1: Limits the number of seeds of Argemone mexicana, Convolvulus spp, Crotolaria spp, Datura spp, Ipomoea purpurea, Lolium temulentum, Ricinus communis or Xanthium spp. to 1 seed per 10 kg of each of the mentioned agricultural products. Soya beans may contain 3 seeds per 10 kg (excluding soya beans intended for consumption by infants or young children). Does not apply to an agricultural product that will undergo sifting to reduce the number of poisonous seeds or that is intended for animal consumption. Example 2: The Pest Management Regulatory Agency (PMRA) of Health Canada has recently approved an application to amend the registration of ethylene-bisdithiocarbamate fungicides in order to allow their use on endives and to establish safe handling procedures for this fungicide. SPS element: This proposed regulatory amendment would establish an MRL for residues of ethylene-bisdithiocarbamate fungicides resulting from this use in endives, in order to permit the sale of food containing these residues. After the review of all available data, the PMRA has determined that an MRL for ethylene-bisdithiocarbamate fungicides of 7 p.p.m. in endives would not pose an unacceptable health risk to the public. TBT element: The proposed regulatory amendments also establishes safe handling guidelines to prevent health risks from domestic or international transportation and handling. Example 3: The Animal and Plant Health Inspection Service (APHIS) is establishing regulations for the importation into the United States of gypsy moth host materials from Canada due to infestations of gypsy moth in the Provinces of British Columbia, New Brunswick, Nova Scotia, Ontario, and Quebec. These regulations require trees without roots (e.g., Christmas trees), trees with roots, shrubs with roots and persistent woody stems, logs and pulpwood with bark attached, outdoor household articles, and mobile homes and their associated equipment to meet specified certification or destination requirements if they are intended to be moved into or through areas of the United States that are not infested with gypsy moth. |
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7. Objective and rationale |
Put a cross in the relevant box. SPS measures must belong to one of these categories (and can fit into more than one). [ X ] Food safety if the measure is to protect human life or health from:
Take particular care that food safety measures fit these very specific criteria. They must be to protect against health risks, and not merely set compositional standards. They must also deal with one of the four categories of health risk (additives, contaminants, toxins or disease-causing organisms). Note that contaminants include pesticide and veterinary drug residues and extraneous matter. Food safety measures involving labelling, quality or nutrition may also (or alternatively) require notification under the TBT Agreement. [ X ] Animal health if the measure is to protect animal life or health, including fish and wild fauna, from:
[ X ] Plant protection if the measure is to protect plant life or health, including fish and wild fauna, from:
[ X ] Protect humans from animal/plant pest or disease if the measure is to protect human life or health from:
[ X ] Prevent territory from other damage from pests if the measure is to protect from:
This could for example be relevant to plants that pose a problem by their invasiveness or weediness, but may not necessarily spread a disease. |
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8. Existence of international standard, guideline or recommendation |
If a relevant international standard, guideline or recommendation exists, put a cross in the box provided for the appropriate standard-setting organization. Give the appropriate reference of the existing standard, guideline or recommendation and briefly describe how the proposed regulation deviates from the international standard, guideline or recommendation. If no international standard, guideline or recommendation exists, put a cross in the box ‘none’. Example: The current Codex standard for histamine levels are applicable only to certain species of fish. The proposed Australia/New Zealand standard restricts histamine levels in all fish. |
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9. Relevant documents and language(s) in which these are available |
