G/SPS/W/279  
 
18 June 2014  
(14-3531) Page: 1/14 
Committee on Sanitary and Phytosanitary Measures  Original: English  
 
CATALOGUE OF INSTRUM ENTS AVAILABLE TO WT O MEMBERS TO MANAGE SPS ISSUES  
Submission by Canada  and Kenya  
The following communication, received on 4 June 2014, is being circulated at the request of the 
Delegation s of Canada  and Kenya . 
 
_______________  
 
  
  G/SPS/W/279  
 
- 2 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Request 
information on 
the measure to 
the WTO SPS 
Enquiry Point  
and/or Codex, 
IPPC and OIE 
contact points  Annex B.3  
"Each Member shall ensure that one enquiry 
point exists which is responsib le for the 
provision of answers to all reasonable 
questions from interested Members as well 
as for the provision of  relevant documents 
regarding:  
 
a) any sanitary or phytosanitary regulations 
adopted or proposed within its territory;  
b) any control and inspectio n procedures, 
production and quarantine treatment, 
pesticide tolerance and food additive 
approval procedures, which are  operated 
within its territory;  
c) risk assessment procedures, factors taken 
into consideration, as well as the 
determination of the appropr iate level of 
sanitar y or phytosanitary protection;  
d) the membership and participation of the 
Member, or of relevant bodies within its 
territory, in international and regional 
sanitary and phytosanitary organizations 
and systems, as well as in bilateral and 
multilateral agreements and 
arrangements within the scope of this 
Agreement, and the texts of such 
agreements and arrangements."  According to Art. 7 and Annex B.3 of the 
WTO SPS Agreement, WTO Members 
have to establish an Enquiry Point 
responsible for prov iding answers and 
documentation to all reasonable 
questions from interested Members . 
 
Contact information on SPS Enquiry 
Points and Notifications Authorities are 
available online from the SPS 
Information Management System 
(SPS IMS: http://spsims.wto.org ) Codex contact points are available  from 
http://www.codexalimentarius.org/contact -links/  
 
IPPC contact points are available from 
https://www.ippc.int/countries/contactpoints/  
 
OIE focal points are available from 
http://www.rr -asia.oie.int/about -us/focal -points/  
Comment on 
notificati ons Annex B. 5(d)  
"Members shall… (d) without discrimination, 
allow reasonable time for other Members to 
make comments in writing, discuss these 
comments upon request, and take the 
comments and the results of the discussions 
into account. " Annex B.  5(d) of WTO SPS Agreement: 
Members are required to allow 
reasonable time for other Members to 
make comments in writing.    
  G/SPS/W/279  
 
- 3 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Meet to discuss 
comments on 
notification  Annex B. 5(d)  
"Members shall… (d) without discrimination, 
allow reasonable time for other Members to 
make comments in writing, discuss these 
comments upon request, and take the 
comments and the results of the discussions 
into account. " Annex B.  5(d) of WTO SPS Agreement: 
Members are required to discuss 
comments made on notifications upon 
request, and t o take the comments and 
results of these comments into account.   
Request to meet 
bilaterally on 
margins of the 
SPS Committee  Request to meet with another Member 
regarding a concern with an SPS issue. This 
can be a formal meeting or something less 
formal.   Bilateral discussions prior to resorting to 
mediated settlement:  
A practice of many Members to take advantage 
of being in Geneva for the WTO SPS Committee 
meeting to raise SPS market acces s issues with 
trading partners.  
Request 
recognition of 
equivalence  of 
specific SPS 
measure or 
measures related 
to a certain 
product or 
category of 
products, or on a 
systems -wide 
basis 4.1 Members shall accept the sanitary or 
phytosanitary measures of other Members 
as equivalent, even if these measures differ 
from their o wn or from those used by other 
Members trading in the same product, if the 
exporting Member objectively demonstrates 
to the importing Member that its measures 
achieve the importing Member 's appropriate 
level of sanita ry or phytosanitary protection.  
For thi s purpose, reasonable access shall be 
given, upon request, to the importing 
Member for inspection, testing and other 
relevant procedures.  
 
