G/SPS/GEN/2098  
 
1 March 2023  
(23-1400) Page: 1/9 
Committee on Sanitary and Phytosanitary Measures  Original: English  
 
WORKING GROUP ON APPROVAL PROCEDURES  
COLLECTION OF AVAILABLE TOOLS  AND RESOURCES  
NOTE BY THE WORKING GROUP  
The Report of the Fifth Review of the Operation and Implementation of the SPS Agreement  
(Fifth  Review Report)1, adopted by the Committee on Sanitary and Phytosanitary Measures 
(SPS Committee) on 31 July 2020, include d several recommendations on various to pics, including a 
recommendation that the SPS Committee create a working group open to the participation of all 
Members and Observers to continue to examine the topic of approval procedures.2 
The SPS Committee Working Group on Approval Procedure s (Working  Group)  started its work in 
November 202 0, along the lines of Canada's proposed  guidance set out in document 
G/SPS/W/328/Rev.1 , as updated by Canada and Paraguay in document G/SPS /W/328/Rev.1/Add.1 . 
The Working Group concluded its work in  March 2023.  
Twenty -five Members  participated in the Working Group: Argentina, Belize, Brazil, Canada, Chile, 
Colombia, Costa Rica, Ecuador, the European Union, Japan, Mexico, New  Zealand, Norway, 
Paraguay, Peru, the Philippines,  the Russian Federation, Singapore, South Africa, Switzerland, 
Chinese  Taipei, Ukraine, the United Kingdom, the United  States, and Uruguay.  The OECD  was also 
a participant. Canada and Paraguay act ed as co-stewards to the Working Group. 
In the W orking Group discussions , participants  identified existing available tools and resources  as 
they apply to approval procedures. These tools and resources  are indicated in the table below, 
organized by key themes . The identified tools and resources  may be applicable to more than one 
theme;  however each tool or best practice  has only been included once for simplicity.3 
This is not an exhaustive list of tools and resources , and it has been developed to facilitate t he work 
of the Working Group. It does not represent a legal interpretation of the rights and obligations under  
the Agreement on the Application of Sanitary and Phytosanitary Measures  (SPS Agreement) and 
does not in any way exemplify a legal definition.  
As reflected in document G/SPS/ GEN/2099, the Working Group recommends  that this Collection of 
Available Tools and Resources be kept up to date by the SPS Committee with the assistance of the 
Secretariat . 
 
 
1 See documents G/SPS/64  and G/SPS/64/Add.1 . 
2 The specific recommendation is containe d in paragraph 3.12 of the Fifth Review Report ( G/SPS/64 ). 
3 The order in which these tools and resources have been included in the table below does not reflect 
any hierarchy among them or any particular level of importance.   
  G/SPS/GEN/2098  
 
- 2 - Tool or resource  What is it?  Where to find it?  
1. General  
WTO Thematic Session on Approval 
Procedures, 5  November 2019  Presentations from and webcasting of the Thematic Session.  https://www.wto.org/english/tratop_e/sps_e/
workshop05112019_e.htm  
SPS Committee Thematic Workshop on 
Control, Inspection and Approval 
Procedures (Annex C) , 9-10 July 2018  Presentations from the Workshop.  https://www.wto.org/english/tratop_e/sps_e/
workshop910718_e.htm  
SPS Committee Events, Workshops and 
Training  Events and resources listed on th is page range from special 
information sessions of the SPS Committee to workshops, 
training sessions and training material, some organized in 
conjunction with other organizations, including the Standards and 
Trade Development Facility (STDF).  https://www.wto.org/english/tratop_e/sps_e/
events_e.htm  
2. Timing and Undue Delays  
Global Low-Level Presence Initiative (GLI) 
Communiqué on Approaches to Reduce 
Asynchronous Authorizations in Food and 
Feed Derived From Recombinant -DNA 
(rDNA) Plant  Communiqué with the objective of offering a broad range of 
potential approaches for governments, technology developers , 
and othe r stakeholders to consider to minimize  occurrences of 
asynchronous authorizations of food and feed derived from rDNA 
plants.  https://llp -gli.org/llp -communique.html  
GLI Principles, Criteria and Pract ical 
Approaches for Addressing Low -Level 
Presence (LLP) of Food in International 
Food and Feed Trade of Plant Material  Document suggesting tools for addressing trade disruptions due 
to LLP, setting out guiding principles for the development of 
practical approaches to addressing LLP by governments and for 
bolstering continued industry stewardship efforts, supporting and 
encouraging essential elements of a given approach or 
approaches for addressing LLP, and supporting consideration of 
the possible approaches by governments and industry as practical 
means to address LLP.  https://llp -gli.org/llp -principles.html  
GLI Information and Resources  Collection of resources offering approaches and principles for 
members, observers, international organizations , and individuals 
to consider to minimize asynchronous approvals and manag e LLP.  https://llp -gli.org/llp -resources.html   
  G/SPS/GEN/2098  
 