Several different types of publications can be referenced here. Publications which you should reference are: (a) Publication where notice of the proposed regulation appears, including date and reference numbers; (b) Proposal and basic document to which proposal refers (with specific reference number or other identification), and the language(s) in which the notified documents and any summary of these are available; (c) Publication in which proposal will appear when adopted; If it is necessary to charge for documents supplied, the amount of the charge should be indicated. Example 1: Official Journal No.3, February 1999 (in Albanian). Example 2: Resolution No. 30 of the Ministry of Agriculture, Livestock, Fisheries and Food of 18 September 1998 (6 pages, in Spanish. Summary in English available upon request). Charge: 2 USD per copy. Example 3: Framework Directive on materials and articles intended to come into contact with foodstuffs (89/109/EEC, O.J. No L349 — 13 February 1990 p.2b). |
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10. Proposed date of adoption |
The date when the sanitary or phytosanitary regulation is expected to be adopted (or approved); when no more changes will be made to the text of the measure. Example 1: 2 February 2000 Example 2: Anticipated early 2000 Example 3: When the final regulations are published in the Government Gazette. This will not be before 1 April 2000. |
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11. Proposed date of entry into force |
The date from which the requirements in the regulation are proposed or decided to enter into force. Where appropriate, Members should accord longer time-frames for compliance on products of interest to developing country Members. In the Decision on Implementation-Related Issues and Concerns (WT/MIN/(01)/17) taken on 14 November 2001 at the Fourth Ministerial Conference in Doha Qatar, it was decided that this “longer time-period for compliance” shall be understood to mean normally a period of not less than 6 months. Furthermore, where the appropriate level of sanitary and phytosanitary protection does not allow scope for the phased introduction of a new measure, but specific problems are identified by a Member, the Member applying the measure shall upon request enter into consultations with the country with a view to finding a mutually satisfactory solution to the problem while continuing to achieve the importing Member’s appropriate level of protection. Examples 1: To be determined. Example 2: On publication of the final regulations in the Government Gazette. This will not be before 1 April 2000. |
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12. Final date for comments and agency or authority handling comments |
The day by which other countries may submit comments should normally be at least 60 days after the notification is distributed by the WTO. Give a specific date. Give a specific contact for receipt of comments. This can be the notification authority or enquiry point, or another agency which is actually handling the comments on this notification. Give the full address, including fax number in international format, and email address. For proposed measures which facilitate trade, Members may reduce or eliminate the period for receiving comments. Example 1: 15 January 2000 Example 2: The domestic closing date for comments is 17 November 1999. However comments from Members will be accepted until 17 December 1999 if notice of intention to comment is received by the domestic closing date. Agency or authority designated to handle comments: [ X ] National notification authority, .... |
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If available from the notification authority or the enquiry point, put a cross in the respective box. If available from another body, give its address, fax number and (if available) E-mail address. Give the precise Internet address of this document if available. Example 1: Texts available from: ... , [ X ] National enquiry ... Also available on Internet: “http://www.maf.govt.nz/SPS/index.htm” Example 2: |
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Emergency measures
Information contained in the notification form should be as complete as possible and no section should be left blank. Where necessary, “not known” or “not stated” should be indicated. The emergency notification form is contained in the recommended procedures for implementing the transparency obligations of the SPS Agreement (G/SPS/7/Rev.2).