4.2. Members shall, upon request, enter into 
consultations with the aim of achieving 
bilateral and multilateral agree ments on 
recognition of the equivalence of specified 
sanitary or phytosanitary measures.  Article 4 of the SPS Agreement and 
associated WTO SPS Committee Decision 
"Decision on the Implementation of 
Article 4 of the Agreement on the 
Application of SPS Measur es 
(Equivalence) " G/SPS/19/Rev.2  Codex standards, guidelines and 
recommendations are available from:  
http://www.codex alimentarius.org/standards/en/  
 
IPPC standards, guidelines and recommendations 
are available from:  
https://www.ippc.int/core -activities/standards -
setting/i spms#block -agenda -items -list 
 
OIE standards, guidelines and recommendations 
are available from:  
http://www.oie.int/international -standard -
setting/overview/   
  G/SPS/W/279  
 
- 4 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Request 
recognition o f 
pest- or disease -
free areas and 
areas of low pest 
or disease 
prevalence  6.1. Members shall ensure that their sanitary 
or phytosanitary measures are adapted to 
the sanitary or phytosanitary characteristics 
of the area — whether all of a country, part 
of a country, or all or parts of several 
countries — from which the product 
originated and to which the product is 
destined.  In assessing the sanitary or 
phytosanitary characteristics of a region, 
Members shall take into account, inter alia , 
the level of preva lence of specific diseases or 
pests, the existence of eradication or control 
programmes, and appropriate criteria or 
guidelines which may be developed by the 
relevant international organizations.  
 
6.2. Members shall, in particular, recognize 
the concepts o f pest - or disease -free areas 
and areas of low pest or disease prevalence.  
Determination of such areas shall be based 
on factors such as geography, ecosystems, 
epidemiological surveillance, and the 
effectiveness of sanitary or phytosanitary 
controls.  
 
6.3. Exporting Members claiming that areas 
within their territories are pest - or disease -
free areas or areas of low pest or disease 
prevalence shall provide the necessary 
evidence thereof in order to objectively 
demonstrate to the importing Member that 
such ar eas are, and are likely to remain, 
pest- or disease -free areas or areas of low 
pest or disease prevalence, respectively.  For 
this purpose, reasonable access shall be 
given, upon request, to the importing 
Member for inspection, testing and other 
relevant pr ocedures. " Article 6 of the SPS Agreement and WTO 
SPS Committee Decision "Guidelines to 
Further the Practical Implementation of 
Article 6 of the Agreement on the 
Application of SPS Measures 
(Regionalization) " (G/SPS/48 ), includes 
"Typical Administrative steps in the 
Recognition Proc ess" Codex standards, guidelines and 
recommendations are available from:  
http://www.codexa limentarius.org/standards/en/  
 
IPPC standards, guidelines and recommendations 
are available from:  
https://www.ippc.int/core -activities/standards -
setting/is pms#block -agenda -items -list 
 
OIE standards, guidelines and recommendations 
are available from:  
http://www.oie.int/international -standard -
setting/overview/   
  G/SPS/W/279  
 
- 5 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Request an 
explanation  of 
the reasons for a 
sanitary or 
phytosanitary 
measure  5.8. When a Member has reason to believe 
that a specific sanitary or phytosanitary 
measure introduced or maintained by 
another Member is constraining, or has the 
potential to constrain, its exports an d the 
measure is not based on the relevant 
international standards, guidelines or 
recommendations, or such standards, 
guidelines or recommendations do not exist, 
an explanation of the reasons for such 
sanitary or phytosanitary measure may be 
requested and shall be provided by the 
Member maintaining the measure.  Article 5.8 of the WTO SPS Agreement   
Request 
technical 
assistance  9.1. Members agree to facilitate the 
provision of technical assistance to other 
Members, especially developing country 
Members, eit her bilaterally or through the 
appropriate international organizations.  Such 
assistance may be, inter alia, in the areas of 
processing technologies, research and 
infrastructure, including in the establishment 
of national regulatory bodies, and may take 
the form of advice, credits, donations and 
grants, including for the purpose of seeking 
technical expertise, training and equipment 
to allow such countries to adjust to, and 
comply with, sanitary or phytosanitary 
measures necessary to achieve the 
appropriate level of sanitary or 
phytosanitary protection in their export 
markets.   
 
