G/TBT/GEN/277  
 
5 December 2019 
(19-8379) Page: 1/7 
Committee on Technical Barriers to Trade    
 
 
THEMATIC SESSION ON STANDARDS1 
12 NOVEMBER 2019, 10:00 -13:00  
Moderator 's Report2  
The Moderator of the Thematic Session on Standards  delivered this Report  at the WTO TBT 
Committee 's meeting of  13-15 November 2019.  
 
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At the Eighth Triennial Review, Members agreed to continue to hold thematic sessions in conjunction 
with regular meetings of the Committee , and to hold a session on standards in November  2019 with 
a focus on incorporating standards by reference in regulations.3 The pr ogramme for the thematic 
session  is contained in the Annex  of this report. The p resentations  summarized below  are available 
through  the WTO website.4  
Guiding questions:5 
• What are the policy considerations for incorporating standards by reference?  
• What guidelines exist for incorporating standards by reference?  
• What are best practices for incorporating standards by reference in regulations?  
 
Panel 1  
1.1.  Dr. Michelle Parkouda6 and Mr. Stephen Head7 (Canada) provided an overview on the 
topic of incorporation of standards by reference (IBR) in Canada. Dr. Parkouda noted that the 
Standards Council of Canada (SCC) reports to the Federal Government through the Minister of 
Innovation, Science and Economic Development (ISED) – and that it has several functions, including 
the coordination of standardization activities in Canada. She explained that a total of 3,143 active 
standards ha ve been published under SCC accr editation as of 31 March 2019. Dr. Parkouda then 
explained that IBR is a drafting technique used to include a document, such as a standard, within a 
legislative text as if it were reproduced word for word – it has the  same binding effect as the 
regulation.  Canadian federal regulators, as well as all provinces and territories, incorporate standards 
by reference in regulation. This can be done by "static reference" (as of a specific date and meaning 
that the subsequent revisions to the standards are not autom atically incorporated into the 
regulation); or by "ambulatory reference" (no mention of a date of issue or specific version). Mr. 
Head next outlined the benefits to using standards as a regulatory tool, including: (i) it allows 
regulators to make use of ex pertise in the standardization system to efficiently advance regulatory 
objectives; (ii) it supports a regulatory system and fosters innovation while ensuring that the needs 
of industry and the latest scientific trends and technologies are reflected; and, (iii) it helps balance 
the interests of diverse stakeholders. However, incorporating standards by references in regulation 
requires precision to facilitate trade. Therefore, SCC recommends regulators participate in the 
 
1 The final programme  was circulated  as G/TBT/GEN/272 . It is also in Annex I of this document.  
2 Ms. Göksu Tülümen  (Turkey) . This Report is provided on the Moderator's own responsibility.  
3 G/TBT/41 , para. 8.2.a.iv , footnote 299 . 
4 https://www.wto.org/english/tratop_e/tbt_e/thematic_session_standard_121119_e.htm . 
5 G/TBT/41 , para. 5.8.a . 
6 PhD, Manager Research, Standards Council of Canada.  
7 Manager, Strategic Policy and Sector Engagement , Standards Council of Canada.  G/TBT/GEN/277  
 
