RESTRICTED
WORLD TRADE G/SPS/W/65
5July1996
ORGANIZATION(96-2573)
Original: Spanish Committee onSanitary andPhytosanitary Measures
CONTROL OFAGRICULTURAL PESTS ININTERNATIONAL TRADE
Communication from Uruguay attheMeeting
of29-30 May1996
1. Background
Scope oftheWTO Agreement ontheApplication ofSanitary andPhytosanitary Measures
TheAgreement ontheApplication ofSanitary andPhytosanitary Measures (SPS) provides
abasis forensuring thattheapplication ofphytosanitary measures (asdefined inAnnex Atothe
Agreement) doesnotbecome atechnically unjustifiable obstacle tointernational trade inagricultural
products.
According toAnnex AtotheAgreement, asanitary orphytosanitary measure isanymeasure
applied:
(a) Toprotect animal orplantlifeorhealth within theterritory oftheMember fromrisks
arising from theentry, establishment orspread ofpests, diseases, disease-carrying
organisms ordisease-causing organisms;
(b) toprotect human oranimal lifeorhealth within theterritory oftheMember fromrisks
arising from additives, contaminants, toxins ordisease-causing organisms infoods,
beverages orfeedstuffs;
(c) toprotect human lifeorhealth within theterritory oftheMember from risksarising
from diseases carried byanimals, plants orproducts thereof, orfrom theentry,
establishment orspread ofpests; or
(d) toprevent orlimitother damage within theterritory oftheMember from theentry,
establishment orspread ofpests.
fromwhich itmaybeconcluded thattheAgreement isnotrestricted exclusively tothose phytosanitary
measures which areapplied ininternational trade toprevent theentry ofnewpests intothenational
territory butincludes allthephytosanitary measures applied against anypest.
AstheSPS/WTO isconcerned withtheapplication ofsanitary andphytosanitary measures,
itdoesnotspecify thetypeofpesttowhich these measures areapplied. However, thelinkestablished
with theInternational Plant Protection Convention (IPPC), which includes adefinition of
"quarantine pests", introduces adegree ofuncertainty astowhether thesearetheonlypestswithwhich
theAgreement isconcerned.G/SPS/W/65
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Inthefieldofphytosanitary measures, theAgreement forms aninterface between thetasks
oftheWorld Trade Organization (WTO) andthose oftheIPPC, since itdelegates tothelatter, and
theregional organizations operating within itsframework, thetechnical aspects ofthedevelopment
andharmonization ofinternational standards, guidelines andrecommendations (Annex A,Article 3(c)):
(c) Forplanthealth,theinternationalstandards,guidelinesandrecommendationsdeveloped
under theauspices oftheSecretariat oftheInternational Plant Protection Convention
incooperation withregional organizations operating within theframework ofthe
convention;
Scope oftheInternational Plant Protection Convention (IPPC)
TheIPPC mentions twotypes ofpests: quarantine pests which aredefined inthetextas:
"...apestofpotential economic importance tothecountry endangered thereby andnotyet
present there, orpresent butnotwidely distributed andbeing actively controlled".
andinjurious pests, which arenotmentioned inthetextandappear onlyintheModel Phytosanitary
Certificate annexed totheIPPC. There isnointernationally harmonized definition forthistypeof
pests.
Thislackofadefinition intheIPPC isreflected intheinternational standards approved by
theFAOsincetheymention only"quarantine pests". Werefertothestandards on"Principles ofPlant
Quarantine asRelated toInternational Trade" and"Guidelines forPestRiskAssessment". Theformer
isclearly specified asbeing forthecontrol ofquarantine pests, while thelatter terminates theanalysis
procedure if,inthefirststep,thepestdoesnotqualify asaquarantine pest.
Itmust beacknowledged that, apart from quarantine pests, there areother groups of
non-quarantine pestswhich canbelegitimately controlled ininternational tradeunder theterms ofthe
SPS/WTO Agreement butforwhich neither theIPPC norother international instruments provide a
basisforphytosanitary measures. Examples ofthissituation aretheregulations concerning maximum
percentages ofcertain pests(viruses, bacteria, mycoplasms) transmitted inplantpropagation materials
orconcerning thecontent ofbiological contaminants (Claviceps purpurea, mycotoxins) applied bymost
countries ininternational trade toprotect human, animal orplant health. There isanasymmetrical
relationship between thissituation andthecriterion upheld bytheInternational Office ofEpizootics
(IOE) which envisages theinternational control ofnon-exotic pests.