- 3 - Tool or resource  What is it?  Where to find it?  
3. Transparency  
ePing SPS&TBT Platform  The new ePing SPS&TBT Platform  integrates all SPS and TBT 
transparency tools into a single platform. It includes various 
functions related to notifications, STCs, and information 
exchange. Through the ePing SPS&TBT Platform, users can 
browse notifications on new and updated product reg ulations and 
sign up to receive daily or weekly email alerts and to follow 
notifications on products and/or markets of interest. Users can 
also find information on trade concerns discussed in the WTO SPS 
and TBT committees. Information on enquiry points an d 
notification authorities can also be located in the Platform.  
The ePing SPS&TBT Platform enables Members  to submit 
notifications online. This improved functionality allows Members 
to fill in all types of notification templates, improve national 
coordinat ion with regulatory agencies, provide more accurate and 
complete data, prepare notification models to increase efficiency , 
and keep track of all notifications submitted.  https://eping.wto.org/en/  
Thematic SPS Work shop on Transparency, 
20 June 2022  Presentations from the Workshop, to serve as a reference for 
Members looking to strengthen their internal capacities to align 
with the SPS Agreement 's transparency provisions.  https://www.wto.org/english/tratop_e/sps_e/
workshop_transparency_20jun22_e.htm  
Thematic SPS Workshop on Transparency 
and Coordination, 15 -16 July 2019 Presentations from the Workshop, to serve as a reference for 
Members looking to strengthen their internal capacities to align 
with the SPS Agreement 's transparency provisions.  https://www.wto.org/english/tratop_e/sps_e/
workshop15072019_e.htm  
SPS Workshop on Transparency, 
30-31 October 2017  Presentations from the Workshop, to serve as a reference 
regarding implementation of the SPS Agreement 's transparency 
provisions.  https://www.wto.org/english/tratop_e/sps_e/
wkshopttranparency_oct17_e.htm  
Workshop  on Transparency , 
12-13 October 2015  Presentations from the Workshop.  https://www.wto.org/english/tratop_e/sps_e/
wkshop_oct15_e/wkshop_oct15_e.htm  
Workshop on the Transparency Provisions 
of the SPS Agreement , 18 and 22 October 
2010 Presentations from the Workshop.  https://www.wto.org/english/tratop_e/sps_e/
wkshop_oct10_e/wkshop_oct10_e.htm  
Workshop on Transparency, 
15-16 October 2007  Materials from the Workshop.  https://www.wto.org/english/tratop_e/sps_e/
wkshop_oct07_e.htm   
  G/SPS/GEN/2098  
 
