WORLD TRADE
ORGANIZATIONG/SPS/GEN/332
24 June 2002
(02-3478)
Committee on Sanitary and Phytosanitary Measures
TECHNICAL ASSISTANCE AND CAPACITY BUILDING IN
THE CONTEXT OF THE SPS COMMITTEE
Note by the Secretariat1
1. At the 19-21 March 2002 meeting of the SPS Committee, one Member suggested that the
information already available before the Committee on technical assistance needs should be compiledinto an information document.  It was also suggested that the SPS Committee make a submission to
the Committee on Trade and Development (CTD), proposing ways to most effectively use the
increased technical assistance funds to expand activities in the SPS area.  This document addresses the
request for a compilation of available information.
2. For the preparation of this note, the Secretariat drew on information provided by Members,
documents previously issued by the Secretariat and information provided by the Codex Alimentarius
Commission (Codex), the Office international des Epizooties (OIE) and the International Plant
Protection Convention (IPPC).  Annex 1 contains a complete list of SPS-related technical assistance
documents circulated by the Secretariat since the entry into force of the Agreement.  Summaries of
some of these documents can be found in Annex 2.
General background
3. Starting from its first meeting in March 1995, technical assistance activities have been a
standing item on the agenda of each regular meeting of the SPS Committee.  Under this agenda item,
Members are invited to identify any specific technical assistance needs which they may have, and/or
to report on any SPS-related capacity building activities in which they are involved.  The Secretariat
also reports on those technical assistance activities in which it has participated, whether organized by
the WTO or by some other body.  Furthermore, the observer organizations, which include various
standard-setting organizations, the World Bank, UNCTAD, ITC and others, are also invited to report
on their SPS-related technical assistance activities.
2
4. In July 1999 the Secretariat circulated a questionnaire to all Members gathering information
on technical assistance that Members have requested, received or provided in respect of the
implementation of the SPS Agreement ( G/SPS/W/101) .  While several Members responded in a
detailed manner, only a limited number of developing country Members replied and technical
assistance needs were often poorly identified.3  Z a m b i a ,  J o r d a n4 and Gabon have made specific
technical assistance requests during SPS Comm ittee meetings (G/SPS/GEN/174, 199 and 208, and
257, respectively) and it appears that several Members have responded positively to these requests.
                                                     
1 This document has been prepared under the Secret ariat's own responsibility and is without prejudice
to the positions of Members or to their rights or obligations under the WTO.
2 Document G/SPS/W/78/Rev.1, refers.
3 The replies received were circulated in doc uments G/SPS/GEN/124, G/SPS/GEN/143/Rev. 1 and
three addenda, and G/SPS/GEN/181.
4 See Annex 2.G/SPS/GEN/332
Page 2
5. In October 2001, the Secretariat circulated a second questionnaire regarding the technical
assistance needs of Members (G/SPS/W/113).  Responses to this questionnaire are circulated as
addendum to document G/SPS/GEN/295.  To date, 17 Members have submitted their responses.
Members are invited to consult these responses and consider the possibility of providing technical
assistance to requesting countries.
6. Over the years, the Secretariat has also prepared various documents regarding technical
assistance, including, in June 1997, an information document drawn from the Secretariat's experiences
from various technical assistance activities (G/SPS/GEN/17), and, at the request of the SPS
Committee, a typology of SPS-related technical assistance needs (G/SPS/GEN/206)4.  Members and
observer organizations have also submitted a number of documents relating to capacity-building in the
SPS area.
7. In conjunction with its regular meeting of July 2001, the SPS Committee held an informal
meeting on technical assistance.  The Chairman's report of this meeting is contained inG/SPS/GEN/267.
4  As agreed by the Committee, another informal meeting on technical assistance
was held on 18 March 2002.  The responses to the recent questionnaire on technical assistance were
discussed, and it was noted that among the most pressing needs, apart from information requirements,
was the development of laws and regulatory frameworks and institution building.  Needs for hard
infrastructure including laboratories etc., although pressing, did not normally represent the mostserious obstacle to an appropriate implementation of the Agreement.  Several Members and
organizations addressed the question of how to respond to the needs identified in the questionnaires
and provided concrete examples of ongoing activities.  It was noted that technical and scientific
expertise and funding are available in different organizations, and that efforts to improve inter-agency
coordination should be continued.