Scope oftheAgreement onTechnical Barriers toTrade (TBT/WTO)
TheTBT/WTO isthelegalinstrument agreed atinternational levelforpreventing technical
regulations from being usedasanunjustifiable technical barrier tointernational trade. Like the
SPS/WTO, itforms aninterface between thetasks oftheWTO andthose oftherelevant technical
international organizations.
Astechnical regulations, phytosanitary regulations areincluded intheprovisions ofthe
TBT/WTO:
Recognizing thatnocountry should beprevented from taking measures necessary toensure
thequality ofitsexports, orfortheprotection ofhuman, animal orplant lifeorhealth, of
theenvironment, orfortheprevention ofdeceptive practices, atthelevels itconsiders
appropriate, subject totherequirement thattheyarenotapplied inamanner which would
constitute ameans ofarbitrary orunjustifiable discrimination between countries where thesameG/SPS/W/65
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conditions prevail oradisguised restriction oninternational trade, andotherwise inaccordance
withtheprovisions ofthisAgreement;
but,dependingontheirpurpose,theymayberegardedasphytosanitarymeasures(asdefinedinAnnexA
oftheSPS/WTO) and/or asregulations ofaphytosanitary nature (consumer protection), asinthecase
ofcertain requirements withrespect topests inplant propagation materials, asituation envisaged in
Article 1.5oftheTBT/WTO:
1.5 Theprovisions ofthisAgreement donotapply tosanitary andphytosanitary measures
asdefined inAnnex AoftheAgreement ontheApplication ofSanitary andPhytosanitary
Measures.
Theprovisions oftheTBT/WTO require thattechnical (phytosanitary) regulations beadopted
onlytofulfil alegitimate objective (Article 2.2), taking intoaccount theintended end-uses ofthe
products:
2.2 Members shallensure thattechnical regulations arenotprepared, adopted orapplied
withaviewtoorwiththeeffect ofcreating unnecessary obstacles tointernational trade. For
thispurpose, technical regulations shallnotbemore trade-restrictive thannecessary tofulfil
alegitimate objective, taking account oftherisksnon-fulfilment would create. Suchlegitimate
objectives are,interalia: national security requirements; prevention ofdeceptive practices;
protection ofhuman health orsafety, animal orplant lifeorhealth, ortheenvironment. In
assessing suchrisks, relevant elements ofconsideration are,interalia:available scientific and
technical information, related processing technology orintended end-uses ofproducts.
2. Analysis
Thecontrol ofpestsininternational tradeshould comply withtheprovisions oftheSPS/WTO
insofarasitspurpose isthatofaphytosanitary measure (asdefined inAnnex AoftheSPS/WTO),
orwiththose oftheTBT/WTO ifithasadifferent purpose thatfallswithin thelegitimate objectives
oftheTBT/WTO, thefirstofthese Agreements having priority.
Theonlyinternationallegalinstrumentconcerningtheinternationalcontrolofagriculturalpests-
theInternational Plant Protection Convention -suffers from shortcomings asfarasthedefinition of
these pests isconcerned, since although itdescribes quarantine pests itisvague about theinjurious
pests mentioned intheModel International Phytosanitary Certificate oftheIPPC.
Since, bydefinition, anypestmustbeinjurious, thesituation creates aclimate ofuncertainty
withserious consequences forinternational trade. Itseems likely thatastheinternational legal
instruments areimproved andprogress ismade withtheharmonization ofthecontrol ofquarantine
pests, thepossibility ofthephytosanitary regulations onnon-quarantine pestsbeing usedastechnically
unjustifiable barriers totrade willincrease.
Thissituation isaffecting international trade. Inmany countries, thephytosanitary quality
regulations areindependent ofthequarantine regulations andinsome cases impose requirements which
areinconsistent withtheprinciples applied toquarantine pests. Itiscommon toencounter legislation
which requires thatthemerchandise be"freeofliveinsects", inopencontradiction withthespirit and
theletter oftheAgreement andtheprinciples ofquarantine pestcontrol (minimal risk,riskanalysis,
etc.). Inaddition, insomecountries, thenon-quarantine pestrequirements areformulated andmonitored
byorganizations notdirectly linked tothequarantine authority, which increases thechances of
inconsistency.G/SPS/W/65
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3. Proposal
Theobjective being toeliminate theunjustifiable useofphytosanitary regulations andmeasures
asabarrier tointernational trade, itisnecessary tochoose between twoalternatives:
(a) Abolish thecontrol ofinternational trade foranynon-quarantine pest,which would
haveaconsiderable impact ontheinternational trade inplant propagation materials;
or
(b) develop andharmonize thesetofdefinitions andprinciples which govern theapplication
ofphytosanitary regulations andmeasures tonon-quarantine pests. Inthecaseofthis
second alternative, itwould benecessary tobegin bymaking therelevant changes in
thetextoftheIPPC, inparticular bydefining theconcept ofinjurious pest.