- 4 - Tool or resource  What is it?  Where to find it?  
4. Communication or Information Exchange  
OECD Guidance for Country Data Review 
Reports o n Plant Protection Products and 
their Active Substances (Monograph 
Guidance)  Guidance as to the format and presentation of the documentation 
to be prepared by the regulatory authorities in the context of 
applications for the approval of particular active s ubstances made 
to them, for the registration of plant protection products, for the 
establishment of maximum residue limits (MRLs) , or for the 
establishment of import tolerances.  https://www.oecd.org/env/ehs/pesticides -
biocides/38588738.pdf  
GLI Memorandum on Improving Access to 
Data and Information for Food and Feed 
Safety Assessment in Situations of Low -
Level Presence (LLP) of Recombinant -DNA 
(rDNA) Plant Material  Memorandum expressing the common understanding among GLI 
member countries that governments should be encouraged to 
share data and information about completed food and feed safety 
assessments of rDNA plant material with importing country 
governments in inst ances of LLP in imported food and feed.  https://llp -gli.org/llp -memorandum.html  
5. Justification  
Guidance for Risk Management Options in 
Light of Different Risk Assessment 
Outcomes  Information document . http://www.fao.org/fileadmin/user_upload/co
dexalimentarius/committee/docs/INF_CCCF_
e.pdf 
International Seed Testing Association 
(ISTA) Rules for Seed Testing  Standard procedures for sampling and testing of seeds, including 
genetically modified ( GM) seeds for detection of 
approved/unapproved events present in imported consignments 
and also GM seeds for export to countries which require GM seed 
testing. It ensures seed quality and accuracy of testing by 
uniformity in seed sampling and testing.  https://www.seedtest.org/en/publications/int
ernational -rules-seed-testing.html   
FAO GM Foods Platform and Resources  Online platform to share information on safety assessment of 
foods derived from rDNA plants authorized in accordance with 
Codex Guidelines. This Platform also facilitates the decision -
making process with regard to possible LLP situations, through 
the effective utilization of food safety assessment in situations of 
LLP of rDNA plant materials in food.  
Resources section providing access to Codex documents, 
databases of safety assessments, training tools, and  other 
relevant resources.  http://www.fao.org/food/food -safety -
quality/gm -foods -platform/en/  
 
 
 
http://www.fao.org/food/food -safety -
quality/gm -foods -platform/resources/en/  
OECD Work on Safety of Novel Foods and 
Feeds and on the Harmonisation of 
Regulatory Overs ight in Biotechnology  OECD work on biosafety and food/feed safety assessment, which 
aims to assist countries evaluating the potential risks of 
transgenic products, ensure high safety standards, and foster 
mutual understanding of relevant regulations.  https://www.oecd.org/chemicalsafety/biotrac
k/oecdandrisksafetyassessmentinmodernbiot
echnology.htm   
  G/SPS/GEN/2098  
 
- 5 - Tool or resource  What is it?  Where to find it?  
Repos itory of science -based consensus documents which are 
mutually acceptable among member countries and contain 
technical information for use during the regulatory assessment of 
products of biotechnology.  
6. Harmonization with International Standards  
Codex Procedural Manual, 26th edition  Manual to help Members participate effectively in the work of the 
joint FAO/WHO Food Standards Programme. Its sets out the basic 
rules of procedures, procedures for the elaboration of Codex 
standards and related texts, basic definitions , and guidelines for  
the operation of Codex committees.  http://www.fao.org/documents/card/en/c/I86
08EN/  
Codex Principles for Food Import and 
Export Inspection and Certification  Codex guidance related to certific ation.  CAC/GL 20 -1995 
Codex Guidelines for the Design, 
Operation, Assessment and Accreditation 
of Food Import and Export Inspection and 
Certification Systems  Codex guidance related to certification.  CAC/GL 26 -1997 
Codex Principles and Guidelines for the 
Exchange of Information between 
Importing and Exporting Countries to 
Support the Trade in Food  Codex guidance related to certification.  CAC/GL 89 -2016 
Codex Guidelines for Food Import C ontrol 
Systems  Codex guidance related to certification.  CAC/GL 47 -2003 
Codex Guidelines for Design, Production, 
Issuance and Use of Generic Official 
Certificate s Codex guidance related to certification.  CAC/GL 38 -2001 
Codex Principles and Guidelines for the 
Exchange of Information in Food Safety 
Emergency Situations  Codex guidance related to certification.  CAC/GL 19 -1995 
Codex Principles and Guidelines for 
National Food Control Systems  Codex guidance related to certification.  CAC/GL 82 -2013 
Codex Guidelines for the  Exchange of 
Information between Countries on 
Rejections of Imported Foods  Codex guidance related to certification.  CAC/GL 25 -1997 
Codex Principles and Guidelines for 
Monitoring the  Performance of National 
Food Control Systems  Codex guidance related to certification.  CXG 91-2017  
  G/SPS/GEN/2098  
 