9.2. Where substantial investments are 
required in order for an exporting developing 
country Member to fulfil the sanitary or 
phytosanitary requirements of an importing 
Member, the la tter shall consider providing 
such technical assistance as will permit the Article 9 of the SPS Agreement  
 
To request a national seminar on the 
SPS A greement, Members and Observers 
must complete and submit a Technical 
Assistance National Request form which 
is available online at: 
https://adobeformscentral.com/?f=xdwz
KQdS1rW -ACYrvWhqtA .   
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- 6 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
developing country Member to maintain and 
expand its market access opportunities for 
the product involved.  
Request Special 
and Differential 
Treatment  10.2 Where the appropriate level of sanitary 
or phytosanitary protection allows scope for 
the phased introduction of new sanitary or 
phytosanitary measures, longer time -frames 
for compliance should be accorded on 
products of interest to developing country 
Members so as to maintain opportunities for 
their exports.  Article 10.2 of the WTO SPS Agreement  
and WTO SPS Committee Decision  
 
Guidan ce on how to request S&D  
Treatment  found in "Procedure to 
Enhance Transparency of Special and 
Differential Treatment in Favour of 
Developing Country Members " 
(G/SPS/33/Rev.1 ), inclu ding procedures 
to be followed.   
Request 
specified, time -
limited 
exceptions in 
whole or in part 
from the 
obligations under 
the SPS 
Agreement  10.3. With a view to ensuring that 
developing country Members are able to 
comply with the provisions of this 
Agree ment, the Committee is enabled to 
grant to such countries, upon request, 
specified, time -limited exceptions in whole 
or in part from obligations under this 
Agreement, taking into account their 
financial, trade and development needs.  Article 10.3 of the WTO  SPS Agreement   
Request 
facilitated ad hoc 
consultations or 
negotiations (i.e. 
"Good offices of 
the Chair ") on 
specific sanitary 
or phytosanitary 
issues  A process by which a Member can request 
facilitated discussions with another Member 
on specific SPS is sues. Paragraph VI of the Working Procedure 
of the Committee ( G/SPS/1 ) states:  
"With respect to any matter which has 
been raised under the Agreement, the 
Chairperson may, at the r equest of the 
Members directly concerned, assist them 
in dealing with the matter in question…. " 
 
Article 12.2 of the WTO SPS Agreement; 
the WTO SPS Committee is working on a 
proposed recommended procedure for 
the implementation of this Article.    
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- 7 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Propose t hat a 
specific issue be 
considered under 
the regular 
Review of the 
Operation and 
Implementation 
of the SPS 
Agreement  12.7 "The Committee shall review the 
operat ion and implementation of this  
Agreement three years after the date of 
entry into force of the W TO Agreement, and 
thereafter as the need arises. Where 
appropriate, the Committee may submit to 
the Council for Trade in Goods proposals to 
amend the text of this Agreement having 
regard, inter alia, to the experience gained 
in its implementation. " Article  12.7 of the WTO SPS Agreement   
Raise an issue as 
a specific trade 
concern agenda 
item Members may request, in writing to the 
Secretariat, to include an issue on the WTO 
SPS Committee Agenda f or an upcoming 
meeting.  
 
This request should be made consistent  
timelines established by the Secretariat. 
Members proposing to raise any matter 
relevant to the implementation of the 
agreement, including any matter relating to 
a particular notification, should give notice 
to the other Member(s) concerned with an 
outlin e of the matter to be raised, as far as 
possible in advance of the SPS Committee 
meeting.  Working procedure of the WTO SPS 
Committee   
Raise an issue 
under the 
Monitoring the 
Use of 
International 
Standards 
Agenda item  Members may request, in writing to the  
Secretariat, to include concrete examples of 
what they consider to be problems with a 
significant trade impact which are related to 
the non -existence or inappropriateness or 
non-use of relevant international standards, 
guidelines or this issue on the WTO SPS 
Committee A genda for an upcoming 
meeting.  
 