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  development of voluntary standards, i n particular those standards they incorporate by reference in 
regulation, to ensure they are aware of the revisions being made and to help ensure the standards 
continue to support their regulatory objectives.  
1.2.  Mr. HU Xiongwei8 (China ) provided an overview r egarding the status quo, reform and 
notification of Chinese mandatory standards. He explained that in accordance with China's 1998 
Standardization Law, national standards and sector standards are divided into mandatory and 
voluntary standards. In an effort  to integrate and streamline the large number of standards issued 
by multiple agencies, most mandatory sector and local standards have been abolished or converted 
into voluntary standards, reducing the number of mandatory national standards from 3,600 to 2 ,111. 
The on -going National Plan for Deepening Standardization Reform aims to further promote structural 
reform, specify scope of mandatory standards, optimize their management and promote their 
implementation.  According to China's 2018 Standardization Law , mandatory national standards shall 
be developed to address technical requirements for ensuring people 's health and the security of their 
lives and property, safeguarding national and eco -environmental security, and meeting the basic 
needs of economic and  social management. The draft document on Management Methods for 
Mandatory National Standards, which has also been notified to the WTO, is expected to be finalized 
by the State Administration for Market Regulation (SAMR) by the end of 2019. From 2015 to 
September 2019, China has notified 741 mandatory national standards, including 294 TBT 
notifications and 447 SPS notifications. Those mandatory national standards which are not in line 
with international standards and which may have a significant impact on i nternational trade are 
notified while those which are equivalent to international standards or which have no or little impact 
on international trade are not notified. Mr. Hu concluded by emphasizing that mandatory standards 
represent an important part of C hina's technical laws and regulations and that SAMR will continue 
to promote their reform. He invited other Members to follow the reform process and put forward 
valuable suggestions.  
1.3.  Ms Silvia Vaccaro9 (European Union ) provided an overview of the way to re ference standards 
in EU legislation. She stressed at the outset that the European standardization was founded on WTO 
principles of coherence, transparency, openness, consensus, voluntary application, and 
independence from special interests. Standardization  in the EU, she said, supports the single market 
including by eliminating unnecessary technical barriers to trade and facilitating the free movement 
of goods and services. Ms. Vaccaro stressed that standards are a market tool mostly without  a direct 
regulatory link. The y are developed at the initiative of industry, by industry experts, for the use of 
industry. As such, they are key to competitiveness; indeed, it is estimated that standards contributed 
up to 1% of national GDP to the economie s of EU member States. Standards are also a legislative 
tool. Under the "New Approach" to technical harmonization and standards, legislative harmonization 
is limited to essential requirements, technical specifications are laid down in harmonized European 
standards and products manufactured in compliance with these standards benefit from a 
presumption of conformity. Nevertheless, the application of European standards remains voluntary ; 
it is important to stress, she said, that standards are not legislation. They are a tool for freer trade 
and, by integrating national standards with regional - and, ultimately international ones  - are an 
important vehicle for facilitating international trade.  
1.4.  Mr. James Olshefsky10 (United States ) highlighted the benefits of comm on standards in 
reducing non -tariff barriers and costs of compliance, fostering innovating and technology transfer, 
boosting the competitiveness of SMEs and facilitating trade and growth. He said that ASTM 
International, a private not -for-profit organizati on founded in 1898 and based in Pennsylvania, 
United States, complies with the WTO's Six Principles for international standards development. ASTM 
has concluded Memoranda of Understanding with 113 partners around the world, providing access 
to its full coll ection of standards as well as membership in its technical committees at no charge. In 
return, the partners provide an report annual on the use of ASTM standards, which has so far 
revealed more than 8,400 citations of ASTM standards in 75 non -US nations. H e further pointed out 
that there are several ways to adopt and reference ASTM international standards, including 
incorporation by reference, which means that the standard is called out, either in whole or in part in 
an official government document and beco mes enforceable. Under the US National Technology 
 
8 Deputy Director of National Center of Standards Evaluation, State Administration for Mark et 
Regulation . 
9 Principal Administrator, Directorate -General for Internal Market, Industry, Entrepreneurship and SMEs, 
European Commission . 
10 Director of External Relations, ASTM International . G/TBT/GEN/277  
 
