RESTRICTEDWORLD TRADE
ORGANIZATIONG/TBT/W/138
28 July 2000
(00-3117)
Committee on Technical Barriers to Trade Original:  English
GOOD PRACTICE FOR THE ACCEPTANCE OF RESULTS OF
CONFORMITY ASSESMENT
SECOND TRIENNIAL REVIEW OF THE AGREEMENT
Contribution from Australia
I. INTRODUCTION
1. Articles 5 to 9 of the Agreement on Technical Barriers to Trade set out detailed procedures to
be applied by central government (Articles 5, 6 and 9), local government (Article 7) and
non-governmental bodies (Article 8) in assessing conformity of imported products with domestic
requirements.  The Agreement requires Member governments to take such reasonable action as maybe available to them to ensure that all bodi es involved in conformity assessment adhere to
WTO principles, ie. transparency, non-discrimination and national treatment.
2. Increasingly, governments are moving away from the direct provision of conformity
assessment services and are relying on the private sector for the provision of such services.  In some
cases, for example where specific activities relating to public health and safety are concerned,governments may choose to modify their approaches.  However, for the most part, government policy
in this area is leading to the emergence of a number of different mechanisms for acceptance of the
results of conformity acceptance.  Members' experience in this area suggests a need for a set of
principles which all bodies involved in acceptance of the results of conformity assessment should be
encouraged to apply.
3. The following draft principles are proposed as a means of assisting Member governments to
ensure good practice for the acceptance of the results of conformity assessment.
4. These principles do not impose any additional obligations on Members beyond those already
required by the TBT Agreement.  Rather, it is envisaged they would assist Member governments to
ensure that acceptance of the results of conformity assessment operates consistently with the
objectives and requirements of the TBT Agreement.
II. DRAFT PRINCIPLES FOR GOOD PRACTICE FOR THE ACCEPTANCE OF THE
RESULTS OF CONFORMITY ASSESSMENT
5. Member governments should encourage all bodies engaged in acceptance of the results of
conformity assessment to:
(a) Ensure their procedures for the acceptance of the results of conformity assessment are
transparent and non-discriminatory;
(b) Ensure that procedures for the acceptance of the results of conformity assessment are
applied no less favourably to imported goods than to domestic goods;G/TBT/W/138
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(c) Take account of the specific characteristics of particular sectors in selecting
mechanisms for the acceptance of the results of conformity assessment;
(d) Ensure greater cooperation to address different mechanisms for acceptance of the
results of conformity assessment which may apply in importing and exporting
markets through:
• the provision of arrangements for consultations aimed at reaching mutually
acceptable arrangements;
• recognition that different standards, regulations and administrative
procedures in different markets can achieve the same outcomes(ie. equivalence); and
• assessment by accreditation bodies of foreign conformity assessment bodies
against the requirements in the foreign markets (ie. cross border accreditationof conformity assessment bodies where accreditation does not exist).
(e) Work towards harmonising practices and criteria on as wide a basis as possible
through:
• playing a full part, within the limits of their resources, in the preparation of
international standards for testing and certification procedures and criteria;
and
• participating in confidence building programs and proficiency testing
programs in order to build confidence within all regimes.G/TBT/W/138
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ATTACHMENT
INDICATIVE LIST OF MECHANISMS FOR ACCEPTANCE OF THE RESULTS
OF CONFORMITY ASSESSMENT
1. Following is an indicative list of mechanisms for acceptance of the results of conformity
assessment currently applied in Member countries, and a brief description of the way in which such
mechanisms operate.  This list is not intended to be exhaustive, and Members may wish to consider
other mechanisms for acceptance of the results of conformity assessment to which the principles
should apply.
2. Member governments and non-government bodies may choose to apply different mechanisms
for acceptance of the results of conformity assessment across different sectors, and may also choose to
apply more than one mechanism within individual sectors.