8. In this regard, the October 2000 request from the General Council that the Director-General
coordinate further with other international organizations served to give a higher profile to a long-
standing cooperation.  There were subsequently two high-level meetings on this matter, and several
technical-level discussions (WT/GC/42, 45, 46/Rev.1, and 54).  One result was the joint statement
issued in Doha by the Directors-General of the FAO, OIE, WHO, WTO and the President of theWorld Bank on technical assistance issued in Doha (WT/MIN(01)/ST/97).  Another technical-level
meeting was held on January 2002.  Discussions are now focusing on a FAO concept paper for inter-
agency collaboration and on the creation of a World Bank standards and trade development facility to
operate in conjunction with FAO (including C odex and the IPPC), OIE and WHO.  The WTO has
been requested to participate as the executive agency of the envisaged Facility.  The objective of theFacility is to provide technical assistance and enhance developing countries' capacity to implement the
Agreement.
9. The Secretariat has developed a number of tools to assist Members with the understanding
and implementation of the Agreement.  In particular, a booklet discussing the text of the SPS
Agreement was published under the WTO Agreements Series (Volume No.4).  The Secretariat has
also issued a handbook on the application of the transparency provisions of the Agreement, and a
revised version will soon be published.  Finally a CD-ROM explaining and discussing in detail theprovisions of the Agreement, and dealing in particular with implementation, transparency, special and
differential treatment and dispute settlement issues, has just been produced by the Secretariat.G/SPS/GEN/332
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Annex 1
List of technical assistance-related do cuments circulated by the Secretariat
G/SPS/12 11 March 99 Review of the operation and implementation of the
Agreement on the application of the sanitary and
phytosanitary measures – Report of the Committee
G/SPS/19 26 October 01
(adopted on24 Oct.)Decision on the implementation of Article 4 of the SPS
Agreement (Equivalence)
G/SPS/W/11 9 May 95 CODEX/IPPC – FAO activities to assist developing
countries in connection with the Uruguay Round:  Foodquality and safety assistance, international plant protection
assistance, general technical assistance
G/SPS/W/37 15 November 95 WHO – Selected World Health Organization activities
relevant to the implementation of the WTO Agreement on
the application of sanitary and phytosanitary measures
G/SPS/W/101 23 July 99 Questionnaire on  technical assistance (Secretariat)
G/SPS/W/113 15 October 01 Questionnaire on technical assistance (Secretariat)
G/SPS/GEN/17 24 June 97 Experiences from technical assistance and cooperation in
developing countries (Secretariat)
G/SPS/GEN/23 8 July 97 Pakistan – Technical Cooperation
G/SPS/GEN/39 10 October 97 Codex – FAO technical assistance programme:  Food
quality and safety
G/SPS/GEN/69 18 March 98 European Communities – Technical assistance – List of
experts
G/SPS/GEN/78 9 June 98 United States – Technical cooperation and assistance
G/SPS/GEN/85 23 July 98 India – Special and differential treatment and technical
Assistance
G/SPS/GEN/143 and
Addenda8 November 99 Summary of the replies to the questionnaire on technical
assistance (Secretariat)
G/SPS/GEN/157 17 December 99 Guatemala – Development and adaptation of sanitary and
phytosanitary systems in developing countries for thepurpose of complying with commitments under the SPS
Agreement
G/SPS/GEN/174 19 April 00 Zambia – Request for technical assistance
G/SPS/GEN/181 15 June 00 United States – Technical assistance to developing countries
provided by the United States
G/SPS/GEN/199 27 July 00 Jordan – Technical assistance
G/SPS/GEN/206 18 October 00 Technical assistance typology (Secretariat)
G/SPS/GEN/208 1 November 00 Jordan – Request for technical assistance
G/SPS/GEN/213 7 November 00 IICA – Technical cooperation:  The state of the different
agrifood sanitary systems in the Americas
G/SPS/GEN/214 8 November 00 IICA – Technical cooperation – An overview
G/SPS/GEN/235 9 March 01 IICA – Actions aimed at implementing the Agreement on
Sanitary and Phytosanitary Measures
G/SPS/GEN/332
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G/SPS/GEN/244 27 April 01 European Communities – Technical assistance to developing
countries
G/SPS/GEN/255 25 June 01 IICA – Innovation in technical assistance
G/SPS/GEN/257 2 July 01 Communication from Gabon – Technical assistance
G/SPS/GEN/263 6 July 01 IICA – Actions aimed at implementing the Agreement on
Sanitary and Phytosanitary Measures
G/SPS/GEN/267 16 July 01 Discussion on technical assistance and cooperation –
Informal meeting of the SPS Committee of 9 July 2001 –
Report by the Chairman
G/SPS/GEN/281 5 October 01 OIRSA – Actions oriented to implementation of the SPS
Agreement – January-September 2001
G/SPS/GEN/286 26 October 01 IICA – Actions aimed at implementing the WTO SPS
Agreement
G/SPS/GEN/287 29 October 01 Chile – Technical assistance
G/SPS/GEN/288 29 October 01 ITC – Joint project  between the Commonwealth Secretariat
and ITC on case studies to determine technical assistanceneeds in the area of technical regulations, sanitary and