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  Transfer and Advancement Act of 1995, Federal Agencies are directed to adopt voluntary consensus 
standards where possible and participate in standard development organizations. Consequently, 
there are almos t 17,000 citations of standards in US regulations - with more references to ASTM 
International's standards than those of any other standards developer. The federal government is 
also a key partner and stakeholder in ASTM's activities with the participation  of over 1,000 of its 
representatives in about 90% of technical committees. Mr. Olshefsky added that federal agencies 
are encouraged to review and update referenced standards. For example, the 2008 Consumer 
Product Safety Improvement Act incorporated ASTM F963 Toy Safety Specification into law, with a 
special provision mandating that the latest revision of the ASTM standard becomes part of the law 
180 days after ASTM notifies the Consumer Product Safety Commission of the revision, unless the 
Commission deci des otherwise. He also explained that all ASTM standards referenced in US federal 
regulations are made available at no charge in ASTM's online reading room, in line with the federal 
government's reasonable access policy. He concluded by highlighting the be nefits of incorporating 
standards by reference and of multiple sources of international standards as they provided regulators 
with choice and flexibility.  
Panel 2  
1.5.  Ms Elise Owen11 (United States) pointed out that incorporating standards by reference 
facilita tes trade and helps regulatory agencies do a better job in achieving their objectives. She then 
provided an overview regarding the US laws and policies related to incorporation by reference, based 
in particular on her experience with the US Environmental P rotection Agency (EPA). The National 
Technology Transfer and Advancement Act (NTTAA) requires federal agencies to use "voluntary 
consensus standards" as a means to carry out policy objectives, except where they are inconsistent 
with applicable law or other wise impracticable. A voluntary consensus standard is a standard that is 
developed through an open and transparent process, taking into account stakeholder inputs in an 
even-handed manner. It is not the location of the entity developing the standard but it s standards -
development process that matters and the applicable criteria for this process are very similar to 
those found in the Six Principles adopted by the TBT Committee. Regulatory authorities need to 
submit an annual report to Congress justifying thos e instances where they have not relied upon 
available voluntary consensus standards, increasing the incentives for their use. In terms of policy 
guidance, the Office of Management and Budget (OMB) Circular A -119, which underwent a major 
revision in 2016, o utlines, in a very practical manner, the factors US federal agencies should consider 
when deciding to use standards.12 Despite some US -specific references, there is a lot of information 
in it that may be of interest to other WTO Members as well. Ms Owen the n explained the main 
responsibilities of a Standards Executive in a regulatory authority, including : (i) outreach to raise 
awareness on laws and policies related to use of standards ; (ii) keeping abreast of what other 
agencies in the US or elsewhere are do ing with regards to incorporation by reference ; (iii) identifying 
available standards for consideration, including those developed by trading partners or private 
bodies ; and (iv) ensuring that the standards incorporated by reference are "reasonably available". 
The four factors that are taken into accou nt in reaching a determination on availability are : (i) online 
access to a read -only copy during the comment period ; (ii) the cost of purchasing the standards ; 
(iii) the extent to which a particular level of access is needed to achieve regulatory objective s; and 
(iv) whether the developer can provide a summary of the content of the standard.  
1.6.  Ms Patricia Pledge13 (Canada ) provided an overview on the use of incorporation by reference 
in Canadian regulations. She explained that Canada had started relying on inc orporation by reference 
of standards, as well as other types of documents, as a regulatory tool about 30 years earlier and 
its use had increased exponentially in the past 10 years, with over 2,600 documents incorporated 
by reference in federal regulations as of this year. The advantages of incorporation by reference 
included relying on the expertise of other bodies, agility and responsiveness in case of ambulatory 
incorporation, enhanced regulatory cooperation and ability of regulator s to adjust content wit hout 
engaging the entire regulatory process. However, regulators must also consider the implications of 
this technique and ensure that the referenced materials are accessible, are available in both English 
and French in most instances and are closely monit ored to reflect any changes in the case of dynamic 
references. With respect to accessibility, amendments to the Statutory Instruments Act introduced 
in 2015 included an obligation for the regulation -making authority to ensure that the material 
referenced i s "accessible", without defining the term further. There was an on -going debate between 
 
11 Standards Executive, US Environmental Protection Agency . 
12 G/TBT/GEN/273 . 
13 General Counsel, Legislative Services Branch,  Department of Justice Canada.  G/TBT/GEN/277  
 
