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III. Agreement on the Application of Sanitary and
Phytosanitary Measures (SPS) and Agreement
on Technical Barriers to Trade (TBT)

 


Module
5


Introduction to the International Plant Protection Convention (IPPC)



R. Griffin
Plant Production and Protection Division


 

PURPOSE

To provide an overview of the IPPC, highlighting the relationship of the IPPC to the SPS Agreement and the role and activities of the IPPC in an international standard setting.

CONTENTS

5.1 Introduction

5.2 Objectives and organizational structure

5.3 Standard setting process

5.4 The IPPC and trade

5.5 Technical assistance

5.6 Contracting parties to the IPPC indicating the dates of adherence

5.7 Status of International Standards for Phytosanitary Measures (ISPM's) - January 1999

5.8 IPPC principles of plant quarantine as related to international trade

Appendix. International Plant Protection Convention

Annex. Model phytosanitary certificates

KEY POINTS

5.1 INTRODUCTION

The International Plant Protection Convention (IPPC) is a multilateral treaty deposited with the Director General of FAO. It is administered through the IPPC Secretariat located in FAO's Plant Protection Service in cooperation with regional and national plant protection organizations. The IPPC currently has 110 contracting parties as listed in Section 5.6 below

Convention came into force in 1952

The Convention was adopted by FAO in 1951 and came into force in 1952. It was amended once in 1979 and again in 1997. The recent revision was done primarily to reflect the role of the IPPC in relation to the Uruguay Round Agreements, particularly the Agreement on the Application of Sanitary and Phytosanitary Measures (the SPS Agreement). The SPS Agreement identifies the IPPC as the organization providing international standards to help ensure that measures implemented to protect plant health (phytosanitary measures) are harmonized and not used as unjustified non-tariff barriers to trade.

This module covers the following aspects:

5.2 OBJECTIVES AND ORGANIZATIONAL STRUCTURE

The purpose of the Convention is "international cooperation in controlling pests of plants and plant products and in preventing their international spread, and especially their introduction into endangered areas" (IPPC Preamble).

The IPPC has clear applications to the regulation of trade but the Convention is not limited in this respect. Many forms of international cooperation fall within the scope of the Convention. Likewise, plants are not limited to cultivated plants and protection is not limited to direct damage from pests. Therefore, the scope of the Convention extends to the protection of both cultivated and natural flora and includes both direct and indirect damage by pests.

Revised Convention approved in 1997

The role of the Convention in relation to trade has strengthened significantly in recent years as reflected in the substantial amendments found in the New Revised Text approved by the 29th Session of FAO Conference in November 1997. The revised text is included as an appendix to this module. In addition to describing the fundamental elements of international cooperation and national plant protection responsibilities in a contemporary context, the IPPC also now emphasizes the establishment and recognition of international standards for phytosanitary measures (ISPMs).

Secretariat provided by FAO...

From 1951 until 1992, the IPPC existed as an international agreement administered by FAO and implemented through the cooperation of regional and national plant protection organizations. Recognizing the position the IPPC was to hold in the SPS Agreement, FAO established a Secretariat for the IPPC in 1992 followed by the adoption of standard-setting procedures and the formation of the Committee of Experts on Phytosanitary Measures (CEPM) in 1993.

...assisted by a Committee of Experts...

The Secretariat is charged with coordination of the work programme for global harmonization under the IPPC, in particular the elaboration of ISPMs. The office of the Secretariat currently consists of a Secretary (Chief of the FAO Plant Protection Service), the Coordinator, a Plant Quarantine Officer, a Plant Pathologist, and an Information Officer. In addition, the work of the Secretariat in standard-setting is supported by the Committee of Experts on Phytosanitary Measures (CEPM), a group of international phytosanitary experts that meets annually to review and comment on the suitability of documents prepared by the Secretariat.

...and a Commission

Amendments to the Convention have also resulted in the establishment of the Commission on Phytosanitary Measures. The functions of the Commission are to review the state of plant protection in the world, provide direction to the work programme of the IPPC Secretariat, and approve standards. FAO has established the Interim Commission on Phytosanitary Measures to perform these functions until the New Revised Text comes into force through acceptance of the amendments by 2/3 of the contracting parties. Membership to the Interim Commission is currently open to all FAO Members until such time as the Revised Text enters into force. At that time, membership will be open only to governments which are signatory to the Convention. Contracting parties are represented at the Commission meeting by representatives selected by their governments. The first meeting of the Interim Commission occurred at FAO Headquarters in Rome in November 1998.

5.3 STANDARD SETTING PROCESS

Key function is establishing international standards

Draft standards may be developed by the IPPC Secretariat or submitted to the IPPC Secretariat by regional or national plant protection organizations. Most standards have their origin in national or regional initiatives, or are drafted by international expert groups organized by the Secretariat. Draft standards are reviewed by the CEPM and also sent to member governments for consultation before being submitted to the Commission for adoption. The process may take from one to several years depending on the complexity of the topic and the level of agreement among governments.

IPPC standards fall into three categories: reference standards, such as the Glossary of phytosanitary terms; concept standards, such as Guidelines for pest risk analysis; and specific standards, such as Surveillance for citrus canker. To date, the IPPC has produced primarily reference and concept standards to establish the foundation for specific standards that follow.

The topics and priorities for standards are determined by the Secretariat in consultation with national and regional plant protection organizations and the Commission. The number and frequency of standards under development has a direct relationship to the resources available to the Secretariat and the technical complexity of the issues being addressed. The IPPC has been active in establishing international standards for phytosanitary measures since 1992 and currently has nine completed standards and approximately twelve standards in various stages of development.

5.4 THE IPPC AND TRADE

IPPC is one of the "three sisters" recognized in the SPS Agreement

The relationship of the IPPC to the SPS Agreement is created by reference in the SPS Agreement to the IPPC as the international organization responsible for standard-setting and the harmonization of phytosanitary measures affecting international trade. Both agreements are distinct in their scope, purpose, and membership. Neither agreement is "covered" by the other. Instead, they are complementary in the areas where their objectives overlap. The SPS Agreement makes provision for plant protection in a trade agreement while the IPPC makes complementary provision for trade in a plant protection agreement.