- 6 - Tool or resource  What is it?  Where to find it?  
Codex Principles for Traceability/Product 
Tracing as a Tool Within a Food Inspection 
and Certification System  Codex guidance related to certification.  CAC/GL 60 -2006 
Codex Guidelines for the Development of 
Equivalence Agreements Regarding Food 
Imports and Export Inspection and 
Certification Systems  Codex guidance related to certification.  CAC/GL 34 -1999 
Codex Working Principles for Risk Analysis 
for Foo d Safety for Application by 
Governments  Codex guidance related to risk assessments.  CAC/GL 62 -2007 
Codex Principles for the Risk Analysis of 
Foods Derived from Modern Biotechnology  Codex guidance related to biotechnology.  CAC/GL 44 -2003 
Codex Guideline for the Conduct of Food 
Safety Asse ssment of Foods Derived from 
Recombinant -DNA Plants  Codex guidance related to biotechnology.  CAC/GL 45 -2003 
Codex Guideline for the Conduct of Food 
Safety Assessment of Foods Produced 
Using Recombinant -DNA Microorganisms  Codex guidance related to biotechnology.  CAC/GL 46 -2003 
Codex Guideline for the Conduct of Food 
Safety Assessment of Foods Derived from 
Recombinant -DNA Animals  Codex guidance related to biotechnology.  CAC/GL 68 -2008 
Codex Guidelines on Performance Criteria 
and Validation of Methods for Detection, 
Identification and Quantification of 
Specific DNA Sequences and Specific 
Proteins in Foods  Codex guidance related to biotechnology.  CAC/GL 74 -2010 
Codex Guidelines on the Judgement of 
Equivalence of Sanitary Measures 
associated with Food Inspection and 
Certification Systems  Codex guidance related to equivalence.  CAC/GL 53 -2003  
Codex Food Control Laboratory 
Management: Recommendations  Codex guidance related to methods of analysis.  CAC/GL 28 -1995 
Codex Guidelines for the Assessment of 
the Competence of Testing Laboratories 
Involved in the Import and  Export Control 
of Food  Codex guidance related to methods of analysis.  CAC/GL 27-1997 
Codex Harmonized Guidelines for Internal 
Quality Control in Analytical Chemistry 
Laboratories  Codex guidance related to methods of analysis.  CAC/GL 65 -1997  
  G/SPS/GEN/2098  
 