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  the federal government and the Standing Joint Committee for the Scrutiny of Regulations - a 
permanent Committee of Parliament, with members from the House of Commons an d Senate - 
regarding the meaning of accessibility. While the Committee was of the view that accessibility 
required availability without charge and in both languages, the government took the position that a 
standard could be accessible, even if there is a co st to purchase it, and that the information contained 
therein could be made available through alternative methods. In addition, there could be instances 
where unilingual incorporation by reference could be justified. Ms Pledge added that the Department 
of Justice had been working with other partners, including the SCC regarding the development of 
guidelines and with the Canada School of the Public Service towards the compilation of a complete 
inventory of documents incorporated by reference, possibly using "machine learning". Their goal 
was to address the Committee's concerns while maintaining access to such an important tool that 
was key to achieving government's regulatory objectives.  
1.7.  Mr. Alan McGuiness14 (Australia ) shared Australia's perspective on the be st practice use of 
standards and risk assessments in policy and regulation. Firstly, he pointed out that the entire 
technical infrastructure should be taken into account when embarking on a regulatory process, rather 
than each element being treated in isol ation, as this would achieve better policy outcomes and 
performance in the long run. Australia was proud of the open and transparent communication and 
partnership among its relevant policy and technical infrastructure organizations, namely the 
Department o f Industry, Innovation and Science, the National Measurement Institute, Standards 
Australia, the National Association of Testing Authorities, and the Joint Accreditation System of 
Australia and New Zealand. Second ly, he said that to facilitate trade and me et Australia's 
international obligations, the government had adopted the principle that "if a system, service or 
product has been approved under a trusted International Standard, regulators should not impose 
additional requirements, unless it can be demons trated that there is a good reason to do so." Third, 
he recalled that it was important to be ready to adapt to a changing social, technological and 
economic environment and also improve regulatory harmonization across all levels of government 
in federal sy stems such as Australia. With these considerations in mind, his department had released 
a publicly available "Best Practice Guide to Using Standards and Risk Assessment in Policy and 
Regulation". The Guide recognizes that different policy conditions requir e different policy approaches 
and addresses issues such as which standards to use (preferably relevant international standards), 
where to source an appropriate standard and how to reference it in regulation (direct or indirect, 
dated or undated). Mr. McGui nness then shared a case study regarding a successful collaboration 
between the Australian Department of Agriculture and Standards Australia on a water efficiency 
rating and labelling standard, which was expected to help contribute to significant reduction s in 
domestic water use by 2021 and which was also informing the development of an International 
Standard on rating water efficient products under the ISO.  
1.8.  Ms Lorenza Jachia15 (UNECE ) provided an overview of UN Economic Commission for Europe's 
work on best practices for standards -based and risk -based rule -making. She explained that UNECE 
is an inter -governmental organization with 56 members and a broad, often global, mandate including 
the topics of trade, environment, transport, sustainable energy and forest ry. The UNECE Working 
party on Regulatory Cooperation and Standardization Policies is a forum that brings together public 
and private sector stakeholders to share best practices, develop recommendations, implement 
sectoral initiatives and participate in ca pacity building in areas including standardization, risk 
management, regulatory cooperation and gender -responsive standards. Referring to the Working 
Party's Recommendation D on Reference to Standards, she recalled that referencing standards in 
regulations  prevents and eliminates technical barriers to trade, increases transparency and 
accountability of legislative and regulatory work, promotes innovation and transfer of technology 
and allows regulatory authorities to take full advantage of the knowledge and  expertise contained in 
standards. This Recommendation, which was last revised in 2013, is the only tool adopted by an 
inter-governmental body to recommend that policymakers "whenever possible make use of 
international, regional and national standards in r egulatory work". It is used by several countries, 
such as the Russian Federation, as the basis for their regulatory approach. It recommends that 
where possible, the voluntary nature of standards be maintained through indicative referencing – as 
exclusive r eferencing renders the standard mandatory. The Recommendation also advises 
authorities to request information from national standardization bodies related to potentially relevant 
standards at international, regional or national level; participate in standa rds development; and 
agree on ways to ensure that referenced standards are made available to all potentially interested 
 
14 Assistant Manager, Department of Industry, Innovation and Science . 
15 Secretary of the Working Party on Regulatory Cooperation and Standardization Policies (W.P.6) . G/TBT/GEN/277  
 
