U.S. GOVERNMENT PRINTING OFFICE

WASHINGTON : 

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79–118

" ! SENATE 106TH CONGRESS

2d Session

TREATY DOC.

2000

106–23

INTERNATIONAL PLANT PROTECTION

CONVENTION (IPPC)

MESSAGE

FROM

THE PRESIDENT OF THE UNITED STATES

TRANSMITTING

INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC), ADOPTED AT THE CONFERENCE OF THE FOOD AND AGRICULTURE

ORGANIZATION (FAO) OF THE UNITED NATIONS AT ROME ON

NOVEMBER 17, 1997

MARCH 23, 2000.—Convention was read the first time, and together with

the accompanying papers, referred to the Committee on Foreign Relations and ordered to be printed for the use of the Senate.

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LETTER OF TRANSMITTAL

THE WHITE HOUSE, March 23, 2000.

To the Senate of the United States:

With a view to receiving the advice and consent of the Senate to

acceptance, I transmit herewith the revised International Plant

Protection Convention (IPPC), adopted at the Conference of the

Food and Agriculture Organization (FAO) of the United Nations at

Rome on November 17, 1997. In accordance with Article XIII of the

existing IPPC, the revised text will enter into force for all contracting parties 30 days after acceptance by two-thirds of the contracting parties.

The revisions are designed to bring the IPPC into line with modern practices and concepts, and to establish new mechanisms to

promote the development and adoption of international

phytosanitary standards.

It is my hope that the Senate will give prompt and favorable consideration to this Convention, and give its advice and consent to acceptance by the United States, subject to the two proposed understandings set forth in the accompanying report, at the earliest possible date.

WILLIAM J. CLINTON.

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LETTER OF SUBMITTAL

DEPARTMENT OF STATE, Washington, February 10, 2000.

The PRESIDENT,

The White House.

THE PRESIDENT: I have the honor to submit to you the revised

International Plant Protection Convention (IPPC), done at Rome on

November 17, 1997. I recommend that the revised IPPC be transmitted to the Senate for its advice and consent to acceptance, subject to the proposed understandings set forth in this report.

The IPPC, a multilateral convention which entered into force

internationally in 1952 and for the United States in 1972, is aimed

at promoting international cooperation to control and prevent the

spread of harmful plant pests. The IPPC serves, together with regional plant protection organizations and national plant protection

organizations, to develop international plant health standards, promote harmonization of plant quarantine activities with emerging

standards, facilitate the dissemination of phytosanitary information, and support plant health assistance to developing countries.

The United States has been a leading force in furthering the work

of the IPPC. A 1979 revision of the original IPPC (the ‘‘existing

IPPC’’) entered into force in 1991.

In 1995, after the adoption of the World Trade Organization

(WTO) Agreement on the Application of Sanitary and

Phytosanitary Measures (the ‘‘SPS Agreement’’), which identified

the organizations operating within the framework of the IPPC as

relevant international organizations in the field of sanitary and

phytosanitary protection, a consensus developed among the IPPC

parties to revise the IPPC text. An important impetus for the revision was to bring the existing IPPC into alignment with the SPS

Agreement, which calls for the harmonization of sanitary and

phytosanitary measures among countries on the basis of the development of international standards, including within the framework

of the IPPC. The revised IPPC was adopted November 17, 1997, by

the Conference of the Food and Agriculture Organization (FAO) of

the United Nations.

The revised IPPC is intended to clarify existing procedures, update terms and definitions, and strengthen the ability of IPPC parties to develop phytosanitary standards. Standard setting has become a fundamental need for U.S. agriculture. It is necessary to

create a stable international trade system that balances the need

for protection against pest risks and the need for predictability and

fairness in international trade practices. American farmers who are

interested in exporting their products to foreign markets would
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benefit significantly from such a trade system. The revised IPPC is

meant to be interpreted consistently with the SPS Agreement and

not no limit the rights or obligations of the parties to that agreement.