- 7 - Tool or resource  What is it?  Where to find it?  
Codex Guidelines for Settling Disputes 
over Analytical (Test) Results  Codex gui dance related to methods of analysis.  CAC/GL 70 -2009 
Codex Principles for the Use of Sampling 
and Testing in International Food Trade  Codex guidance related to methods of analysis.  CAC/GL 83 -2013 
Codex Guidelines on Performance Criteria 
for Methods of Analysis for the 
Determination of Pesticide Residues in  
Food and Feed  Codex guidance related to pesticide residues.  CXG 90-2017 
WOAH Handbook on Import Risk Analysis 
for Animals and  Animal Products, 
Introduction and Qualitative Risk Analysis  WOAH  handbook.  https://rr -africa.woah.org/wp -
content/uploads/2018/03/hand book_on_impo
rt_risk_analysis_ -_oie_ -_vol__i.pdf   
WOAH Terrestrial Animal Health Code - 
Chapter 2.1 - Import Risk Analysis  WOAH  standards.  https://www.woah.org/fileadmin/Home/eng/
Health_standards/tahc/2018/en_chapitre_im
port_risk_analysis.htm   
WOAH Aquatic Animal Health Code - 
Chapter 2.2 - Import Risk Analysis  WOAH  standards.  https://www.woah.org/fileadmin/Home/eng/
Health_standards/aahc/2009/en_chapitre_1.
2.2.htm#chapitre_1.2.2   
World Animal Health Information System 
(WAHIS)  WOAH  database, which provides access to details of countries' 
current animal health situation, as well as their notification record 
over the years and other relevant animal health information.  https://wahis.wo ah.org/#/home   
WOAH  Official Disease Status  WOAH  official recognition of the animal health status of countries 
or zones for six diseases: foot and mouth disease (FMD), African 
horse sickness (AHS), classical swine fever (CSF), contagious 
bovine pleuropneu monia (CBPP), peste des petits ruminants 
(PPR) , and bovine spongiform encephalopathy (BSE).  https://www.woah.org/en/what -we-
do/animal -health -and-welfare/o fficial -
disease -status/   
WOAH  Self-declared Disease Status  WOAH  system to allow countries to communicate self -declaration 
of disease freedom for diseases (excluding the six diseases 
subject to official recognition by WOAH ). This is an open 
mechanism, unde r the responsibility of each WOAH  Member, 
which decides to share the information supporting a claim of 
freedom from a given WOAH -listed disease, based on the relevant 
WOAH  standards.  https://www.woah.org/en/what -we-
offer/self -declared -disease -status/   
WOAH  Performance of Veterinary Services 
(PVS) Pathway  Reports and relevant information relating to the PVS Pathway, 
WOAH's  capacity -building programme for the sustainable 
improvement of national Veterinary Services. The PVS Pathway 
provides an external perspective that analyses the structure, 
functioning and performance of a country's Veterinary Services, 
highlights strengths , and identifies gaps and opportunities for 
improvements.  https://www.woah.org/en/what -we-
offer/improving -veterinary -services/pvs -
pathway/   
 
 
  