This request to raise an issue on the Agenda 
should be made as per the timelines 
established by the Secretariat.  WTO SPS Committee Decision, 
"Procedure to Monitor the Process of 
International Harmonization " 
(G/SPS/11/Rev.1 ), paragraphs 4.6 and 
4.7   
  G/SPS/W/279  
 
- 8 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Raise an issue 
under the 
'Regionalization ' 
Agenda item of 
the WTO SPS 
Committee 
meeting  Members may request to include a specific 
item regar ding information on a Member 's 
pest- or disease -free areas and areas of low 
pest or disease prevalence or on a Members ' 
experience in recognition of pest -or disease -
free areas . Working procedure of the WTO SPS 
Committee ( G/SPS/48 )  
Raise an issue 
under the 
"Equivalence " 
Agenda item of 
the WTO SPS 
Committee 
meeting  Members may request to include a specific 
item regarding information on a Member 's 
experience with equivalence on the WTO 
SPS Committee Agenda for an upcoming 
meeting.  Working procedure of the WTO SPS 
Committee ( G/SPS/19/Rev.2 )  
Raise an issue 
under the 
"Implementation 
of Special and 
Differentia l 
Treatment " 
Agenda item of 
the WTO SPS 
Committee 
meeting  Members may request to include a specific  
item regarding information on a Member's  
experience regarding special and differential 
treatment on the WTO SPS Committee 
Agenda for an upcoming meeting.  Working procedure of the WTO SPS 
Committee   
Ask questions as 
part of the Trade 
Policy Review 
process  Each Member undergoes a trade policy 
review (the frequency of each country 's 
review varies according to its share of world 
trade) . WTO Members are given th e 
opportunity to review and ask comments to 
another Member on its trade policy.  GATT, Working procedure of the WTO   
Raise issues/ask 
questions as part 
of the WTO 
Accession 
process  As countries seek to accede to the WTO, 
Members have the opportunity to rai se 
specific issues with the acceding countries, 
including issues related to the acceding 
country 's Laws, regulations and 
requirements.  Working procedure of the WTO    
  G/SPS/W/279  
 
- 9 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
Explore raising it 
in other WTO 
Bodies  For example and as approp riate, the 
Committee on Im port Licensing, Council on 
Trade in Goods, Committee on Trade 
Facilitation .   
Request formal 
Dispute 
Settlement 
Consultations  Article 4 of the DSU:  
 
4.1. Members affirm their resolve to 
strengthen and improve the effectiveness of 
the consultation  procedure s employed by 
Members.  
 
4.2. Each Member undertakes to accord 
sympathetic consideration to and afford 
adequate opportunity for consultation 
regarding any representations made by 
another Member concerning measures 
affecting the operation of any covered 
agreement taken within the territory of the 
former.3 
 
4.3. If a request for consultations is made 
pursuant to a covered agreement, the 
Member to which the request is made shall, 
unless otherwise mutually agreed, reply to 
the request within 10 days after the da te of 
its receipt and shall enter into consultations 
in good faith within a period of no more than 
30 days after the date of receipt of the 
request, with a view to reaching a mutually 
satisfactory solution.  If the Member does not 
respond within 10 days aft er the date of 
receipt of the request, or does not enter into 
consultations within a period of no more 
than 30 days, or a period otherwise mutually 
agreed, after the date of receipt of the 
request, then the Member that requested 
the holding of consultation s may proceed 
directly to request the establishment of a 
panel.  Article 4 of Dispute Settlement 
Understanding    
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- 10 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
 
4.4. All such requests for consultations shall 
be notified to the DSB and the relevant 
Councils and Committees by the Member 
which requests consultations.  Any request 
for consultations shall be submitted in 
writing and shall give the reasons for the 
request, including identification of the 
measures at issue and an indication of the 
legal basis for the complaint.  
 
4.5. In the course of consultations in 
accordance with the provisions of a covere d 
agreement, before resorting to further action 
under this Understanding, Members should 
attempt to obtain satisfactory adjustment of 
the matter.  
 
4.6. Consultations shall be confidential, and 
without prejudice to the rights of any 
Member in any further pr oceedings.  
 