phytosanitary measures
G/SPS/GEN/295 and
Addenda6 February 02 Technical assistance – Responses to the questionnaire
(Secretariat)
G/SPS/GEN/307 13 March 02 OIRSA – Measures to strengthen implementation of the SPS
Agreement in member countries of the OIRSA
G/SPS/GEN/310 14 March 02 IICA – Actions aimed at implementing the SPS Agreement
WT/GC/42 11 December 00 Actions to increase the participation of developing country
Members in the work of relevant international standard-
setting organizations – Report by the Director-General
WT/GC/45 7 March 01 Actions to increase the participation of developing country
Members in the work of relevant sanitary and phytosanitary
international standard-setting organizations – Second report
by the Director-General
WT/GC/46 11 July 01 Actions to increase the participation of developing country
Members in the work of relevant sanitary and phytosanitary
international standard-setting organizations – Informationfrom Financial Institutions – Report by the Director-General
WT/GC/46/Rev.1 16 July 01 Idem – Revision
WT/GC/54 7 November 01 Actions to increase the participation of developing country
Members in the work of relevant sanitary and phytosanitaryinternational standard-setting organizations – Third reportby the Director-General
WT/MIN(01)/ST/97
(4th Ministerial
Conference, Doha,November 2001)11 November 01 Participation of developing countries in the development and
application of international standards, guidelines andrecommendations on food safety, animal and plant health –Joint Statement circulated by the Directors-General of theFAO, OIE, WHO, WTO and the President of the World
Bank
G/SPS/GEN/332
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Annex 2
Summaries of some SPS-related technical assistance documents
1. The purpose of this Annex is to draw Members'  attention to some of the more informative
documents on SPS-related technical assistance issued since the entry into force of the WTO.  The
annex is not intended to be an exhaustive summary of all the technical assistance-related documents.
In particular, the Secretariat did not attempt to summarize documents on technical assistance activitiesheld by Members, Observer Organizations or th e Secretariat.  Likewise, documents containing
Members' replies to technical assistance questionnaires are not included in the summary.
_______________
Experiences from Technical Assistance and Cooperation in Developing Countries - Note by the
Secretariat (G/SPS/GEN/17)
2. This document, which refers to a number of technical assistance activities undertaken by the
Secretariat, although issued in June 1997, remains relevant.  The document enumerates a series of
needs and concerns identified by developing countries, including the continued need for expanding
the knowledge and understanding of the Agreement, and the need for better coordination and
exchange of information on a national level within and among food safety, animal health and planthealth sectors and officials who attend SPS Committee meetings, Codex sessions and those directly
responsible for the implementation of food safety regulations in their country.
3. The document notes that there is a growing need for more technical assistance with regard to
the establishment of national regulatory frameworks, including the development of legislation.  In thisregard technical assistance is provided by the rele vant international standard-setting organizations and
some Members.  Along with international harm onization and the implementation of international
standards, risk analysis is identified as another area where significant assistance is required.
4. Additionally, demand for field-related, specific technical assistance (training of personnel in
the areas of veterinary and quarantine services, the creation of reference laboratories, development of
appropriate testing procedures, etc) is growing fast.  The document calls for the expansion of technical
assistance programmes provided by Members and the relevant international organizations.  It alsostresses the need for improved coordination among the relevant international organizations in theirapproach to technical assistance and emphasizes the need for active participation of the appropriateofficials and experts from developing countries in the relevant international organizations.  Theimportant role of regional organizations is also addressed.
_______________
Technical Assistance Typology - Note by the Secretariat (G/SPS/GEN/206)
5. The document classifies technical assistance by way of four broad categories:  information;
training;  "soft" infrastructure development;  and "hard" infrastructure development.  With regard to
information, it notes that the key objective of this type of technical assistance is to enhance the
awareness and understanding of Members' rights and obligations under the SPS Agreement at the
technical as well as policy level.  The document notes that food safety issues are increasingly subjectto public and media scrutiny and that technical assistance activities must take this evolution into
consideration.  Training is an area of shared competence between Codex, OIE, IPPC and the WTOG/SPS/GEN/332
Page 6
Secretariat, as well as Members, which involves more detailed explanations and discussions of
particular provisions of the Agreement.
