WORLD TRADE  
ORGANIZATION  G/SPS/W/218 
25 February 2008 
 (08-0812) 
Committee on Sanitary a nd Phytosanitary Measures Original:   English 
  
 
 
GUIDELINES TO FURTHER THE PRACTICAL IMPLEMENTATION OF  
ARTICLE 6 OF THE AGREEMENT ON THE APPLICATION OF  
SANITARY AND PHYTOSANITARY MEASURES 
 
Submission by New Zealand on behalf of the Small Group Process on Article 6
 
   On behalf of the Members who have been  participating in the Small Group Process on 
Article 6, New Zealand wishes to submit the attach ed proposal for the Committee’s consideration.  
This proposal is without prejudice to the position of the Members who have participated in the Small 
Group Process.  
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 G/SPS/W/218 
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GUIDELINES TO FURTHER THE PRACTICAL IMPLEMENTATION OF  
ARTICLE 6 OF THE AGREEMENT ON THE APPLICATION OF  
SANITARY AND PHYTOSANITARY MEASURES 
 
Proposal for a Decision
1 
  
The Committee on Sanitary and Phytos anitary Measures ("the Committee"), 
 
Having regard  to paragraph 1 of Article 12 of the Agre ement on the Application of Sanitary and 
Phytosanitary Measures ("the Agreement"); 
 Recalling that in its first review of the operation and implementation of the Agreement, concluded in 
1999, the Committee, while noting that adaptation to  regional conditions, including the recognition of 
pest- or disease-free areas or areas of low pest or disease prevalence, was of significant importance for 
trade in agricultural products, al so noted that Members faced difficulties in the implementation of 
Article 6 of the Agreement; 
 
Recalling that at its June 2003 meeting the Committ ee initiated substantive discussion of problems 
linked with the implementation of the provisions for recognition of pest- or disease-free areas and 
areas of low pest or disease prevalence in Article 6; 
 Recalling  that in its second review of the operation a nd implementation of the Agreement, concluded 
at its June 2005 meeting, the Committee agreed that  it should develop a proposal for a decision on the 
effective application of Article 6, taking as the point of departure the various proposals submitted by 
Members and the discussions in the Committee; 
 Taking into account the work of the OIE and the IPPC in developing international standards, 
guidelines and recommendations to further the practical implementation of Article 6;  Recognizing the constructive manner in which the OIE a nd IPPC have responded to requests from the 
Committee for technical and administrative guidance; 
 
Decides as follows:  
 
1. These guidelines are intended to provide assistance to Members in the practical 
implementation of Article 6 by improving transpar ency, exchange of information, predictability, 
confidence and credibility between importing and exporting Members.  These guidelines are not intended to duplicate the technical and administra tive guidance provided to Members by the IPPC and 
OIE. 
2. These guidelines do not add to nor detract fro m the existing rights and obligations of 
Members under the Agreement nor any other WTO Agreement.  These guidelines do not provide any 
legal interpretation or modification to the Agreem ent itself.  These guidelines are without prejudice to 
the right of a Member to determine its appropriate level of sanitary or phytosanitary protection against 
risks to human life or health, or to animal and plant life or health. 
                                                     