Classification ofthepests subject tocontrol ininternational trade andcompetence
Thepests ofeconomic importance ininternational trade could becategorized asfollows:
(a) Quarantine pests: Those which fitthedefinition oftheIPPC; theinternational
framework fortheir control isprovided bytheIPPC, theFAO standards andthe
SPS/WTO. Theregulatory powers aregenerally concentrated intheNational Plant
Protection Organizations (NPPOs).
(b) Injurious pests: "Non-quarantine pestsofeconomic importance which directly affect
theintended useofplants andplant products" (definition adopted byMERCOSUR).
Forthepurposes ofthisdefinition:
"Intended use" means theend-use oftheplants orplant products, which canonlybe
consumption, processing orpropagation.
"Directly affect" means thedirect adverse effects ofthepestontheintended useof
theplants orplant products (itdoesnotinclude those which affect thecommercial
category oftheproduct).
Theinternational framework forthecontrol ofthistypeofpests isderived directly
fromtheSPSandTBT/WTO Agreements. Theregulatory powers aredispersed among
various organizations, depending onthecountry, including theNPPOs, seedservices,
public health, andresearch organizations.
(c) Cosmetic pests: "Non-quarantine pests which donotaffect theintended useofthe
plants orplantproducts, butwhich adversely affect theircommercial categorization".
There isnointernational legalframework forthecontrol ofthistypeofpestininternational
trade. Ifquality control weretoberegarded asalegitimate objective under theTBT/WTO, itwould
havetobeaimed atthequality defects caused bythepests (symptoms, signs, damage) andnotatthe
pestitself.G/SPS/W/65
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Control ofinjurious pests ininternational trade
Theintroduction oftheconcept ofinjurious pestsasasubject forcontrol ininternational trade
makes itnecessary tobroaden theconceptual basis forpreventing suchregulations from being used
asatechnically unjustifiable barrier totrade.
Forthisitwillbenecessary toharmonize theprinciples ofsovereignty, necessity, minimal
impact, transparency, modification, harmonization, equivalence, cooperation, technical authority, injury
assessment, tolerances andnon-discrimination which, asinthecaseofquarantine pests, limitthese
regulations andprescribe howandwhen theymaybelegitimately used.
Inparticular, taking intoaccount thefactthat,asdistinct fromquarantine pests, injurious pests
(bydefinition) arepresent intheimporting country andarenotbeing officially controlled, agreement
should bereached onapolicy oflevels oftolerance withrespect tosuchpests. Within thecontext
ofthatpolicy, itwould notbelegitimate toimpose zerotolerance levels, except inthecaseofpropagation
materials which arecarriers ofinjurious pests thatcould cause explosive epidemics withsignificant
economic injury and/or when, because oftheirpersistence, those pests could cause economic injury
thatextends beyond thecropcycle itselforwhen there areconsequences forhuman oranimal health.
Inthelightofthese considerations, MERCOSUR hasadopted aseries ofprinciples forthe
control ofinjurious pests ininternational trade (seeAnnex 1)which hasbeenderived from theFAO
Standard on"Principles ofPlant Quarantine asRelated toInternational Trade" byadapting ittothe
special situation ofinjurious pests. Thedocument laysdown thirteen principles:
1. Principle ofsovereignty: Inaddition torecognizing theright ofStates tocontrol
injurious pestsininternational trade, thisprinciple alsoestablishes limitations inrelation
tothelevel ofeconomic injury, theeffects onhuman andanimal health andthe
possibility ofquantifying andverifying sucheffects.
2. Principle ofnecessity: Underscores thelimitations introduced bythesovereignty
principle bystating thatphytosanitary requirements relating toinjurious pestscanonly
beapplied when theyarenecessary toprevent significant economic injury and/or
undesirable consequences forhuman and/or animal health duetothedirect effect of
those pests.
3. Principle ofminimal impact: Relates totheproportionality ofthephytosanitary
requirements which must represent theleasttrade-restrictive measure available.
4. Principle oftransparency: Equivalent tothecorresponding principle forthecontrol
ofquarantine pests ininternational trade.
5. Principle ofmodification: Idem 4.
6. Principle ofharmonization: Theuseofphytosanitary requirements forcontrolling
injurious pests presupposes theirharmonization atinternational orregional level.
7. Principle ofequivalence: Idem 4.
8. Principle ofcooperation: Idem 4.
9. Principle ofdispute settlement: Idem 4.G/SPS/W/65
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10. Principle oftechnical authority: Requires countries tosetupanorganization for
establishing, applying andoverseeing standards oninjurious pests.