The IPPC Secretariat is an active observer in the SPS Committee and routinely interacts with other standard setting organizations, particularly the other two organizations identified in the SPS Agreement: the Codex Alimentarius Commission for food safety, and the Office International des Epizooties (OIE) for animal health. The IPPC, Codex and OIE are frequently referred to as "the three sisters" because of their relationship under the SPS Agreement. However, each is recognized as distinct and independent in scope, objectives, function, and membership. The IPPC is the only one of the three sisters whose mandate is based on an international convention.

WTO Members are expected to work with the IPPC for the purpose of establishing standards...

The SPS Agreement has as its core several important principles. These include, for example, the principles of sovereignty, necessity, harmonization, transparency, equivalence, and non-discrimination. The same principles are reflected in the New Revised Text of the IPPC and particularly in ISPMs. These principles provide the foundation for the elaboration of "standards, guidelines and recommendations" noted in the SPS Agreement as the basis for the international harmonization of sanitary and phytosanitary measures. ISPM No. 1, The principles of plant quarantine as related to international trade, provides a concise summary of the principles found in both the SPS Agreement and the IPPC. The text of this Measure can be found in Section 5.8.

5.4.1 International Standards for Phytosanitary Measures (ISPs)

The SPS Agreement recognizes the IPPC as the relevant international organization responsible for the establishment of international standards for phytosanitary measures and encourages countries to base their phytosanitary measures on IPPC standards, guidelines or recommendations in order to promote, to the greatest extent possible, the global harmonization of phytosanitary measures in trade. To this end, countries have an obligation under the SPS Agreement to play a full and active part in the IPPC to promote the development and periodic review of plant health standards, guidelines and recommendations. In particular, the WTO will refer to the IPPC to develop internationally accepted standards, methodologies and techniques for conducting risk assessments as well as standards and guidelines for the implementation in practice of SPS concepts such as equivalency.

...and measures based on IPPC standards do not require further justification

The Convention is a legally binding agreement, but standards developed and adopted by the IPPC, as well as those done by Codex and OIE, are not legally binding. However, measures that are based on international standards do not require supporting justification for WTO Members. Measures that deviate from international standards, or measures that exist in the absence of international standards, must be based on scientific principles and evidence. Emergency measures (also known as provisional measures) may be taken without complete analyses, but must be reviewed for their scientific justification and modified accordingly to be legitimately maintained.

The SPS Committee may invite the IPPC or its subsidiary bodies to examine specific matters with respect to a particular standard, guideline or recommendation (Article 12.6) and the Committee may recommend areas where IPPC standards are needed.

5.4.2 IPPC advisory role

The IPPC can be consulted by the WTO in disputes...

The SPS Committee, established under the World Trade Organization (WTO) and responsible for overseeing implementation of the SPS Agreement objectives, is charged with maintaining a working relationship with the IPPC in order to have access to the best available expertise and technical information to:

The WTO may establish panels to review phytosanitary-based trade disputes at the request of members. These panels may seek advice from or consult with the IPPC Secretariat in order to obtain technical information or identify technical experts which may help in the resolution of phytosanitary-based trade disputes (Article 11.2).

...and also provides an alternative dispute settlement mechanism

The IPPC also has dispute settlement provisions pertaining to the implementation of the Convention, in particular where phytosanitary measures may be challenged as unjustified barriers to trade. The dispute settlement process under the IPPC offers an alternative to examine controversial issues at a technical level. Although the dispute settlement process in the IPPC is non-binding, the results of the process can be expected to have substantial influence in disputes that may be raised to the WTO level under the SPS Agreement. In addition, IPPC standards, guidelines or recommendations may be used by the WTO SPS Committee or WTO dispute resolution panels to help evaluate phytosanitary-based trade issues and disputes.

5.5 TECHNICAL ASSISTANCE

5.5.1 FAO resources

Technical assistance from FAO in the disciplines related to the IPPC takes two forms. The first is capacity-building to strengthen phytosanitary institutions. FAO has a long history of this type of support and continually maintains a number of technical cooperation projects (TCP) to provide training, information, analysis, guidance, equipment and facilities. The technical support for such programs is coordinated through FAO's Plant Protection Service and normally uses the Plant Quarantine Officer attached to the IPPC as the technical focus.

The second, and increasingly more important area of technical assistance, involves understanding and implementing trade-related principles of plant protection, particularly international standards for phytosanitary measures and the provisions of the IPPC as it relates to the SPS Agreement. This typically involves workshops, seminars and meetings, but it can also take the form of a national or regional project. In many cases, this assistance is directed toward the modernization of legislative and regulatory systems in recognition of international standards and the obligations of governments under the IPPC and the SPS Agreement.

While many kinds of technical assistance fall within the mandate of FAO, it is important to recognize that the obligation to provide technical assistance under both the IPPC and the SPS Agreement rests with the member governments. Assistance may be provided directly by governments or through organizations such as the WTO or FAO. In this respect, the IPPC Secretariat and the Interim Commission on Phytosanitary Measures can play an important role in coordination and identifying appropriate technical resources.

5.5.2 Technical assistance needs of developing countries

Technical assistance directed to strengthening phytosanitary institutions...

A growing number of trade opportunities and challenges have served to heighten awareness among governments concerning the adequacy of their systems for plant protection. This is particularly true with regulatory systems where poor design and implementation are manifested in trade difficulties - both import and export. The IPPC is keenly aware of a great and urgent need for many developing countries to update policies, authority and corresponding organizational arrangements so that they can more fully realize the benefits of free, fair, and safe trade resulting from their recognition of IPPC and SPS obligations.

...and modernizing regulatory frameworks

Programmes can be designed that combine technical expertise in phytosanitary systems with FAO's legal expertise to provide tailored assistance to help countries or regions make appropriate adjustments in their policies, legislation, regulations, and related administration. FAO is unique in having a Developmental Law Office that has significant experience assisting such initiatives in cooperation with technical assistance programs. Further, FAO has a comparative advantage in being able to provide multi-disciplinary technical assistance which can include legal inputs as well as technical assistance in the other SPS areas of food safety and animal health. This places FAO in a unique position to address many levels and combinations of assistance that may be required in SPS related areas.