 
1 There is a desire from Members who participated in the Small Group Process on Article 6 to seek 
legal advice from the WTO Secretaria t on a number of issues regarding (a) whether this decision could 
constitute subsequent agreem ent or practice in accordance  with Article 31 of the Vienna Convention; and (b) 
around the appropriate terms to use in a decision (i.e. should, shall and may).  G/SPS/W/218 
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  3. These guidelines will be reviewed periodically and revised as necessary by the Committee in 
light of experience gained through the implem entation of the Agreement and the use of these 
guidelines themselves.  The Committee should undertake  a first review of these guidelines within 36 
months of their adoption by the Committee and thereafter as the need arises. 
I. GENERAL CONSIDERATIONS 
4. Importing Members should publish the basis for recognition of pest- or disease-free areas and 
areas of low pest or disease prevalence and a descr iption of the general process used, including the 
information generally required to evaluate such requests and a contact point responsible for requests 
for recognition of pest-or disease-free areas or  areas of low pest or disease prevalence. 
5. Members should proceed with a recognition process without undue delay. 
6. The process should be applied without discrimination between Members. 
7. Members should endeavour to maintain transpar ency in all aspects of the recognition process. 
8. Any determination under Article  6 should consider the strength and credibility of the 
veterinary or phytosanitary infrastructure of th e exporting Member in accordance with the importing 
Member’s appropriate level of sanitary or phytosanita ry protection.  The veterinary or phytosanitary 
authorities of the exporting Member should be able to demonstrate their ability  to maintain freedom 
from specified pests or diseases to encourage confidence on the part of the importing Member. 
9. The importing Member should take into acc ount any relevant know ledge of and prior 
experience with the authori ties of the exporting Member. 
10. Where an exporting Member resubmits a request for recognition of pest- or disease-free areas 
or areas of low pest or disease prevalence, the importing Member should take into consideration all 
information previously provided, if verification h as been provided by the exporting Member that the 
information remains valid. 
11. If an exporting Member submits multiple requests to the importing Member, the exporting 
Member should identify its priority among these requ ests and this will be taken into account by the 
importing Member. 
12. Upon request from the exporting Member, an importing Member should provide information 
on the stage of the exporting Member’s request within its evaluation process. 
II. INITIAL DISCUSSIONS 
13. The importing Member should, upon request, enter into discussions with the exporting 
Member with the aim of clarifying their general process and the information generally required to 
facilitate a request for the recognition of a pest- or  disease-free area or area of low pest or disease 
prevalence. 
14. In this regard, the discussions should , inter alia  clarify: 
(i) the general process used by the importing Me mber in the evaluation of requests for 
the recognition of pest- or disease-free areas and areas of low pest or disease prevalence; 
(ii) 
the general information require d to evaluate the request;  G/SPS/W/218 
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  (iii) the process for the exchange of information relating to the request, including a contact 
point, and a language or languages to be used , which should include at least one of the 
official languages of the WTO;  and 
(iv) if possible, an anticipated timeframe for completion of the recognition process. 
15. The discussions should be undertaken within a reasonable period of time, and normally within 
90 days of a request or as otherwise mutually decided. 
16. The clarification(s) made in the course of  the discussions should, if necessary, be 
appropriately recorded by the importing Member and transmitted to the exporting Member to avoid 
any misunderstandings of the general process. 
17. When an importing Member has limited res ources to undertake work on new requests for 
recognition, discussions may be postponed for a reas onable period of time.  In deciding whether to 
postpone discussions, the importing Member shoul d take into account as relevant factors, inter alia : 
(i) the number of requests for recognition of p est- or disease-free areas or areas of low 
pest or disease prevalence it has received; 
(ii) the priority of the exporting Member in situations where it has submitted multiple 
requests,  and 
(iii) capacity to undertake work on new requests. 
18. When an importing Member has postponed discu ssions in accordance with paragraph 17 of 
this decision, it should inform the exporting Member and provide an explanation in writing for the delay. 
III. TYPICAL ADMINISTRATIVE STEPS IN THE RECOGNITION PROCESS 
19. While Members have the sovereign right to de termine their own processes for the evaluation 
of requests for recognition of pest- or disease-free ar eas or areas of low pest or disease prevalence, a 
process for making a determination under Article 6 typically involves a number of steps such as the 
following. 
Step A: Exporting Member requests inform ation about procedures and/or recognition 
 20. The exporting Member requests information a bout the importing Member's requirements and 
procedures for the evaluation of requests for recogni tion of pest- or disease-free areas or areas of low 
pest or disease prevalence.  An exporting Member may either request information about an importing 
Member's requirements and procedures prior to form ally requesting recognition of an area as a pest- 
or disease-free area or an area of low pest or di sease prevalence, or at the time it requests such 
recognition.  In the latter case, the exporting Member  at the same time communicates its sanitary or 
phytosanitary status to relevant trading partners al ong with a copy of its request for recognition of an 
area as a pest- or disease-free area or an  area of low pest or disease prevalence. 
21. The request for the recognition of a pest- or di sease-free area or an area of low pest or disease 
prevalence may be accompanied by supporting scientific and technical information, including 
reference to relevant international recognition of the area as a pest- or disease-free area or an area of 
low pest or disease prevalence.  In the interests of transparency, the exporting Member should indicate 
the organization and an individual within the organiza tion to act as a contact point for the request, and 
request that the importing Member do the same.  G/SPS/W/218 
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  Step B:  Importing Member explains requirements 
 
22. The importing Member explains its requirements and procedures for the evaluation of 
requests for recognition of pest- or disease-free areas or areas of low pest or disease prevalence.  The 
importing Member may, for example, request answers to a specific questionnaire.   
Step C: Exporting Member provides documentation 
 