Article XIII, paragraph 4 of the existing IPPC provides that

[a]ny such proposed amendment of this Convention shall

require the approval of the Conference of FAO and shall

come into force as from the thirtieth day after acceptance

by two-thirds of the contracting parties. Amendments involving new obligations for contracting parties, however,

shall come into force in respect of each contracting party

only on acceptance by it * * *

The Conference of FAO approved a Conference Report during the

November 1997 meeting at which the revised IPPC was adopted.

That report stated

that the Conference decided that the amendments would

not involve new obligations for contracting parties. Consequently, once adopted, the amendments would come into

force, for all contracting parties, after acceptance by twothirds of the Contracting Parties.

As of this date, 8 of the 111 IPPC parties have deposited instruments of acceptance of the revised IPPC with the Director-General

of FAO.

The following is an article-by-article summary of the significant

provisions of the revised IPPC:

Article I sets forth the purpose of the revised IPPC and the responsibilities of the parties. The parties undertake to adopt the legislative, technical and administrative measures specified in the revised IPPC and in supplementary agreements, with the purpose of

securing common and effective action to prevent the spread and introduction of pests of plants and plant products, and to promote appropriate measures for their control. Each party assumes responsibility for the fulfillment within its territory of requirements under

the revised IPPC, ‘‘without prejudice to obligations assumed under

other international agreements.’’ Thus, the parties have made it

clear that the requirements imposed upon them by the revised

IPPC do not relieve them of obligations they have assumed under

other international agreements.

Article II defines certain key terms for purposes of the revised

IPPC.

Article III makes it clear that nothing in the revised IPPC overrides the rights or obligations of the parties under relevant international agreements, which would include the SPS Agreement In

this regard, the FAO Conference Report concerning the revised

IPPC contained the following explanatory statement:

With reference to Article III of this Convention, nothing in this

Convention, and in particular in Articles VI or VII thereof, shall be

interpreted as limiting the rights or obligations of the contracting

parties to this Convention under the Agreement on the Application

of Sanitary and Phytosanitary Measures (SPS Agreement).
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The U.S. delegation to the plenary of the FAO Conference also

provided an interpretative statement on the revised text of the

IPPC, a copy of which is enclosed for the Senate’s information.

Article IV requires each party to make provision, to the best of

its ability, for an official national plant protection organization and

outlines the responsibilities of such an organization. Some of the

more significant responsibilities include: the issuance of

phytosanitary certificates; the inspection of plants and plant products moving in international traffic; the protection of endangered

areas and the designation, maintenance and surveillance of pest

free areas; and the conduct of pest risk analyses. Each party must

also make provision, to the best of its ability, for: the distribution

within its territory of information regarding regulated pests and

the means of their prevention and control; research and investigation in the field of plant protection; the issuance of phytosanitary

regulations; and the performance of such other functions as may be

required for the implementation of the Convention.

Article V requires the parties to make arrangements for

phytosanitary certification with the objective of ensuring that exports are in conformity with the certifying statements to be made

pursuant to the model certificates in the Annex to the revised

IPPC. Inspection and other related activities leading to the

issuance of certificates shall be carried out only by or under the authority of the official national plant protection organization. These

certificates should be completed taking into account relevant international standards. Parties may, but are not required to, accept the

electronic equivalent of phytosanitary certificates. Each party also

undertakes not to require phytosanitary certificates that are inconsistent with the model certificates.

Article VI provides that a party may require phytosanitary measures for quarantine pests and regulated non-quarantine pests, provided that such measures are not more stringent than measures

applied to the same pests within its own territory and limited to

what is technically justified and necessary to protect plant health.

This article restates in greater detail the parties’ obligations, set

forth in Article VI(2) of the existing IPPC, to have a technical basis

for requiring phytosanitary measures and not to impose such requirements arbitrarily. The United States intends that nothing in

this article will be interpreted or implemented to limit the rights

of the United States under relevant international agreements, in

particular the SPS Agreement, including the right to maintain control, inspection, and approval procedures consistent with its obligations under that Agreement. In order to make the U.S. view clear

to the other parties, it is recommended that the following understanding be included in the U.S. instrument of acceptance:

Nothing in the amended International Plant Protection

Convention (IPPC) is to be interpreted in a manner inconsistent with, or alters the terms or effect of, the World

Trade Organization (WTO) Agreement on the Application

of Sanitary and Phytosanitary Measures (SPS Agreement)

or other relevant international agreements. In implementing the amended IPPC, the United States will be

guided by the SPS Agreement and other relevant international agreements, and in particular will interpret Arti-
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cles VI and VII of the amended IPPC in a manner that is

consistent with the SPS Agreement, including Article 5

thereof.