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Item |
Description1 |
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1. Member notifying |
Government, including the competent authorities of the European Communities, which is making the notification. |
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2. Agency responsible |
Body elaborating a proposal for or promulgating a sanitary or phytosanitary regulation. |
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3. Products covered |
Use clear definitions to aid understanding of the notification by country officials and translators. Avoid abbreviations. Tariff item should be provided, using the Harmonized System, where possible, at least to chapter level. |
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4. Regions or countries likely to be affected |
Identify the geographical regions or countries likely to be affected, to the extent relevant or practicable. Where possible, list the countries affected. Otherwise use suitable wording such as “any countries exporting the commodities to Thailand”, or “all countries susceptible to bluetongue”. |
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5. Title, language and number of pages of the notified document |
This item must contain the title of the sanitary or phytosanitary regulation. Number of pages in the notified document. Languages in which the notified document is available. If a translation exists of the whole document, or a translated summary of the document, indicate this here. |
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6. Description of content |
Summarize the SPS regulation clearly, indicating its health protection objective and content. Describe the species or products and countries affected, the status quo and significance of the proposed changes. Where practicable also include an outline of the specific sanitary measures the regulation will impose. To the extent possible, describe the likely effects on trade. The summary should be as complete and accurate as possible to allow full understanding of the proposed regulation. Write clearly and without abbreviations. You could specify the exact risks, e.g. “to protect Australian horses from the entry, establishment or spread of equine influenza”. When a regulation contains both SPS and TBT measures, it should be notified according to both the SPS and TBT Agreements, preferably with an indication of which parts of the regulation fall under the SPS Agreement and which parts fall under the TBT Agreement. |
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7. Objective and rationale |
Put a cross in the relevant box. SPS measures must belong to one of these categories (and can fit into more than one). [ X ] Food safety if the measure is to protect human life or health from:
Take particular care that food safety measures fit these very specific criteria. They must be to protect against health risks, and not merely set compositional standards. They must also deal with one of the four categories of health risk (additives, contaminants, toxins or disease-causing organisms). Note that contaminants include pesticide and veterinary drug residues and extraneous matter. Food safety measures involving labelling or nutrition may also (or alternatively) require notification under the TBT Agreement. [ X ] Animal health if the measure is to protect animal life or health, including fish and wild fauna, from:
[ X ] Plant protection if the measure is to protect plant life or health, including forests and wild flora, from:
[ X ] Protect humans from animal/plant pest or disease if the measure is to protect human life or health from:
[ X ] Prevent territory from other damage from pests if the measure is to protect from:
This could for example be relevant to plants that pose a problem by their invasiveness or weediness, but may not necessarily spread a disease. |
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8. Nature of urgent problem(s) |
Indicate the reason (s) for resorting to emergency action (e.g., animal disease outbreak with suspected links to imports). Example 1: Emergency measures to preserve plants and protect them against the harm caused by the Mealy bug Maconellicoccus hirsutus (Green). Example 2: Findings of higher content of arsenic in poultry meat. Example 3: The Colombian Agricultural Institute — ICA (the official phytosanitary protection body of Colombia) has declared the presence of Thrips palmi karny on its territory and other unidentified species of thrips, but without identifying the areas affected, the areas unaffected or the quarantine measures taken to control and/or eradicate the problem. |
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9. Existence of international standard, guideline or recommendation |
If a relevant international standard, guideline or recommendation exists, put a cross in the box provided for the appropriate standard-setting organization. Give the appropriate reference of the existing standard, guideline or recommendation and briefly describe how the proposed regulation deviates from the international standard, guideline or recommendation. If no international standards, guideline or recommendation exists, put a cross in the box ‘none’. |
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10. Relevant documents and language(s) in which these are available |
Documents which should be referenced include: (a) Measure(s) taken and basic regulation which was modified (with specific reference number or other identification), and the language(s) in which the notified documents and any summary of these are available; (b) Publication in which regulation will appear; If it is necessary to charge for documents supplied, the amount of the charge should be indicated. |
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11. Date of entry into force and period of application |
The date from which the requirements in the measure entered into force, and, the period of time during which they will apply. (For example: immediate entry into force [date], duration [of two months] or [to be decided].) Example 1: This interim rule was effective 23 August 1999. Example 2: Entry into force on the day of signing by the Director-General of Health and in all other cases when notified in the Gazette (15 June 1999) and will remain in force for a period not exceeding 6 months unless revoked earlier. |
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Give a specific contact for receipt of comments. This can be the notification authority or enquiry point, or another agency which is actually handling the comments on this notification. Give the full address, including fax number in international format, and email address. |
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13. Texts available from |
If available from the notification authority or enquiry point, put a cross in the respective box. If available from another body, give its address, fax number and (if available) E-mail address. Give the precise Internet address of this document if available. |
1. For examples on how to fill the notification form see shaded boxes in routine form except for Items 7 and 10 in the emergency format back to text
Making an Addendum, Corrigendum or Revision to an SPS notification
Members, in addition to their original notifications, can also provide supplementary information in three different forms.