  G/SPS/GEN/2098  
 
- 8 - Tool or resource  What is it?  Where to find it?  
Available reports include: PVS Evaluation reports assessing the 
extent to which a country's Veterinary Services comply with 
WOAH  standards; Veterinary Legislation Identification Mission 
reports analysing the current state of veterinary legislations; and 
PVS Gap Analysis reports identifying priority goals, as well as 
strategies, activities and a rough estimate of the investments 
required to achieve these objectives.  https://www.woah.org/en/what -we-
offer/improving -veterinary -services/pvs -
pathway/pvs -pathway -state-of-play-and-
mission -reports/   
WOAH Compartmentalisation  Guidelines – 
African Swine Fever – Biosecurity checklist  WOAH  outcome -based biosecurity checklist for ASF -free 
compartments.  https: //www.woah.org/en/document/compart
mentalisation -guidelines -african -swine -fever-
biosecurity -checklist/   
WOAH  Expertise  Network  Network of WOAH  Collaborating Centres and WOAH  Reference 
Laboratories, which contribute to the work of WOAH  to ensure 
that standards, guidelines , and recommendations are 
scientifically sound and up  to date. https://www.woah.org/e n/what -we-
offer/expertise -network/   
WOAH  Register of Diagnostic Kits  WOAH  register of diagnostic kits certified as validated as fit for 
purpose, which means that the kit has to be validated to such a 
level to show that the kit's results can be interpreted to have a 
defined meaning in terms of diagnosis or another biological 
prope rty being examined.  https://www.woah.org/en/what -we-
offer/veterinary -products/diagnostic -kits/the -
register -of-diagnostic -kits/  
International Standard for Phytosanitary 
Measures 2: Framework for Pest Risk 
Analysis  IPPC standards.  https://assets. ippc.int/static/media/files/publi
cation/en/2019/05/ISPM_02_2007_En_Fram
ework_PRA_2019 -04-
30_PostCPM14_InkAm.pdf  
International Standard for Phytosanitary 
Measures 3: Guidelines for the Export, 
Shipment, Import and Release of 
Biological Control Agents and o ther 
Beneficial Organisms  IPPC standards.  http://www.fao.org/3/j5365e/j5365e.pdf  
International Standard for Phytosanitary 
Measures 20: Guidelines for a 
Phytosanitary Import Regulatory System  IPPC standards.  http://www.fao.org/3/y5721e/y5721e.pdf  
International Standard for Phytosanitary 
Measures 21: Pest Risk Analysis for 
Regulated Non -Quarantine Pests  IPPC standards.  https://assets.ippc.int/static/media/files/publi
cation/en/2019/05/ISPM_21_2004_En_PRA_
RNQPs_2019 -04-30_PostCPM14_InkAm.pdf  
International Stand ard for Phytosanitary 
Measures 11: Pest Risk Analysis for 
Quarantine Pest s IPPC standards.  https://assets.ippc.int/stat ic/media/files/publi
cation/en/2019/05/ISPM_11_2013_En_PRA_
QPs_2019 -04-30_PostCPM14_InkAm.pdf   
  G/SPS/GEN/2098  
 
- 9 - Tool or resource  What is it?  Where to find it?  
International Standard for Phytosanitary 
Measures 32: Categorization of 
Commodities  According to their Pest Risk IPPC standards.  https://assets.ippc.int/static/media/files/publi
cation/en/2016/01/ISPM_32_2009_En_2015 -
12-22_PostCPM10_InkAmReformatte d.pdf 
7. Regulatory Cooperation  
Enabling Access to Tools and 
Technologies: Towards Safer and More 
Sustainable Agriculture Through 
Regulatory Collaboration, Submission from 
Brazil, Kenya, Paraguay,  and 
the United  States of America  Compilation of concepts that can be employed, on a volunta ry 
basis, to improve and streamline regulatory processes, while 
safeguarding human, plant , and animal health. This compilation 
serves as a resource, in particular for authorities with capacity 
constraints to help identify regulatory efficiencies that can l ead to 
greater and faster market access. This compilation refers to tools 
and technologies, although the general concepts are applicable to 
a variety of market access requests. These concepts include 
common application requirements, joint risk assessments,  data 
portability, adaptation to regional conditions, unilateral 
recognition, mutual recognition, familiarity, history of safe use, 
equivalence, and harmonization.  G/SPS/W/317  
APEC, A Trade Facilitative Approach to 
Pesticide  MRL Compliance  Brochure providing an overview of the benefits to trade 
associated with harmonized MRLs.  http://mddb.apec.org/Documents/2018/SCS
C/WKSP8/18_scsc_wksp8_003.pdf   
Crop Life's Regulatory Harmonization 
Webpage  Example of regulated community's contribution to promoting and 
advancing regulatory harmonization.  https://croplife.org/plant -
biotechnology/regulatory -2/regulatory -
harmonization/  
Update of the APEC Baseline Study: 
Regulations of Products Derived from 
Innovative Agricultural Technologies and 
Identification of Ways to Promote Greater 
Efficiencies and Alignment  Report outlining APEC economies' decision fram eworks for 
products of biotechnology and provid ing foundational information 
to be able to identify economies with regulatory regimes 
compatible with regulatory cooperation and collaboration 
through, for example, the sharing of food safety assessments 
and/o r the mutual recognition of safety assessments.  https://www.apec.org/Publications/2019/06/
Update -of-the-APEC-Baseline -Study  
 
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