6. Noting that the implementation of the Agreement by developing countries requires
appropriate technical and scientific capacity of these countries to meet their obligations under the SPS
Agreement, the document identifies two distinct although complementary aspects of infrastructure
development:  (i)  "soft" infrastructure and (ii)  "hard" infrastructure.  "Soft" infrastructuredevelopment deals mostly with training activities and includes the formation of technical and
scientific personnel.  Technical assistance dealing with the development of national regulatory
frameworks  is also critical and the harmonization of national regulations and international standards,
guidelines and recommendations is important.  Proper implementation of the SPS Agreement also
depends on adequate field equipment and infrastructure.  This “hard” infrastructure includes
laboratories, testing equipment, veterinary services, etc., but also other aspects such as the
establishment of disease-free regions.  Technical assistance is required in all of these areas.
7. The document does not attempt to establish an exclusive typology for technical assistance and
refers to alternative approaches, including a "stable to table" chain approach covering the needs at the
production level,  the processing level,  the marke ting level,  and  the regulatory level.  It also
addresses the possibility of classifying technical assistance taking into account three broad
parameters:  (i) the regulatory framework;  (ii) th e institutional framework;  and (iii) the technical
framework.  Noting that in practice, much of the technical assistance in the SPS area addresses
specific needs in the food safety, animal health and/or plant protection, the document suggests that
another possible alternative is to classify techni cal assistance accordingly.  Such an approach is
illustrated by a list of activities provided by Codex, OIE and IPPC.
_______________
Review of the Operation and Implementation of the Agreement on the Application of Sanitary
and Phytosanitary Measures - Report of the Committee (G/SPS/12)
8. In its discussion of issues concerning the operation and/or implementation of the Agreement,
the Committee focussed, inter alia , on technical assistance.  In this regard, the Committee stressed the
need for enhanced technical assistance and cooperation, in particular with regard to human resource
development, national capacity building and the  transfer of technology and information, including
"hands-on" assistance.  It recognized that Members had provided technical assistance to developing
country Members, including when substantial investments were required.  It also  noted that the
Secretariat and several international organizations had also provided considerable technical assistanceto developing country Members in the areas of their competence.
9. However, the Committee emphasized that there was still a need for further assistance which,
due to the expertise required, could best be provided by the relevant international standard-setting
organizations.  It  agreed to bring this matter to their attention, keeping in mind that this could have a
significant impact on the resources of these bodies and/or Members' resources.  The Committee
reiterated the need for Members and the relevant international organizations to continue to provide
information on their technical cooperation and assistance programmes on a regular basis.
_______________
Development and Adaptation of Sanitary and Phytosanitary Systems in Developing Countries
for the Purpose of  Complying with Commitments under the Agreement on the Application ofG/SPS/GEN/332
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Sanitary and Phytosanitary Measures - Statement by Guatemala at the Meeting of 10-11
November 1999 (G/SPS/GEN/157)
10. In this document, Guatemala notes that the need to comply with the SPS Agreement
commitments has incited many countries to reform their sanitary and phytosanitary systems.  For
Guatemala, this process involved structural modification of public authorities, the development and
implementation of new administrative structures, the enactment of new legislation and thedevelopment of abilities, new skills and a new atti tude in institutions and enterprises.  The document
summarises these changes.
11. Guatemala concludes that for developing countries, compliance with commitments under the
Agreement is not necessarily hindered by lack of financial resources, equipment or sophisticated
infrastructures, but by factors such as the lack of understanding of the Agreement;  the absence of an
operational framework for the authorities responsible for administering the Agreement; and  a limited
participation in competent bodies and in the SPS Committee.
_______________
Technical Assistance - Submission by Jordan (G/SPS/GEN/199)
Request for Technical Assistance – Submission by Jordan (G/SPS/GEN/208)
12. Both documents identify the areas requiring technical assistance, namely veterinary
quarantine capacities and plant laboratory capacities (G/SPS/GEN/199) and instruments for analytical
measuring and  processing (G/SPS/GEN/208).  Document G/SPS/GEN/199 includes detailed
description of project proposals.  The project proposals include elaborated background andjustification information explaining the reasons for the services/instruments shortages and limitations;
clearly stated project objectives; expected outputs;  a description of the main technical assistance
activities;  ways and means for project implementa tion;  the identification of an executing agency,
local partner organizations and target groups;  and a cost/benefit analysis, including an estimate of
contributions by Jordan and the aid-providing country.