Developing countries can also benefit greatly from the sharing of resources and information at the regional and sub-regional level. For this reason, the IPPC places great emphasis on encouraging and supporting the activities of regional plant protection organizations. In addition, the IPPC cooperates with other UN organizations, NGOs and other agencies or organizations in providing coordination and technical support wherever there is a need for phytosanitary capacity-building.

However, regional and other organizations cannot represent individual governments in the Commission on Phytosanitary Measures or the SPS Committee. Therefore, it should be a priority for each country to ensure that it is represented and active in the IPPC and SPS through these fora. In this way, every country has an equal voice and developing countries can be sure that their unique concerns are voiced and addressed.

5.6 CONTRACTING PARTIES TO THE IPPC INDICATING DATES OF ADHERENCE

Albania (29 Jul 99)
Algeria
(1 Oct 95)
Argentina
(23 Sep 54)
Australia (30 Apr 52)
Austria
(6 Dec 57)
Bahamas
(19 Sep 97)
Bahrain
(29 Mar 71)
Bangladesh
(1 Sep 78)
Barbados
(6 Dec 51)
Belgium
(6 Dec 51)
Belize
(14 May 87)
Bhutan
(20 Jun 94)
Bolivia (27 Oct 60)
Brazil
(6 Dec 51)
Bulgaria
(8 Nov 91)
Burkina Faso
(8 Jun 95)
Cambodia (10 Jun 52)
Canada
(6 Dec 51)
Cape Verde
(19 Mar 80)
Chile
(3 Apr 52)
Colombia
(29 Apr 52)
Costa Rica
(28 Apr 52)
Croatia
(14 May 99)
Cuba
(6 Dec 51)
Cyprus (
11 Feb 99)
Czech Republic
(5 Aug 83)
Denmark
(6 Dec 51)
Dominican Republic
(20 Jun 52)
Ecuador (12 Mar 52)
Egypt
(6 Dec 51)
El Salvador
(6 Dec 51)
Equatorial Guinea
(27 Aug 91)
Ethiopia
(20 Jun 77)
Finland (22 Jun 60)
France
(6 Dec 51)
Germany
(30 Apr 52)
Ghana
(22 Feb 91)
Greece (9 Dec 54)
Grenada (27 Nov 85)
Guatemala
(28 Apr 52)
Guinea, Rep. of
(22 May 91)
Guyana
(31 Aug 70)
Haiti
(6 Nov 70)
Hungary
(17 May 60)
India
(30 Apr 52)
Indonesia
(6 Dec 57)
Iran
(18 Sep 72)
Iraq
(1 Jul 54)
Ireland
(9 Dec 51)
Israel
(6 Dec 51)
Italy
(2 Jan 51)
Jamaica
(24 Nov 69)
Japan
(6 Dec 51)
Jordan
(24 Apr 70)
Kenya
(7 May 74)
Korea, Rep. of
(8 Dec 53)
Laos
(28 Feb 59)
Lebanon
(18 Sep 70)
Liberia
(2 Jul 86)
Libyan Arab Jamahiriya
(9 Jul 70)
Luxembourg
(16 Jan 52)
Malawi
(21 May 74)
Malaysia
(17 May 91)
Mali (
31 Aug 87)
Malta
(13 May 75)
Mauritius
(11 Jun 71)
Mexico
(26 May 76)
Morocco
(12 Oct 72)
Netherlands
(29 Oct 54)
New Zealand
(6 Dec 51)
Nicaragua
(2 Aug 56)
Niger
(4 Jun 85)
Nigeria
(17 Aug 93)
Norway (23 Apr 56)
Oman
(23 Jan 89)
Pakistan (10 Nov 54)
Panama
(14 Feb 68)
Papua New Guinea
(1 Jun 76)
Paraguay
(5 Apr 68)
Peru
(1 Jul 75)
Philippines
(12 Jun 51)
Poland
(29 May 96)
Portugal (6 Dec 51)
Romania
(17 Nov 71)
Russian Federation
(24 Apr 56)
St. Kitts and Nevis
(17 Apr 90)
Senegal (3 Mar 75)
Seychelles
(31 Oct 96)
Sierra Leone (23 Jun 81)
Slovenia
(27 May 98)
Solomon Islands
(18 Oct 78)
South Africa
(21 Sep 56)
Spain
(18 Feb 52)
Sri Lanka
(12 Feb 52)
Sudan
(16 Jul 71)
Suriname (28 Nov 54)
Sweden
(30 May 52)
Switzerland
(6 Dec 51)
Thailand
(6 Dec 51)
Togo
(2 Apr 86)
Trinidad and Tobago
(30 Jun 70)
Tunisia
(22 Jul 71)
Turkey
(29 Jul 88)
United Kingdom
(6 Dec 51)
United States of America
(6 Dec 51)
Uruguay
(30 Apr 52)
Venezuela
(12 May 96)
Yemen
(20 Dec 90)
Yugoslavia
(11 Feb 55)
Zambia
(24 Jun 86)

5.7 STATUS OF INTERNATIONAL STANDARDS FOR PHYTOSANITARY MEASURES (ISPMS) - JANUARY 1999

Completed Standards:

The International Plant Protection Convention (existing, and New Revised Text)
(ISPM1) Principles of Plant Quarantine as Related to International Trade
(ISPM 2) Guidelines for Pest Risk Analysis
(ISPM 3) Code of Conduct for the Import and Release of Exotic Biological Control Agents
(ISPM 4) Requirements for the Establishment of Pest Free Areas
(ISPM 5) Glossary of Phytosanitary Terms
(ISPM 6) Guidelines for Surveillance
(ISPM 7) Export Certification System
(ISPM 8) Determination of Pest Status in an Area
(ISPM 9) Guidelines for Pest Eradication Programs
(ISPM 10) Requirements for the Establishment of Pest Free Places of Production and Pest Free Production Sites