11. Principle ofinjury assessment: States thattheuseofphytosanitary requirements for
controlling injurious pestsmustalways bebased onverifiable biological andeconomic
evidence.
12. Principle oftolerance: Requires theuseoftolerance levels forcontrolling injurious
pests andallows theapplication ofzerotolerance levels onlywhen theintended use
ispropagation andtheinjurious pestsatisfies thecorresponding technical criteria or
human and/or animal health isaffected.
13. Principle ofnon-discrimination: Asdistinct from thecaseofquarantine pests,
phytosanitary measures directed against injurious pests must beapplied tothe
consignments, without considering theorigin oftheproducts. Themeasures should
notdiscriminate between domestic andinternational markets.G/SPS/W/65
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ANNEX 1
Principles fortheApplication ofPhytosanitary Measures inConnection
withtheControl ofInjurious Pests inInternational Trade
1. Sovereignty
With theaimofavoiding theharmful effects ofinjurious pests ontheintended useofplants
andplant products, itisrecognized thatStates Parties mayexercise thesovereign right toutilize
phytosanitary measures toregulate theentry intotheirterritory ofmaterials affected byinjurious pests
when thelatter directly affect theintended useofthose materials toadegree which causes significant
economic injury and/or affects human oranimal health, bothquantifiably andverifiably.
2. Necessity
States Parties mayinstitute phytosanitary measures onlywhere suchmeasures arenecessary
toavoid significant economic injury and/or undesirable consequences forhuman andanimal health
stemming fromthedirect effects oftheinjurious pestsontheintended useoftheagricultural products.
3. Minimal impact
Thephytosanitary measures applied forcontrolling injurious pestsshallbeconsistent withthe
extent towhich theintended useisaffected andshall represent theleasttrade-restrictive measure
available.
4. Transparency
States Parties shall publish anddisseminate thephytosanitary tolerances, restrictions and
requirements applied toinjurious pests, including, onrequest, therationale forsuchmeasures.
5. Modification
Asconditions change, andasnewfactsbecome available, thephytosanitary measures applied
toinjurious pestsshallbemodified promptly, either byincluding tolerances, restrictions orrequirements
necessary fortheirsuccess orbyremoving those deemed tobeunnecessary.
6. Harmonization
Phytosanitary measures applied toinjurious pests shallbebased oninternational orregional
standards, guidelines orrecommendations.
7. Equivalence
States Parties shallrecognize asbeing equivalent those phytosanitary measures which, while
notidentical, havethesame result inrelation totheeffects ofinjurious pests ontheintended useof
theagricultural products.
8. Dispute settlement
Itispreferable thatanydispute between twocountries regarding phytosanitary measures against
injurious pests beresolved atatechnical bilateral level. Ifsuchasolution cannot beachieved withinG/SPS/W/65
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areasonableperiodoftime,furtheractionmaybeundertakeninaccordancewithArticle10andAnnexD
oftheMercosur Agreement onSanitary andPhytosanitary Measures (ACSAFIM).
9. Cooperation
States Parties shallcooperate toharmonize thephytosanitary measures applied tothecontrol
ofinjurious pests andtopromote thedevelopment anduseofregional andinternational standards.
10. Technical authority
Each State Party shallprovide anOfficial Organization toassume responsibility for:
(a) Developing andestablishing standards oninjurious pests; and
(b) applying andoverseeing those standards, solely inthose casesinwhich thedirect effect
oftheinjurious pestsontheintended useoftheagricultural products hasexternalizable
consequences (entails injury tothirdparties notinvolved inthedecisions) ormaylead
toconsumer fraud.
11. Injury assessment
Inorder toassess theinjury duetotheeffects ofinjurious pests ontheintended use,States
Parties shalluseassessment methods based onverifiable biological andeconomic evidence.
12. Tolerance
States Parties shallagree onapolicy oftolerance intheformulation ofphytosanitary measures
relating toinjurious pests, asthere isalways some adverse effect ontheintended use. Zero levels
oftolerance shallbeapplicable onlyinthose cases inwhich theproposed useispropagation andwhen:
(a) Theinjurious pestiscausing explosive epidemics withsignificant economic losses;
and/or
(b) because ofitspersistence, theinjurious pestisprolonging theharmful effects beyond
thecurrent cropcycle andiscausing significant economic losses;
(c) when there areeffects harmful tohuman oranimal health.
13. Non-discrimination
Phytosanitary measures directed against injurious pestsshallbeapplied without discrimination
asregards theorigin ofthegoods, norshalltherebeanydiscrimination between domestic andexternal
markets.