_______________
Technical Cooperation:  The State of The different Agrifood Sanitary Systems in the Americas -
Submission by the Inter-American Institute for Cooperation on Agriculture (IICA)(G/SPS/GEN/213)
13. Based on an analysis of several studies conducted in the American continent, the document
analyses the phytosanitary and food safety systems (SPFSS) in 33 countries in the region.  The
document stresses that technical cooperation must be implemented in such a way as to incorporate
elements of diagnosis, articulation and balance.  It argues that the effectiveness of technical
cooperation is not determined only by the amount of financial resources invested or by longer periodsof time for the implementation of specific rules.  It considers that public/private coordination is a key
factor in the proper application of the SPS Agreement and, therefore, constitutes a major challenge for
those countries that lack efficient mechanisms for communication and intersectoral participation.  The
institutional area is identified as the greatest weakness in all countries in the region and the one which
should be given special attention.
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Technical Cooperation:  An Overview - Submission by the Inter-American Institute for
Cooperation on Agricultu re (IICA) (G/SPS/GEN/214)
14. In this document, IICA, noting the failure of tr aditional approaches to technical assistance,
underlines the need for the development of new strategies in order to maximize the use of resources.
It argues that efforts to strengthen the bases of the phytosanitary and food safety systems (SPFSS) willdepend on the priorities of each country, but that public-private sector coordination is a must in any
modernization process.  Priority should be given to  strengthening: (i) the institutional framework; (ii)
the regulatory framework;  and (iii) the technological framework.
15. IICA stresses that technical cooperation is a tool that can help countries modernize their
SPFSS and upgrade their capacity to effectively implement the SPS Agreement, but that a change in
technical cooperation methodology is necessary to incorporate inter-sectoral articulation, including
private sector participation in the stages of diagnosis, identification, prioritization and evaluation oftechnical cooperation.  Additionally, a comprehensive modernization model has to address animal
health, plant protection and food safety, as well as the institutional, regulatory and technological
frameworks.
16. Member's attention is also draw to IICA's submission G/SPS/GEN/255 which provides four
practical examples of the utilization of IICA's proposed new approach to deal with technicalcooperation in the SPS area.
_______________
Discussion on Technical Assistan ce and Cooperation:   Informal Meeting  of the SPS Committee
of 9 July 2001 - Report by the Chairman (G/SPS/GEN/267)
17. In this report the Chairman noted that some delegations suggested a series of steps starting
with a diagnosis of the national situation to identify existing capacities, problems with internal
coordination, and cooperation with the private sector.  The best forms of technical assistance to deal
with these problems would subsequently be identifie d.  Other delegations stressed that the best way
forward was to design a total approach to technical assistance that covers its institutional, technical
and economic aspects.  The report enumerates a series of specific ideas to complement these
approaches.  Nonetheless, in order to develop a framework for technical assistance and deepen the
discussions, active participation and contribution from the developing countries themselves were
essential.  This would also ensure that the system was demand driven.
18. All Members, but in particular the developing countries, were encouraged to submit further
written ideas in order to develop this issue and th e Secretariat was invited to reformulate and refine
the questionnaire on technical assistance to help structure the information being sought from
Members.  (A new questionnaire was subsequently issued as G/SPS/W/113.)
_______________
Technical Assistance - Communicati on from Chile (G/SPS/GEN/287)
19. In this document, Chile addresses many of the shortages and weaknesses affecting developing
countries' implementation of the SPS Agreement.  The document highlights a number of general and
specific issues to be addressed in technical cooperation activities.  In particular, in order to avoid
duplication of efforts, allow the maximization of resources and the establishment of priorities,technical assistance and cooperation programmes for implementation of the Agreement need to beG/SPS/GEN/332
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coordinated.  With regard to specific suggestions, the document identifies and elaborates on the needs
for:  the strengthening of sanitary programmes and services;  the improvement of the capacity to
prove sanitary conditions;  assistance on the determination of the appropriate level of protection;
adapting legislation;  furthering awareness of the Agreement;  the elaboration of risk analysis;  and
improved transparency procedures.
20. Chile suggests that in order to be optimized, technical cooperation should begin with a
country diagnosis in order to define the country's own needs and capacities, and once the needs have
been defined, to identify priorities on a thematic basis.  Addressing several other factors to be taken
into account, it is noted that technical cooperation should include and implement follow-up
programmes.
__________