Draft ISPM's under consideration by governments and the CEPM

Inspection Methodology
Guidelines for Phytosanitary Certificates
Pest Risk Analysis (PRA) for Quarantine Pests

Other ISPM's in draft

Guidelines for an Import Regulatory System
Guidelines for Surveillance for Specific Pests: Citrus Canker
General Considerations and Requirements for Regulated Non-quarantine Pests
Non-Manufactured Wood Packing Material

ISPM's under revision

Principles of Plant Quarantine (first draft prepared by the Secretariat)
Guidelines for Pest Risk Analysis (first draft prepared by the Secretariat)

Future priorities for standard-setting

Guidelines for the preparation of regulated pest lists (1999)
Technical justification for regulating non-quarantine pests
Guidelines for notification - interceptions and non-compliance (1999)
Systems approaches for risk management
Low pest prevalence
Pest-specific monitoring and testing requirements
Training and accreditation of inspectors
Pest control procedures
Systems for approving phytosanitary treatments
Guidelines for research requirements for treatment efficacy
Commodity-specific standards

5.8 IPPC PRINCIPLES OF PLANT QUARANTINE AS RELATED TO INTERNATIONAL TRADE

Sovereignty: With the aim of preventing the introduction of quarantine pests into their territories, it is recognized that countries may exercise the sovereign right to utilize phytosanitary measures to regulate the entry of plants and plant products and other materials capable of harbouring pests.

Necessity: Countries shall institute restrictive measures only where such measures are made necessary by phytosanitary considerations, to prevent the introduction of quarantine pests.

Minimal impact: Phytosanitary measures shall be consistent with the pest risk involved, and shall represent the least restrictive measures available which result in the minimum impediment to the international movement of people, commodities, and conveyances.

Modification: As conditions change, and as new facts become available, phytosanitary measures shall be modified promptly, either by inclusion of prohibitions, restrictions or requirements necessary for their success, or by removal of those found to be unnecessary.

Transparency: Countries shall publish and disseminate phytosanitary prohibitions, restrictions and requirements and, on request, make available the rationale for such measures.

Harmonization: Phytosanitary measures shall be based, whenever possible, on international standards, guidelines and recommendations, developed within the framework of the IPPC.

Equivalence: Countries shall recognize as being equivalent those phytosanitary measures that are not identical but which have the same effect.

Dispute settlement: It is preferable that any dispute between two countries regarding phytosanitary measures be resolved at a technical bilateral level. If such a solution cannot be achieved within a reasonable period of time, further action may be undertaken by means of a multilateral settlement system.

Cooperation: Countries shall cooperate to prevent the spread and introduction of quarantine pests, and to promote measures for their official control.

Technical authority: Countries shall provide an official Plant Protection Organization.

Risk analysis: To determine which pests are quarantine pests and the strength of the measures to be taken against them, countries shall use pest risk analysis methods based on biological and economic evidence and, wherever possible, follow procedures developed within the framework of the IPPC.

Managed risk: Because some risk of the introduction of a quarantine pest always exists, countries shall agree to a policy of risk management when formulating phytosanitary measures.

Pest-free areas: Countries shall recognize the status of areas in which a specific pest does not occur. On request, the countries in whose territories the pest-free lie shall demonstrate this status based, where available, on procedures developed within the framework of the IPPC.

Emergency actions: Countries may, in the face of a new and/or unexpected phytosanitary situation, take immediate emergency measures on the basis of a preliminary pest risk analysis. Such emergency measures shall be temporary in their application, and their validity will be subjected to a detailed pest risk analysis as soon as possible.

Notification of non-compliance: Importing countries shall promptly inform exporting countries of any non-compliance with phytosanitary prohibitions, restrictions or requirements.

Non-discrimination: Phytosanitary measures shall be applied without discrimination between countries of the same phytosanitary status, if such countries can demonstrate that they apply identical or equivalent phytosanitary measures in pest management. In the case of a quarantine pest within a country, measures shall be applied without discrimination between domestic and imported consignments.

 


Appendix

FAO INTERNATIONAL PLANT PROTECTION CONVENTION
(New Revised Text approved by the FAO Conference at its 29th Session - November 1997)

 

PREAMBLE

The contracting parties,

- recognizing the necessity for international cooperation in controlling pests of plants and plant products and in preventing their international spread, and especially their introduction into endangered areas;

- recognizing that phytosanitary measures should be technically justified, transparent and should not be applied in such a way as to constitute either a means of arbitrary or unjustified discrimination or a disguised restriction, particularly on international trade;

- desiring to ensure close coordination of measures directed to these ends;

- desiring to provide a framework for the development and application of harmonized phytosanitary measures and the elaboration of international standards to that effect;

- taking into account internationally approved principles governing the protection of plant, human and animal health, and the environment; and

- noting the agreements concluded as a result of the Uruguay Round of Multilateral Trade Negotiations, including the Agreement on the Application of Sanitary and Phytosanitary Measures;

have agreed as follows:

ARTICLE I
Purpose and responsibility

1. 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, the contracting parties undertake to adopt the legislative, technical and administrative measures specified in this Convention and in supplementary agreements pursuant to Article XVI.

2. Each contracting party shall assume responsibility, without prejudice to obligations assumed under other international agreements, for the fulfilment within its territories of all requirements under this Convention.

3. The division of responsibilities for the fulfilment of the requirements of this Convention between member organizations of FAO and their member states that are contracting parties shall be in accordance with their respective competencies.

4. Where appropriate, the provisions of this Convention may be deemed by contracting parties to extend, in addition to plants and plant products, to storage places, packaging, conveyances, containers, soil and any other organism, object or material capable of harbouring or spreading plant pests, particularly where international transportation is involved.