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  foreign and domestic parties. In addition, it recognizes the key role that standards can play in 
regulatory work to attain the Sustainab le Development Goals (SDGs). In this context, the UNECE 
has developed a Portal on Standards for the SDGs, which identifies standards that help realize 
specific goals and targets and also includes case studies and training materials. Ms Jachia concluded 
by making reference to UNECE's complementary work on risk management in the regulatory 
framework, education on standardization and gender -responsive standards.  
COMMENT BY MODERATOR  
1.9.  On a personal note, the Moderator  made the following remarks.  
1.10.   The thematic se ssion on standards had a specific focus on incorporating standards by 
reference in regulations, as foreseen in the Eight Triennial Review. Within this scope, the presenters 
focused particularly on policy considerations as well as existing guidelines and be st practices for 
incorporating standards by reference in regulations. The interventions highlighted certain  key take -
away points with respect to use of standards, be they local, national, regional or international.  
1.11.   Firstly, there are significant benefits  to referencing standards as a regulatory tool. 
Incorporating standards by reference in regulations can promote the harmonization of regulations 
and thus, reduce compliance costs and unnecessary barriers to trade. This in turn facilitat es trade 
and enhances market access opportunities. Incorporating standards by reference in regulations is 
also beneficial for regulations to keep pace with latest developments and innovations, but on certain 
conditions, which takes us to the issue of guide lines in incorporating standards by reference.  
1.12.   In this context, the second key -take away from the presentations is that due consideration 
must be given to a number of factors  when referencing standards. This includes, for example, 
which standards to choos e; the level of stakeholder involvement in the development of the standard; 
the accuracy in referencing, accessibility of referenced standards and the type of reference to be 
given., i.e. static or ambulatory, direct or indirect. Especially in the case of static references, 
attention must also be paid to ensure that the referenced standards do not go out of date and 
become redundant.  
1.13.   Third, monitoring  is important. Monitoring referenced standards in regulations after their 
incorporation has been highlighte d as key for the system to keep pace with technological 
developments and ensure consistency and predictability.  
1.14.   Finally, on participation in standards developmen t: the efficiency and effectiveness of 
IBR in regulations increases  with the participation of more countries in the development of 
international standards. The more countries that participate in the development of international 
standards, the more they will reference these in their national and regional regulations - further 
facilitating trade.  
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  G/TBT/GEN/277  
 
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  ANNEX  
 
THEMATIC SESSION ON STANDARDS  
12 NOVEMBER 2019 , 10:00 -13:00  
Programme1 
At the Eighth Triennial Review, Members agreed to continue to hold thematic sessions in conjunction 
with its regular meetings during 2019 to 2021, with a view to further deepening the Committee's 
exchange of experiences on specific topics, and to hold a se ssion on standards in November  2019 
with a focus on incorporating standards by reference in regulations.2  
 
_______________  
 
 
This thema tic session will be moderated by:  Ms. Göksu Tülümen  (Turkey)  
 
Guiding questions:3 
• What are the policy considerations for incorporating standards by reference ? 
• What guidelines  exist for incorporating standards by reference ? 
• What are best practices for incorporating standards by reference in regulations ? 
 
Speakers are invited to make presentations not  exceeding 15 minutes.  
 
Panel 1  
a. Canada : Incorporation of Standards by Reference in Canada: Considerations for Trade , 
Ms Michelle Parkouda , PhD, Manager Research, Standards Council of Canada, and Mr. 
Stephen Head, Manager, Strategic Policy and Sector Engage ment, Standards Council of 
Canada.  
b. China : China's experiences on mandatory standards , Mr. HU Xiongwei, Deputy Director 
of National Center of Standards Evaluation, State Administration for Market Regulation . 
c. European Union : Referencing standards in EU legis lation , Ms Silvia Vaccaro, Principal 
Administrator, Directorate -General for Internal Market, Industry, Entrepreneurship and 
SMEs, European Commission . 
d. United States : ASTM International Experience with Incorporation by Reference , 
Mr. James Olshefsky, Director of External Relations, ASTM International.  
Panel 2 
a. United States : US Regulatory Perspective on Incorporation by Reference , Ms Elise 
Owen, Standards Executive, US Environmental Protection Agency . 
b. Canada : The Use of Incorporation by Refer ence in Canadian Federal Regulations , Ms 
Patricia Pledge, General Counsel, Legislative Services Branch, Department of Justice 
Canada.  
 
1 The d raft programme is contained in JOB/TBT/341/Rev.1 . 
2 G/TBT/41 , para. 8.2.a.iv , footnote 299 . 
3 G/TBT/41 , para. 5.8.a . G/TBT/GEN/277  
 
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  c. Australia:  Australia's perspective on the best practice use of standards and risk 
assessments in policy and regulation , Mr. Alan McGuiness, Assistant Manager, 
Department of Industry, Innovation and Science . 
d. Canada : Standards -based, risk -based rule -making: best practice from UNECE , 
Ms Lorenza Jachia, UNECE.  
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