4.7. If the consultations fail to settle a 
dispute within 60 days after the date of 
receipt of the request for consultations, the 
complaining party may request the 
establishment of a panel.  The complaining 
party may request a panel during the 6 0-day 
period if the consulting parties jointly 
consider that consultations have failed to 
settle the dispute.   
 
4.8. In cases of urgency, including those 
which concern perishable goods, Members 
shall enter into consultations within a period 
of no more than  10 days after the date of 
receipt of the request.  If the consultations 
have failed to settle the dispute within a  
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to Members  Description  Within the WTO  Outside the WTO  
period of 20 days after the date of receipt of 
the request, the complaining party may 
request the establishment of a panel.  
 
4.9 In cases of urgency, including those 
which concern perishable goods, the parties 
to the dispute, panels and the Appellate 
Body shall make every effort to accelerate 
the proceedings to the greatest extent 
possible.  
 
4.10. During consultations Members should 
give specia l attention to the particular 
problems and interests of developing 
country Members.  
 
4.11. Whenever a Member other than the 
consulting Members considers that it has a 
substantial trade interest in consultations 
being held pursuant to paragraph 1 of Article  
XXII of GATT 1994, paragraph  1 of Article 
XXII of GATS, or the corresponding 
provisions in other covered agreements4, 
such Member may notify the consulting 
Members and the DSB, within 10 days after 
the date of the circulation of the request for 
consultati ons under said Article, of its desire 
to be joined in the consultations.  Such 
Member shall be joined in the consultations, 
provided that the Member to which the 
request for consultations was addressed 
agrees that the claim of substantial interest 
is well -founded.  In that event they shall so 
inform the DSB.  If the request to be joined 
in the consultations is not accepted, the 
applicant Member shall be free to request 
consultations under paragraph 1 of Article 
XXII or paragraph  1 of Article XXIII of GATT  
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- 12 - Tools  available 
to Members  Description  Within the WTO  Outside the WTO  
1994, paragraph 1 of Article XXII or 
paragraph 1 of Article XXIII of GATS, or the 
corresponding provisions in other covered 
agreements.  
Request formal 
"Good offices ", 
conciliation and 
mediation  5.1 of the DSU: Go od offices, conciliation 
and mediation are procedures that are 
underta ken voluntarily if the parties of  the 
dispute so agree.  Article 5 of Dispute Settlement 
Understanding   
Request the 
establishment of 
a dispute 
settlement panel  6.1 of the DSU: If the com plaining party so 
requests, a panel shall be established at the 
latest at the DSB meeting following that at 
which the request first appears as an item 
on the DSB 's agenda, unless at that meeting 
the DSB decides by consensus not to 
establish a panel . 
 
6.2 Th e request for the establishment of a 
panel shall be made in writing. It shall 
indicate whether consultations were held, 
identify the specific measures at issue and 
provide a brief summary of the legal basis of 
the complaint sufficient t o present the 
proble m clearly.  Article 6 of the Dispute Settlement 
Understanding   
IPPC dispute 
settlement 
procedures (Note 
– detailed 
information on 
these procedures 
can be found in 
Annex 1)  In cases where a phytosanitary dispute 
arises, contracting parties are encouraged to  
consult with the IPPC Secretariat concerning 
the range of dispute settlement procedures 
that are available and what might be 
appropriate for the dispute in question. 
There are three main types of procedures: 
1) informal consultation, formal consultation, 
good offices, mediation or arbitrations; 2) 
formal non -binding conciliation process; 3) a 
dispute settlement procedure (may produce 
a binding agreement for the parties to the 
agreement) Note: the IPPC Dispute 
Settlement procedure is currently under 
review.  Article 11.3 of the WTO SPS Agreement: 
Nothing impairs the rights of Members 
under other international agreements, 
including the right to resort to the good 
offices or dispute settlement 
mechanisms of other international 
organizations or established under  any 
international agreement . Article XIII of the IPPC Settlement of disputes 
(Paragraphs 1 -6) 
 