 

ARTICLE II
Use of terms

1. For the purpose of this Convention, the following terms shall have the meanings hereunder assigned to them:

"Area of low pest prevalence" - an area, whether all of a country, part of a country, or all or parts of several countries, as identified by the competent authorities, in which a specific pest occurs at low levels and which is subject to effective surveillance, control or eradication measures;

"Commission" - the Commission on Phytosanitary Measures established under Article XI;

"Endangered area" - an area where ecological factors favour the establishment of a pest whose presence in the area will result in economically important loss;

"Establishment" - perpetuation, for the foreseeable future, of a pest within an area after entry;

"Harmonized phytosanitary measures" - phytosanitary measures established by contracting parties based on international standards;

"International standards" - international standards established in accordance with Article X, paragraphs 1 and 2;

"Introduction" - the entry of a pest resulting in its establishment;

"Pest" - any species, strain or biotype of plant, animal or pathogenic agent injurious to plants or plant products;

"Pest risk analysis" - the process of evaluating biological or other scientific and economic evidence to determine whether a pest should be regulated and the strength of any phytosanitary measures to be taken against it;

"Phytosanitary measure" - any legislation, regulation or official procedure having the purpose to prevent the introduction and/or spread of pests;

"Plant products" - unmanufactured material of plant origin (including grain) and those manufactured products that, by their nature or that of their processing, may create a risk for the introduction and spread of pests;

"Plants" - living plants and parts thereof, including seeds and germplasm;

"Quarantine pest" - a pest of potential economic importance to the area endangered thereby and not yet present there, or present but not widely distributed and being officially controlled;

"Regional standards" - standards established by a regional plant protection organization for the guidance of the members of that organization;

"Regulated article" - any plant, plant product, storage place, packaging, conveyance, container, soil and any other organism, object or material capable of harbouring or spreading pests, deemed to require phytosanitary measures, particularly where international transportation is involved;

"Regulated non-quarantine pest" - a non-quarantine pest whose presence in plants for planting affects the intended use of those plants with an economically unacceptable impact and which is therefore regulated within the territory of the importing contracting party;

"Secretary" - Secretary of the Commission appointed pursuant to Article XII;

"Technically justified" - justified on the basis of conclusions reached by using an appropriate pest risk analysis or, where applicable, another comparable examination and evaluation of available scientific information.

2. The definitions set forth in this Article, being limited to the application of this Convention, shall not be deemed to affect definitions established under domestic laws or regulations of contracting parties.

 

ARTICLE III
Relationship with other international agreements

Nothing in this Convention shall affect the rights and obligations of the contracting parties under relevant international agreements.

 

ARTICLE IV
General provisions relating to the organizational
arrangements for national plant protection

1. Each contracting party shall make provision, to the best of its ability, for an official national plant protection organization with the main responsibilities set out in this Article.

2. The responsibilities of an official national plant protection organization shall include the following:

a) the issuance of certificates relating to the phytosanitary regulations of the importing contracting party for consignments of plants, plant products and other regulated articles;

b) the surveillance of growing plants, including both areas under cultivation (inter alia fields, plantations, nurseries, gardens, greenhouses and laboratories) and wild flora, and of plants and plant products in storage or in transportation, particularly with the object of reporting the occurrence, outbreak and spread of pests, and of controlling those pests, including the reporting referred to under Article VIII paragraph 1(a);

c) the inspection of consignments of plants and plant products moving in international traffic and, where appropriate, the inspection of other regulated articles, particularly with the object of preventing the introduction and/or spread of pests;

d) the disinfestation or disinfection of consignments of plants, plant products and other regulated articles moving in international traffic, to meet phytosanitary requirements;

e) the protection of endangered areas and the designation, maintenance and surveillance of pest free areas and areas of low pest prevalence;

f) the conduct of pest risk analyses;

g) to ensure through appropriate procedures that the phytosanitary security of consignments after certification regarding composition, substitution and reinfestation is maintained prior to export; and

h) training and development of staff.

3. Each contracting party shall make provision, to the best of its ability, for the following:

a) the distribution of information within the territory of the contracting party regarding regulated pests and the means of their prevention and control;

b) research and investigation in the field of plant protection;

c) the issuance of phytosanitary regulations; and

d) the performance of such other functions as may be required for the implementation of this Convention.

4. Each contracting party shall submit a description of its official national plant protection organization and of changes in such organization to the Secretary. A contracting party shall provide a description of its organizational arrangements for plant protection to another contracting party, upon request.

 

ARTICLE V
Phytosanitary certification

1. Each contracting party shall make arrangements for phytosanitary certification, with the objective of ensuring that exported plants, plant products and other regulated articles and consignments thereof are in conformity with the certifying statement to be made pursuant to paragraph 2(b) of this Article.

2. Each contracting party shall make arrangements for the issuance of phytosanitary certificates in conformity with the following provisions:

a) Inspection and other related activities leading to issuance of phytosanitary certificates shall be carried out only by or under the authority of the official national plant protection organization. The issuance of phytosanitary certificates shall be carried out by public officers who are technically qualified and duly authorized by the official national plant protection organization to act on its behalf and under its control with such knowledge and information available to those officers that the authorities of importing contracting parties may accept the phytosanitary certificates with confidence as dependable documents.

b) Phytosanitary certificates, or their electronic equivalent where accepted by the importing contracting party concerned, shall be as worded in the models set out in the Annex to this Convention. These certificates should be completed and issued taking into account relevant international standards.

c) Uncertified alterations or erasures shall invalidate the certificates.

3. Each contracting party undertakes not to require consignments of plants or plant products or other regulated articles imported into its territories to be accompanied by phytosanitary certificates inconsistent with the models set out in the Annex to this Convention. Any requirements for additional declarations shall be limited to those technically justified.

 

ARTICLE VI
Regulated pests

1. Contracting parties may require phytosanitary measures for quarantine pests and regulated non-quarantine pests, provided that such measures are:

a) no more stringent than measures applied to the same pests, if present within the territory of the importing contracting party; and

b) limited to what is necessary to protect plant health and/or safeguard the intended use and can be technically justified by the contracting party concerned.