(a) Co-operative (voluntary) arrangements between domestic and foreign conformity
assessment bodies;
(b) Mutual recognition agreements for conformity assessment to specific regulations;
(c) Government designation;
(d) Manufacturer’s / Supplier’s declarations; and
(e) Accreditation of bodies carrying out various types of conformity assessment1.
3. In applying these approaches it may be necessary to take account of variations in standards in
different countries and perceived levels of risk in the acceptance of results.
                                                     
1Accreditation
There is a need to distinguish between accreditation and conformity assessment.  Accreditation bodies
sit above conformity assessment bodies in that they give recognition that conformity assessment bodies arecarrying out product certification and system certification to  particular international standards and guides.  Some
accreditation bodies undertake laborator y accreditation which recognizes the competence of the laboratory, in
accordance with international standards and guides, to co nduct particular testing.  The accreditation includes a
large measure of peer evaluation of competence of individuals and the assessment of the suitability ofmanagement systems for specific purposes.  Following are explanations of commonly used terms:
Conformity Assessment:  any procedures used, directly or indirectly, to determine that a product, process or
service conforms to specified requirements (ISO/IEC Guide 2).Accreditation:  procedure by which an authoritative body gives formal recognition that a body or person is
competent to carry out specific tasks (ISO/IEC Guide 2).Laboratory Accreditation:  formal recognition that a test ing laboratory is competent to carry out specific tests or
types of tests (ISO/IEC Guide 2).
Accreditation Body:  body that conducts and admini sters an accreditation system and grants accreditation
(ISO/IEC Guide 2).G/TBT/W/138
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A. CO-OPERATIVE (VOLUNTARY ) A RRANGEMENTS BETWEEN DOMESTIC AND FOREIGN
CONFORMITY ASSESSMENT BODIES
4. This includes arrangements between accreditation bodies as well as arrangements between
individual laboratories and certification bodies.  Agreements or arrangements between accreditation
bodies are specifically addressed under Item 5.
5. In the course of normal commerce, agreements between individual laboratories and
certification bodies have been common for many years and have been developed for the commercial
advantage of the participants.  Some of these agreements have been recognised by governments from
time to time as the basis for acceptance of test results and certification activities in the mandatory
sector.
B. MUTUAL RECOGNITION AGREEMENTS FOR CONFORMITY ASSESSMENT TO SPECIFIC
REGULATIONS
6. Regulatory authorities in different countries with similar areas of responsibility often enter
into agreements to act on each other’s behalf for the purposes of acceptance of the results of
conformity assessment originating in the territory of either party.
C. GOVERNMENT DESIGNATION
7. Many governments appoint specific laboratories and certification bodies to undertake
conformity assessment for their purposes.  Such organisations are usually, but not always, located in
the country of import.
D. MANUFACTURER ’S/SUPPLIER ’S DECLARATIONS
8. Under this approach to conformity assessmen t, the manufacturer/supplier rather than the
regulatory authority takes on the responsibility for ensuring that products entering a market complywith the mandatory technical regulations.  Manufacturer's or supplier's declarations do not imply no
conformity assessment at all.  Assessment may be undertaken, on the choice of the supplier, by any
one of a number of conformity assessment bodies, or by the supplier’s own internal test facility.
9. This system is often predicated on:
(a) adequate market surveillance;
(b) substantial penalties for false or misleading declarations;
(c) an appropriate regulatory environment;
(d) an appropriate product liability regime.
E. A
CCREDITATION OF BODIES CARRYING OUT VARIOUS TYPES OF CONFORMITY ASSESSMENT
10. The private sector in many Member countries has been working towards harmonisation of
international practices for accreditation of laboratory testing and certification of quality management
systems and product certification.  This has resulted in the development of global networks tofacilitate recognition and acceptance of the results of conformity assessment.G/TBT/W/138
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11. These networks take the form of Mutual Recognition Agreements or Arrangements whereby
each participant undertakes to recognise the accreditation granted or certificates issued by any other
party to the agreement as being equivalent to that granted by itself and to promote that equivalence
throughout its territory of operation.
12. There are a number of international standards and guides for such arrangements.
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