Article VI also prohibits the parties from requiring phytosanitary

measures for non-regulated pests. This article would not, however,

preclude the United States from restricting the importation of

‘‘invasive’’ pests in order to protect plant life or health or the environment. If an ‘‘invasive’’ pest is injurious to plant life or health

or the environment, it could be regulated as a quarantine pest or

a regulated non-quarantine pest. Nor would this article preclude

the United States from restricting the importation of an ‘‘invasive’’

pest in order to protect human or animal life or health. The term

‘‘pest’’ is defined in Article II of the revised IPPC as ‘‘any species,

strain or biotype of plant, animal or pathogenic agent injurious to

plants or plant products’’ (emphasis added). The scope of both the

existing and the revised IPPC is the protection of plant life and

health and the environment. Therefore, neither the existing IPPC

nor the revised IPPC prohibits the parties from taking any action

with regard to pests that could harm human or animal life or

health. (The protection of human and animal health falls within

the domain of the Codex Alimentarius Commission and the International Office of Epizootics (OIE), not the IPPC.) In order to make

the U.S. view clear to the other parties, it is recommended that the

following understanding be included in the U.S. instrument of acceptance:

Nothing in the amended IPPC limits the authority of the

United States, consistent with the SPS Agreement, to take

sanitary or phytosanitary measures against any pest to

protect human, animal or plant life or health or the environment.

Article VII sets forth requirements in relation to imports. Paragraph 1 provides that parties shall have sovereign authority to regulate, in accordance with applicable international agreements, such

as the SPS Agreement, the entry of plants and plant products and

other regulated articles into their territories. Paragraph 2 provides

that, in order to minimize interference with international trade,

the parties undertake, inter alia, to: (1) refrain from taking

phytosanitary measures unless they are made necessary by

phytosanitary considerations and are technically justified; (2) publish phytosanitary requirements, restrictions and prohibitions immediately upon their adoption and transmit them to any party believed to be directly affected by such measures; (3) ensure that unnecessary phytosanitary measures are promptly modified or removed as conditions change; (4) establish and update lists of regulated pests and make such lists available; (5) conduct surveillance

for pests and develop and maintain adequate information on pest

status; and (6) institute only phytosanitary measures that are technically justified, consistent with the pest risk involved and represent the least restrictive measures available. This last undertaking is an elaboration of Article VI(2)(a) of the existing IPPC,

which requires the parties, in order to minimize interference with

international trade, to ensure that any phytosanitary measures

taken are made necessary by phytosanitary considerations. In
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keeping with the first proposed U.S. understanding set forth above,

the term ‘‘least restrictive measures available’’ in the revised IPPC

is meant to be interpreted in the same manner as the term ‘‘not

more trade-restrictive than required’’ in Article 5.6 (including the

accompanying footnote) of the SPS Agreement.

Paragraph 3 of Article VII provides that a party may apply

measures, which must be technically justified, to pests which may

not be capable of establishment but which could cause economic

damage if they gained entry. Paragraph 4 provides that parties

may apply measures to consignments in transit through their territories where such measures are technically justified and necessary

to prevent the introduction or spread of pests. Paragraph 5 provides that importing parties may make special provision, subject to

adequate safeguards, for the importation of plants, plant products,

other regulated articles, and plant pests, for the purpose of scientific research or education. Paragraph 6 provides that a party

may take appropriate emergency action on the detection or report

of a pest posing a potential threat to its territories. Such emergency action is to be promptly reported to any parties concerned,

the IPPC Secretariat, and any applicable regional plant protection

organization.