2. Contracting parties shall not require phytosanitary measures for non-regulated pests.

 

ARTICLE VII
Requirements in relation to imports

1. With the aim of preventing the introduction and/or spread of regulated pests into their territories, contracting parties shall have sovereign authority to regulate, in accordance with applicable international agreements, the entry of plants and plant products and other regulated articles and, to this end, may:

a) prescribe and adopt phytosanitary measures concerning the importation of plants, plant products and other regulated articles, including, for example, inspection, prohibition on importation, and treatment;

b) refuse entry or detain, or require treatment, destruction or removal from the territory of the contracting party, of plants, plant products and other regulated articles or consignments thereof that do not comply with the phytosanitary measures prescribed or adopted under subparagraph (a);

c) prohibit or restrict the movement of regulated pests into their territories;

d) prohibit or restrict the movement of biological control agents and other organisms of phytosanitary concern claimed to be beneficial into their territories.

2. In order to minimize interference with international trade, each contracting party, in exercising its authority under paragraph 1 of this Article, undertakes to act in conformity with the following:

a) Contracting parties shall not, under their phytosanitary legislation, take any of the measures specified in paragraph 1 of this Article unless such measures are made necessary by phytosanitary considerations and are technically justified.

b) Contracting parties shall, immediately upon their adoption, publish and transmit phytosanitary requirements, restrictions and prohibitions to any contracting party or parties that they believe may be directly affected by such measures.

c) Contracting parties shall, on request, make available to any contracting party the rationale for phytosanitary requirements, restrictions and prohibitions.

d) If a contracting party requires consignments of particular plants or plant products to be imported only through specified points of entry, such points shall be so selected as not to unnecessarily impede international trade. The contracting party shall publish a list of such points of entry and communicate it to the Secretary, any regional plant protection organization of which the contracting party is a member, all contracting parties which the contracting party believes to be directly affected, and other contracting parties upon request. Such restrictions on points of entry shall not be made unless the plants, plant products or other regulated articles concerned are required to be accompanied by phytosanitary certificates or to be submitted to inspection or treatment.

e) Any inspection or other phytosanitary procedure required by the plant protection organization of a contracting party for a consignment of plants, plant products or other regulated articles offered for importation, shall take place as promptly as possible with due regard to their perishability.

f) Importing contracting parties shall, as soon as possible, inform the exporting contracting party concerned or, where appropriate, the re-exporting contracting party concerned, of significant instances of non-compliance with phytosanitary certification. The exporting contracting party or, where appropriate, the re-exporting contracting party concerned, should investigate and, on request, report the result of its investigation to the importing contracting party concerned.

g) Contracting parties shall institute only phytosanitary measures that are technically justified, consistent with the pest risk involved and represent the least restrictive measures available, and result in the minimum impediment to the international movement of people, commodities and conveyances.

h) Contracting parties shall, as conditions change, and as new facts become available, ensure that phytosanitary measures are promptly modified or removed if found to be unnecessary.

i) Contracting parties shall, to the best of their ability, establish and update lists of regulated pests, using scientific names, and make such lists available to the Secretary, to regional plant protection organizations of which they are members and, on request, to other contracting parties.

j) Contracting parties shall, to the best of their ability, conduct surveillance for pests and develop and maintain adequate information on pest status in order to support categorization of pests, and for the development of appropriate phytosanitary measures. This information shall be made available to contracting parties, on request.

3. A contracting party may apply measures specified in this Article to pests which may not be capable of establishment in its territories but, if they gained entry, cause economic damage. Measures taken against these pests must be technically justified.

4. Contracting parties may apply measures specified in this Article to consignments in transit through their territories only where such measures are technically justified and necessary to prevent the introduction and/or spread of pests.

5. Nothing in this Article shall prevent importing contracting parties from making special provision, subject to adequate safeguards, for the importation, for the purpose of scientific research, education, or other specific use, of plants and plant products and other regulated articles, and of plant pests.

6. Nothing in this Article shall prevent any contracting party from taking appropriate emergency action on the detection of a pest posing a potential threat to its territories or the report of such a detection. Any such action shall be evaluated as soon as possible to ensure that its continuance is justified. The action taken shall be immediately reported to contracting parties concerned, the Secretary, and any regional plant protection organization of which the contracting party is a member.

 

ARTICLE VIII
International cooperation

1. The contracting parties shall cooperate with one another to the fullest practicable extent in achieving the aims of this Convention, and shall in particular:

a) cooperate in the exchange of information on plant pests, particularly the reporting of the occurrence, outbreak or spread of pests that may be of immediate or potential danger, in accordance with such procedures as may be established by the Commission;

b) participate, in so far as is practicable, in any special campaigns for combating pests that may seriously threaten crop production and need international action to meet the emergencies; and

c) cooperate, to the extent practicable, in providing technical and biological information necessary for pest risk analysis.

2. Each contracting party shall designate a contact point for the exchange of information connected with the implementation of this Convention.

 

ARTICLE IX
Regional plant protection organizations

1. The contracting parties undertake to cooperate with one another in establishing regional plant protection organizations in appropriate areas.

2. The regional plant protection organizations shall function as the coordinating bodies in the areas covered, shall participate in various activities to achieve the objectives of this Convention and, where appropriate, shall gather and disseminate information.

3. The regional plant protection organizations shall cooperate with the Secretary in achieving the objectives of the Convention and, where appropriate, cooperate with the Secretary and the Commission in developing international standards.

4. The Secretary will convene regular Technical Consultations of representatives of regional plant protection organizations to:

a) promote the development and use of relevant international standards for phytosanitary measures; and

b) encourage inter-regional cooperation in promoting harmonized phytosanitary measures for controlling pests and in preventing their spread and/or introduction.

 

ARTICLE X
Standards

1. The contracting parties agree to cooperate in the development of international standards in accordance with the procedures adopted by the Commission.

2. International standards shall be adopted by the Commission.

3. Regional standards should be consistent with the principles of this Convention; such standards may be deposited with the Commission for consideration as candidates for international standards for phytosanitary measures if more broadly applicable.

4. Contracting parties should take into account, as appropriate, international standards when undertaking activities related to this Convention.

 

ARTICLE XI
Commission on Phytosanitary Measures

1. Contracting parties agree to establish the Commission on Phytosanitary Measures within the framework of the Food and Agriculture Organization of the United Nations (FAO).