Article XVI of the IPPC Supplementary 
agreements (paragraphs 1 -3)  
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to Members  Description  Within the WTO  Outside the WTO  
OIE informal 
mediation 
procedure  In the case where an OIE Member considers 
that another OIE M ember does not comply 
with OIE standards, both parties can agree 
to request the voluntary, informal OIE 
mediation procedure which focusses on 
scientific and technical aspects to seek to 
find a mutually agreeable solution.  Article 11.3 of the WTO SPS Agreem ent: 
Nothing impairs the rights of Members 
under other international agreements, 
including the right to resort to the good 
offices or dispute settlement 
mechanisms of other international 
organizations or established under any 
international agreement . Chapt er 5.3.8 of the OIE Terrestrial Animal 
Health Code provides details on the OIE informal 
procedure for dispute mediation.  
Meet on issues 
bilaterally  At any time, a Member may request to hold 
a bilateral meeting or discussion regarding 
an SPS issue. Alterna tively, these 
discussions could take place during regularly 
scheduled meetings   Not a concept included in the WTO framework, 
however, can be a 'best practice ' when 
managing SPS issues  
 
 
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  ANNEX 1 – IPPC DISPUTE SETTLEM ENT PROCEDURES  
 Informal consultation,  formal consultation, good offices, mediation or arbitration procedures 
may be conducted by, or administered with assistance from, the IPPC Secretariat and/or the 
IPPC Subsidiary Body on Dispute Settlement (SBDS).  
 The formal non -binding conciliation proces s is meant to be a technically -based system which 
enables parties to discuss technical matters that are being disputed using an expert 
committee . The IPPC Dispute Settlement Manual describes the dispute settlement options 
available to contracting parties ( https://www.ippc.int/publications/dispute -settlement -
manual ). 
 The above procedures are provided for under Article XIII of the IPPC (1997)  as follows:  
1) If there is any dispute regard ing the interpretation or application of this Convention, or if 
a contracting party considers that any action by another contracting party is in conflict 
with the obligations of the latter under Articles V and VII of this Convention, especially 
regarding t he basis of prohibiting or restricting the imports of plants, plant products or 
other regulated articles coming from its territories, the contracting parties concerned 
shall consult among themselves as soon as possible with a vie w to resolving the dispute.  
2) If the dispute cannot be resolved by the means referred to in paragraph 1, the 
contracting party or parties concerned may request the Director -General of FAO to 
appoint a committee of experts to consider the question in dispute, in accordance with 
rules a nd procedures that may be  established by the Commission.  
3) This Committee shall include representatives designated by each contracting party 
concerned. The Committee shall consider the question in dispute, taking into account all 
documents and other forms of  evidence submitted by the contracting parties concerned. 
The Committee shall prepare a report on the technical aspects of the dispute for the 
purpose of seeking its resolution. The preparation of the report and its approval shall be 
according to rules and  procedures established by the Commission, and it shall be 
transmitted by the Director -General to the contracting parties concerned. The report 
may also be submitted, upon its request, to the competent body of the international 
organization responsibl e for resolving trade disputes.  
4) The contracting parties agree that the recommendations of such a committee, while not 
binding in character, will become the basis for renewed consideration by the contracting 
parties concerned of the matter out o f which the disag reement arose.  
5) The contracting parties concerned shall sha re the expenses of the experts.  
6) The provisions of this Article shall be complementary to and not in derogation of the 
dispute settlement procedures provided for in other international agreements dea ling 
with trade matters.  
 A dispute settlement procedure established under Article XVI of the IPPC (1997) as a 
supplementary agreement. Such a dispute settlement may produce a binding agreement for 
the parties to the agreement. Note: The IPPC Dispute Settle ment procedure is currently 
under review.  
 Article XVI Supplementary agreements reads:  
1) The contracting parties may, for the purpose of meeting special problems of plant 
protection which need particular attention or action, enter into supplementary 
agreement s. Such agreements may be applicable to specific regions, to specific pests, to 
specific plants and plant products, to specific methods of international transportation of 
plants and plant products, or otherwise supplement the  provisions of this Convention.  
2) Any such supplementary agreements shall come into force for each contracting party 
concerned after acceptance in accordance with the provisions of the supp lementary 
agreements concerned.  
3) Supplementary agreements shall promote the intent of this Convention  and shall 
conform to the principles and provisions of this Convention, as well as to the principles of 
transparency, non -discrimination and the avoidance of disguised restrictions, particularly 
on international trade.  
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