Article VIII provides for international cooperation by the parties,

particularly in the exchange of information on plant pests, in any

special campaigns for combating pests, and in providing technical

and biological information necessary for pest risk analysis. Under

the existing IPPC, the parties furnish information on plant pests

to FAO, which then distributes it; whereas, under the revised

IPPC, the parties will cooperate in the exchange of such information in accordance with such procedures as may be established by

the Commission on Phytosanitary Measures (the ‘‘Commission’’),

established under Article XI of the revised IPPC (see below). Each

party is also required to designate a contact point for the exchange

of information connected with the implementation of the Convention.

Article IX provides for the establishment of regional plant protection organizations in appropriate areas. Several such organizations

already exist, including the North American Plant Protection Organization (NAPPO), to which the United States belongs. The regional plant protection organizations are to function as the coordinating bodies in the areas covered; gather and disseminate information; cooperate with the Secretary of the Commission in achieving the objectives of the Convention; and, where appropriate, cooperate with the Secretary and the Commission in developing

international standards.

Article X provides that the parties agree to cooperate in the development of international standards to be adopted by the Commission. IPPC parties have historically cooperated in the formulation

and dissemination of standards, guidelines, and recommendations,

and the United States has actively participated in this work. Paragraph 4 provides that parties should take international standards

into account, as appropriate, when undertaking activities related to

the Convention. Article X does not require parties to adopt or follow such standards.
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Article XI provides for the establishment of a Commission on

Phytosanitary Measures within the FAO framework and sets forth

the functions of the Commission. The Commission, which is a decision-making body, is expected to serve as the vehicle for developing

global phytosanitary standards as well as promoting implementation of the other basic objectives of the Convention. The functions

of the Commission include, inter alia: reviewing the state of plant

protection in the world and the need for action to control the international spread of pests and their introduction into endangered

areas; establishing the necessary institutional arrangements and

procedures for the development and adoption of international

standards, and adopting such standards; and establishing rules

and procedures for the resolution of disputes between parties.

Membership in the Commission is open to all parties. The Commission will work to make decisions by consensus, failing which decisions will be made by a two-thirds majority of the parties present

and voting.

Article XII creates a Secretariat to assist in the effective implementation of the revised IPPC. It sets forth the duties and responsibilities of the Secretary of the Commission, who will be appointed

by the Director-General of FAO. The functions that will be carried

out by the Secretariat initially will be funded through existing allocations to FAO’s Plant Production and Protection Division and will

cause no immediate increases in funding obligations.

Article XIII outlines a procedure for the settlement of disputes

that may arise out of the operation of the revised IPPC. The provisions of this article are very similar to the provisions found in Article IX of the existing IPPC. If a party considers that any action by

another party is in conflict with its obligations under the revised

IPPC, these parties consult among themselves with a view to resolving the dispute. If the dispute cannot be resolved though consultations, a concerned party may request the Director-General of

FAO to appoint a committee of experts to consider the question in

dispute. The recommendations of this committee, while not binding, will become the basis for renewed consideration of the matter

by the parties concerned. The revised IPPC adds a new paragraph

stating that the dispute settlement procedures under the IPPC

shall be complementary to and not in derogation of the dispute settlement procedures provided for in other international agreements

dealing with trade matters.

Article XIV, which is identical to Article X of the existing IPPC,

provides for the termination and replacement of certain prior conventions.

Article XV indicates that a party may declare that the revised

IPPC will extend to any or all of its territories by communicating

to the Director-General of FAO a declaration to that effect.

Article XVI authorizes the parties to enter into supplementary

agreements for the purpose of meeting special problems of plant

protection that need particular attention or action. Any such supplementary agreement shall come into force for each party after acceptance in accordance with the provisions of the supplementary

agreement. This article also sets forth certain requirements that

are applicable to any supplementary agreement, e.g., that it con-
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form to the principles of transparency, non-discrimination, and the

avoidance of disguised restrictions on international trade.