2. The functions of the Commission shall be to promote the full implementation of the objectives of the Convention and, in particular, to:

a) review 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;

b) establish and keep under review the necessary institutional arrangements and procedures for the development and adoption of international standards, and to adopt international standards;

c) establish rules and procedures for the resolution of disputes in accordance with Article XIII;

d) establish such subsidiary bodies of the Commission as may be necessary for the proper implementation of its functions;

e) adopt guidelines regarding the recognition of regional plant protection organizations;

f) establish cooperation with other relevant international organizations on matters covered by this Convention;

g) adopt such recommendations for the implementation of the Convention as necessary; and

h) perform such other functions as may be necessary to the fulfilment of the objectives of this Convention.

3. Membership in the Commission shall be open to all contracting parties.

4. Each contracting party may be represented at sessions of the Commission by a single delegate who may be accompanied by an alternate, and by experts and advisers. Alternates, experts and advisers may take part in the proceedings of the Commission but may not vote, except in the case of an alternate who is duly authorized to substitute for the delegate.

5. The contracting parties shall make every effort to reach agreement on all matters by consensus. If all efforts to reach consensus have been exhausted and no agreement is reached, the decision shall, as a last resort, be taken by a two-thirds majority of the contracting parties present and voting.

6. A member organization of FAO that is a contracting party and the member states of that member organization that are contracting parties shall exercise their membership rights and fulfil their membership obligations in accordance, mutatis mutandis, with the Constitution and General Rules of FAO.

7. The Commission may adopt and amend, as required, its own Rules of Procedure, which shall not be inconsistent with this Convention or with the Constitution of FAO.

8. The Chairperson of the Commission shall convene an annual regular session of the Commission.

9. Special sessions of the Commission shall be convened by the Chairperson of the Commission at the request of at least one-third of its members.

10. The Commission shall elect its Chairperson and no more than two Vice-Chairpersons, each of whom shall serve for a term of two years.

 

ARTICLE XII
Secretariat

1. The Secretary of the Commission shall be appointed by the Director-General of FAO.

2. The Secretary shall be assisted by such secretariat staff as may be required.

3. The Secretary shall be responsible for implementing the policies and activities of the Commission and carrying out such other functions as may be assigned to the Secretary by this Convention and shall report thereon to the Commission.

4. The Secretary shall disseminate:

a) international standards to all contracting parties within sixty days of adoption;

b) to all contracting parties, lists of points of entry under Article VII paragraph 2(d) communicated by contracting parties;

c) lists of regulated pests whose entry is prohibited or referred to in Article VII paragraph 2(i) to all contracting parties and regional plant protection organizations;

d) information received from contracting parties on phytosanitary requirements, restrictions and prohibitions referred to in Article VII paragraph 2(b), and descriptions of official national plant protection organizations referred to in Article IV paragraph 4.

5. The Secretary shall provide translations in the official languages of FAO of documentation for meetings of the Commission and international standards.

6. The Secretary shall cooperate with regional plant protection organizations in achieving the aims of the Convention.

 

ARTICLE XIII
Settlement of disputes

1. If there is any dispute regarding 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 the 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 view 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 and 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 responsible 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 of which the disagreement arose.

5. The contracting parties concerned shall share 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 dealing with trade matters.

 

ARTICLE XIV
Substitution of prior agreements

This Convention shall terminate and replace, between contracting parties, the International Convention respecting measures to be taken against the Phylloxera vastatrix of 3 November 1881, the additional Convention signed at Berne on 15 April 1889 and the International Convention for the Protection of Plants signed at Rome on 16 April 1929.

 

ARTICLE XV
Territorial application

1. Any contracting party may at the time of ratification or adherence or at any time thereafter communicate to the Director-General of FAO a declaration that this Convention shall extend to all or any of the territories for the international relations of which it is responsible, and this Convention shall be applicable to all territories specified in the declaration as from the thirtieth day after the receipt of the declaration by the Director-General.

2. Any contracting party which has communicated to the Director-General of FAO a declaration in accordance with paragraph 1 of this Article may at any time communicate a further declaration modifying the scope of any former declaration or terminating the application of the provisions of the present Convention in respect of any territory. Such modification or termination shall take effect as from the thirtieth day after the receipt of the declaration by the Director-General.

3. The Director-General of FAO shall inform all contracting parties of any declaration received under this Article.

 

ARTICLE XVI
Supplementary agreements

1. The contracting parties may, for the purpose of meeting special problems of plant protection which need particular attention or action, enter into supplementary agreements. 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 supplementary 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.

 

ARTICLE XVII
Ratification and adherence

1. This Convention shall be open for signature by all states until 1 May 1952 and shall be ratified at the earliest possible date. The instruments of ratification shall be deposited with the Director-General of FAO, who shall give notice of the date of deposit to each of the signatory states.

2. As soon as this Convention has come into force in accordance with Article XXII it shall be open for adherence by non-signatory states and member organizations of FAO. Adherence shall be effected by the deposit of an instrument of adherence with the Director-General of FAO, who shall notify all contracting parties.

3. When a member organization of FAO becomes a contracting party to this Convention, the member organization shall, in accordance with the provisions of Article II paragraph 7 of the FAO Constitution, as appropriate, notify at the time of its adherence such modifications or clarifications to its declaration of competence submitted under Article II paragraph 5 of the FAO Constitution as may be necessary in light of its acceptance of this Convention. Any contracting party to this Convention may, at any time, request a member organization of FAO that is a contracting party to this Convention to provide information as to which, as between the member organization and its member states, is responsible for the implementation of any particular matter covered by this Convention. The member organization shall provide this information within a reasonable time.

 

ARTICLE XVIII
Non-contracting parties

The contracting parties shall encourage any state or member organization of FAO, not a party to this Convention, to accept this Convention, and shall encourage any non-contracting party to apply phytosanitary measures consistent with the provisions of this Convention and any international standards adopted hereunder.