23. The exporting Member sends the documenta tion demonstrating compliance with the 
requirements laid down by the importing Member.  Where applicable, the exporting Member provides 
supporting information showi ng that the procedures it used to id entify that area as pest- or disease-
free or of low pest or disease prevalence are b ased on an international standard, guideline or 
recommendations.  The exporting Member also suppli es any further informati on that could help the 
importing Member to make a determination. 
Step D: Importing Member evaluates the documen tation and, if necessa ry, requests additional 
 information 
 24. The importing Member acknowledges the receipt of documentation provided by the exporting 
Member.  The importing Member evaluates the documentation provided by the exporting Member 
and provides feedback to the exporting Member regard ing whether the documentation is in order.  In 
addition, the importing Member may indicate the neces sity of additional info rmation or an on-site 
verification, where justified, based on the results of the ongoing evaluation.  
Step E: Exporting Member responds to feedback 
 
25. The exporting Member provides any clarificati ons, additions or modifications requested by 
the importing Member. 
Step F: Importing Member evaluates any additi onal information and, if required, seeks further 
clarifications 
 
26. The importing Member evaluates any additio nal information provided by the exporting 
Member and provides further feedback to the exporti ng Member in accordance with step D.  If further 
clarification is needed steps D and E are repeated. 
Step G: Importing Member conducts on- site verification 
 27. If applicable, the importing Member carries out on- site verification in order to verify the 
information provided in support of the request for re cognition of a pest- or di sease-free area or an area 
of low pest or disease prevalence.  Such inspections may consider, inter alia , the administrative 
structure of the regulatory bodies concerned and the programmes they implement with a view to 
prevention, control and eradication of pests and diseases.  The strength and credibility of the 
veterinary or phytosanitary infrastructure of the exporting region(s) would also be part of this 
evaluation. 
28. The importing Member provides a report on the on-site verification to the exporting Member.  
Step H: Exporting Member responds to inspection report 
 
29. If the inspection report so requests, the expor ting Member provides further clarifications, 
additions or modifications. G/SPS/W/218 
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  Step I: Importing Member makes a determination 
 
30. Where its evaluation of the evidence provided by  the exporting Member results in a decision 
by the importing Member not to recognize the pest- or disease-free area or area of low pest or disease prevalence, the importing Member provides to the exporting Member the technical grounds for the 
determination, so that, if appropriate, the exporti ng Member may modify and adapt its system with a 
view to future requests for recognition of pest- or disease-free areas or areas of low pest or disease 
prevalence.  
31. Where its evaluation of the evidence provided by the exporting Member results in recognition 
of the pest- or disease-free area or area of low pest  or disease prevalence, the importing Member takes 
the necessary administrative or legal steps to facilitate trade from the exporting Member.  If 
necessary, the importing Member modifies existing sanita ry or phytosanitary regulations or elaborates 
new ones to support its recognition of the area in ques tion as a pest- or disease-free area or an area of 
low pest or disease prevalence.  In addition, th e importing Member may circulate any modified or 
new regulation for public comment. 
IV. EXPEDITED PROCESS 
32. The importing Member may determine that an e xpedited process can be used to evaluate a 
request for recognition of pest- or disease-free areas or areas of low pest or disease prevalence.  An 
expedited process may involve exclus ion of one or more stages or some parts of a stage of the 
importing Member’s general process for the recognition of pest- or disease-free or areas of low pest or 
disease prevalence.  In determining the possibilit y of applying an expedited process, the importing 
Member should take into account factors including inter alia : 
(i) when there has been official recognition of an area as a pest- or disease-free area or an 
area of low pest of disease prevalence by a re levant international organization;  or 
(ii) when there has been an outb reak in an area previously recognized, and suspended, by 
the importing Member as a pest- or disease-free area or an area of low pest or disease 
prevalence and which has been restored to its former status as determined by the 
importing Member in accordance with the re levant international standards, guidelines 
or recommendations;  or 
(iii) when the infrastructure and operation of the responsible veterinary or phytosanitary 
service of the exporting Member are familiar to the importing Member as a result of existing trade relations;  or 
(iv) when there has been no previously notified  occurrence of the pest or disease and the 
importing Member agrees that the surveilla nce procedures and activities implemented 
by the exporting Member have shown the non existence thereof, the territory of the 
Member in question shall be considered free of that pest or disease. 
V. MONITORING 
33. The Committee will monitor the implementation of Article 6 under the standing agenda item 
at its regular meetings.  In this regard, Memb ers are encouraged to in form the Committee when: 
(i) a request for recognition of pest- or disease-free areas or areas of low pest or disease 
prevalence is made;  and/or, 
(ii) a determination on whether to recognize a pest- or disease-free areas or areas of low 
pest or disease prevalence is made.  G/SPS/W/218 
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  34. Members are also encouraged to provide  information on their experiences in the 
implementation of Article 6 and to  provide relevant background information on their decisions to 
other interested Members upon request.  
35. The Secretariat should prepare an annual re port to the Committee on implementation of 
Article 6 based on the information provide d by Members under paragraphs 33 and 34. 
 
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