- An addendum is used to provide additional information or changes to an original notification. A Member may wish to indicate on the addendum if the final regulation has been substantially modified from the notified proposal.
- A corrigendum is used to correct an error in an original notification such as an incorrect address detail.
- A revision is used to replace an existing notification.
Any addendum or corrigendum should be read in conjunction with the original notification.
The recommended procedures for implementing the transparency obligations of the SPS Agreement (Article 7) contain suggested formats for addenda, corrigenda and revisions (G/SPS/7/Rev.2).
Addenda
Members should notify changes in the status of a notified SPS regulation. The issuance of an addendum allows Members to track the status of an SPS regulation via its unique notification number. Addenda to SPS notifications should be made in a number of circumstances, such as:
- when a proposed regulation is either adopted or comes into force. A Member may wish to indicate on the addendum if the final regulation has been substantially modified from the notified proposal.
- if a proposed regulation is withdrawn;
- if a regulation is revoked;
- if the comment period has been extended;
- if the period of application of the existing notification is extended;
- if the scope of application of the existing notification is reduced, either in terms of Members affected or products covered. Such a change may warrant the extension of the comment period.
An addendum should:
- briefly recap what was notified, when and what it was about
— this is a practical requirement, and reduces the need for Members to have to go back to the original notification to check what it was about;
- specify what change has been made and why — briefly state why the information, dates, etc have been changed; and
- restate the comments deadline, even if it has not been changed
— as a reminder to Members that if they wish to comment it must be done by this date.
Corrigenda
Members should inform the Secretariat of any error(s) contained in their original notification. The Secretariat will issue a corrigendum accordingly.
Revisions
Revisions replace an existing notification. Revisions should be submitted, for example, when the scope of application of a notified regulation is extended, either in terms of Members affected or products covered, or if a notification contained a large number of errors which necessitated issuing a revision. A Member should provide a further period for comments on the revised notification, normally 60 days.
Rescinding an SPS emergency measure
Emergency SPS measures are invoked on a temporary basis. This means that after its period of application has expired an emergency notification should be revoked. As the revocation of a measure also affects trade, it is necessary to make a notification to the WTO when this happens. This applies also to the revocation of an SPS measure notified on a routine basis. (See also section on addenda.)
Assistance from the WTO Secretariat
The WTO Secretariat is available on request to assist countries with filling out the notification formats. Some countries in the past, when unsure about how to notify, have sent the Secretariat draft notifications for comments on format, structure or clarity. This has particularly been the case for many first-time notifiers.
The contact at the secretariat is:
Mr. Michael Roberts
Tel: (+41 22) 739 5747
Fax: (+41 22) 739 5760
Where to send an SPS Notification
Notifications should be sent by fax, e-mail or air mail to the central registry of notifications (CRN) at the WTO either through the WTO representative or directly. The address is:
Central Registry of Notifications
Rue de Lausanne 154
1211 Geneva 21
Switzerland
Fax: (+41 22) 739 5638
E-mail: [email protected]
Countries are not required to send the legal texts of the proposed regulation that is being notified.
Box 6 — Secretariat procedures for handling notifications Three to four days after the Secretariat has received a notification from a WTO Member, it circulates the notification first in the original language to all Members. The translations into French and Spanish follow as soon as they are finished by the Translation and Documentation Division of the WTO (for those Members who have requested notifications in those languages). The notifications are automatically provided only to the missions of Members to the WTO, primarily the Geneva-based missions. The missions receive a single paper copy and it is up to them to forward it to enquiry points or notification authorities at home. Upon request, the Secretariat can also mail notifications to a single address in the capital provided by the mission. All SPS notifications and documents are placed on the WTO’s website and are available for downloading from Documents Online. In addition, Members who wish to receive notifications via e-mail, currently sent twice a week, can subscribe to this service following the instructions mentioned below. Electronic transmission of SPS notifications |
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