Article XVII retains provisions from the existing IPPC concerning the treaty’s entry into force. It also specifies that the IPPC

is open for adherence by nonsignatory states and member organizations of FAO. Adherence is to be effected by the deposit of an instrument of adherence with the Director-General of FAO, who notifies all parties of that deposit.

Article XVIII calls on the parties to encourage non-IPPC parties

to accept the Convention and to apply phytosanitary measures consistent with the provisions of the Convention and any international

standards adopted thereunder.

Article XIX provides that the authentic languages of the Convention will be all the official languages of FAO (English, Spanish,

French, Chinese and Arabic) and specifies the types of documents

that must be in at least one of the official languages of FAO.

Article XX provides that the parties agree to promote the provision of technical assistance to parties, especially those that are developing states, either bilaterally or through the appropriate international organizations.

Article XXI outlines the procedures for an amendment of the

Convention. Any proposed amendment requires the approval of the

Commission and comes into force as from the thirtieth day after acceptance by two-thirds of the parties. Amendments involving new

obligations for parties, however, will come into force with respect

to each party only after acceptance by it. As stated above, the parties at the Conference that adopted the revised IPPC considered

that it would not create new obligations, so the revised IPPC will

enter into force for all parties on the thirtieth day after acceptance

by two-thirds of the parties. This article also sets forth procedures

for the amendment of the model phytosanitary certificates (such

amendments become effective 90 days after notification to the parties of their approval by the Commission) and addresses the effect

of such amendments on the previous version of the certificates.

Article XXII, as does Article XVII, contains residual provisions

from the existing Convention concerning its initial entry into force.

It also has the effect that, once the revised Convention has come

into force, it will enter into force for each state or member organization of FAO thereafter from the date of deposit of its instrument

of ratification or adherence.

Article XXIII states that denunciation of the Convention by a

party takes effect one year from the date of receipt of the notification by the Director-General of FAO.

The Annex contains a revised Model Phytosanitary Certificate

that incorporates some of the clarifications made in the revised

IPPC. The existing IPPC requires a party to certify that a given

shipment or consignment has been inspected and is considered to

be ‘‘free from quarantine pests, and practically free from other injurious pests; and * * * conform[s] with the current phytosanitary

regulations of the importing country.’’ The ambiguity of the undefined term ‘‘other injurious pests’’ was an important impetus for

modernizing the existing model certificate to ensure that certification requirements are transparent and technically justified.
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Under the revised IPPC, this requirement has been replaced

with a requirement that a party certify that a shipment or consignment is considered to be free from the quarantine pests, specified

by the importing contracting party and to conform with the current

phytosanitary requirements of the importing contracting party including those for regulated non-quarantine pests.

The term ‘‘other injurious pests’’ in the existing IPPC has been

replaced with the clearer, defined term ‘‘regulated non-quarantine

pests.’’ In addition, the model certificate in the revised IPPC contains an optional certification by the exporter that a shipment or

consignment has been inspected and ‘‘deemed to be practically free

from other pests,’’ i.e., pests other than quarantine or regulated

non-quarantine pests.

The Annex also contains a Model Phytosanitary Certificate for

Re-Export. When plant or plant products are being re-exported,

this certificate is used to satisfy the importing contracting party

that the shipment conforms with its current phytosanitary requirements. The version of this certificate in the revised IPPC has not

been substantially changed from the version in the existing IPPC.

Existing legislation, i.e., the Plant Quarantine Act, 7 U.S.C. 151

et seq., the Federal Plant Pest Act, 7 U.S.C. 150aa et seq., the Federal Noxious Weed Act, 7 U.S.C. 2801 et seq., and the Federal Seed

Act, 7 U.S.C. 1551 et seq., provides sufficient authority to implement U.S. obligations under the revised IPPC. Therefore, no new

legislation is necessary for the United States to accept the revised

IPPC. Furthermore, implementation of the revised IPPC will not

require any increase in appropriations.

Accordingly, I recommend that the revised IPPC be transmitted

to the Senate as soon as possible for its advice and consent to acceptance by the United States, subject to the proposed understandings set forth in this report.

Respectfully submitted,

MADELEINE ALBRIGHT.

Enclosure: As stated.
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