 

ARTICLE XIX
Languages

1. The authentic languages of this Convention shall be all official languages of FAO.

2. Nothing in this Convention shall be construed as requiring contracting parties to provide and to publish documents or to provide copies of them other than in the language(s) of the contracting party, except as stated in paragraph 3 below.

3. The following documents shall be in at least one of the official languages of FAO:

a) information provided according to Article IV paragraph 4;

b) cover notes giving bibliographical data on documents transmitted according to Article VII paragraph 2(b);

c) information provided according to Article VII paragraph 2(b), (d), (i) and (j);

d) notes giving bibliographical data and a short summary of relevant documents on information provided according to Article VIII paragraph 1(a);

e) requests for information from contact points as well as replies to such requests, but not including any attached documents;

f) any document made available by contracting parties for meetings of the Commission.

 

ARTICLE XX
Technical assistance

The contracting parties agree to promote the provision of technical assistance to contracting parties, especially those that are developing contracting parties, either bilaterally or through the appropriate international organizations, with the objective of facilitating the implementation of this Convention.

 

ARTICLE XXI
Amendment

1. Any proposal by a contracting party for the amendment of this Convention shall be communicated to the Director-General of FAO.

2. Any proposed amendment of this Convention received by the Director-General of FAO from a contracting party shall be presented to a regular or special session of the Commission for approval and, if the amendment involves important technical changes or imposes additional obligations on the contracting parties, it shall be considered by an advisory committee of specialists convened by FAO prior to the Commission.

3. Notice of any proposed amendment of this Convention, other than amendments to the Annex, shall be transmitted to the contracting parties by the Director-General of FAO not later than the time when the agenda of the session of the Commission at which the matter is to be considered is dispatched.

4. Any such proposed amendment of this Convention shall require the approval of the Commission and shall come into force as from the thirtieth day after acceptance by two-thirds of the contracting parties. For the purpose of this Article, an instrument deposited by a member organization of FAO shall not be counted as additional to those deposited by member states of such an organization.

5. Amendments involving new obligations for contracting parties, however, shall come into force in respect of each contracting party only on acceptance by it and as from the thirtieth day after such acceptance. The instruments of acceptance of amendments involving new obligations shall be deposited with the Director-General of FAO, who shall inform all contracting parties of the receipt of acceptance and the entry into force of amendments.

6. Proposals for amendments to the model phytosanitary certificates set out in the Annex to this Convention shall be sent to the Secretary and shall be considered for approval by the Commission. Approved amendments to the model phytosanitary certificates set out in the Annex to this Convention shall become effective ninety days after their notification to the contracting parties by the Secretary.

7. For a period of not more than twelve months from an amendment to the model phytosanitary certificates set out in the Annex to this Convention becoming effective, the previous version of the phytosanitary certificates shall also be legally valid for the purpose of this Convention.

 

ARTICLE XXII
Entry into force

As soon as this Convention has been ratified by three signatory states it shall come into force among them. It shall come into force for each state or member organization of FAO ratifying or adhering thereafter from the date of deposit of its instrument of ratification or adherence.

 

ARTICLE XXIII
Denunciation

1. Any contracting party may at any time give notice of denunciation of this Convention by notification addressed to the Director-General of FAO. The Director-General shall at once inform all contracting parties.

2. Denunciation shall take effect one year from the date of receipt of the notification by the Director-General of FAO.

 

Annex

Model Phytosanitary Certificate

No. _______
Plant Protection Organization of _____________________________
TO: Plant Protection Organization(s) of _____________________________

I. Description of Consignment

Name and address of exporter: _____________________________
Declared name and address of consignee: _____________________________
Number and description of packages: _____________________________
Distinguishing marks: _____________________________
Place of origin: _____________________________
Declared means of conveyance: _____________________________
Declared point of entry: _____________________________
Name of produce and quantity declared: _____________________________
Botanical name of plants: _____________________________

This is to certify that the plants, plant products or other regulated articles described herein have been inspected and/or tested according to appropriate official procedures and are 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.

They are deemed to be practically free from other pests.*

II. Additional Declaration

III. Disinfestation and/or Disinfection Treatment
Date ______ Treatment _______ Chemical (active ingredient)________
Duration and temperature _____________________________
Concentration ______________________________
Additional information ______________________________

(Stamp of Organization) Place of issue ___________________
Name of authorized officer __________
Date __________ ________________
(Signature)     

No financial liability with respect to this certificate shall attach to _______________ (name of Plant Protection Organization) or to any of its officers or representatives.*

* Optional clause

 

Model Phytosanitary Certificate for Re-Export

No. _______
Plant Protection Organization
of _____________________________(contracting party of re-export)
TO: Plant Protection Organization(s)
of _____________________________(contracting party(ies) of import)

I. Description of Consignment

Name and address of exporter: _____________________________
Declared name and address of consignee: _____________________________
Number and description of packages: _____________________________
Distinguishing marks: _____________________________
Place of origin: _____________________________
Declared means of conveyance: _____________________________
Declared point of entry: _____________________________
Name of produce and quantity declared: _____________________________
Botanical name of plants: _____________________________

This is to certify that the plants, plant products or other regulated articles described above _____________ were imported into (contracting party of re-export) ___________ from ______________ (contracting party of origin) covered by Phytosanitary Certificate No. ________, *original  certified true copy  of which is attached to this certificate; that they are packed  repacked  in original  *new  containers, that based on the original phytosanitary certificate  and additional inspection , they are considered to conform with the current phytosanitary requirements of the importing contracting party, and that during storage in ____________________ (contracting party of re-export), the consignment has not been subjected to the risk of infestation or infection.

* Insert tick in appropriate  boxes

II. Additional Declaration

III. Disinfestation and/or Disinfection Treatment
Date ______ Treatment _______ Chemical (active ingredient)________
Duration and temperature _____________________________
Concentration ______________________________
Additional information ______________________________

(Stamp of Organization) Place of issue ___________________
Name of authorized officer __________
Date __________ ________________
(Signature)     

No financial liability with respect to this certificate shall attach to________________ (name of Plant Protection Organization) or to any of its officers or representatives.**

** Optional clause

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