INTRODUCTION AND OPENING OF THE SESSION (Agenda Item 1)
1. The Fourth Session of the Codex Committee on Food Import and Export Inspection and Certification Systems was held in Sydney, Australia, at the kind invitation of the Government of Australia. Mr. Digby Gascoine, Australia Quarantine and Inspection Service, chaired the Session. The meeting was attended by 186 Delegates representing 42 Member nations of the Commission and by 19 persons representing 13 international observer organizations. The Session was opened by Mr. G.F. Taylor, Secretary, Commonwealth Department of Primary Industries and Energy, Canberra, Australia.
ADOPTION OF THE AGENDA (Agenda Item 2)1
2. The Committee adopted the Provisional Agenda as proposed. It agreed that a number of matters referred by the Commission, the Codex Committee on Methods of Analysis and Sampling and the Codex Committee on Fish and Fisheries Products would be discussed under Other Business (see paras. 21–31).
MATTERS REFERRED FROM CODEX COMMITTEES (Agenda Item 3)2
3. The Committee noted that the 21st Session of the Codex Alimentarius Commission approved the strategic approach for implementing the Medium - Term Plan3, and supported the project plans4 submitted to it.
DRAFT GUIDELINES FOR THE EXCHANGE OF INFORMATION BETWEEN COUNTRIES ON REJECTIONS OF IMPORTED FOOD (Agenda Item 4)5
4. The Committee agreed to revise the title “Scope” to read as “Preamble” in order to reflect the applicability of the general principles in this section to the Guidelines in their entirety. In view of the desire to keep consumers fully informed, a new paragraph was added to reflect the transparency provisions contained in the Principles for Food Import and Export Inspection and Certification (CAC/GL 20-1995).
5. Some delegations expressed their concern that the opening paragraph of the section on General Considerations concerning the provision of information to exporters on the reasons for rejection was overly detailed and onerous. The Committee, however, decided to leave the paragraph unchanged. The Committee also agreed to rearrange the section to indicate that notifications of rejection were applied differently depending on the seriousness of the reasons for rejection.
3 ALINORM 95/37, paras. 9 – 12
4 ALINORM 95/6, Appendix II, relevant parts of which are reproduced in the Annex to CX/FICS 96/2.
Status of the Draft Guidelines for the Exchange of Information Between Countries on Rejections of Imported Food
6. The Committee advanced the Guidelines to the Commission for adoption at Step 8. The draft Guidelines are attached to this report as Appendix 2.
PROPOSED DRAFT GUIDELINES FOR THE DESIGN, OPERATION, ASSESSMENT AND ACCREDITATION OF FOOD IMPORT AND EXPORT INSPECTION AND CERTIFICATION SYSTEMS (Agenda Item 5)6
7. The Committee endorsed the approach taken but made several changes to the document. The most significant points raised during the Committee's discussion were the following:
It was noted that the Commission had requested comments on harmonized definitions for “risk analysis” and related terms7 and that these definations, once finalized would be applied uniformly to all relevant Codex texts. The defination for “risk assessment” contained in the Principles for Food Import and Export Inspection and Certification was retained in the interim. The delegation of the Netherlands reserved its opinion on the amendment made to the defination of “official accreditation”.
The previous section dealing with Objectives was deleted, but its essential statements were transferred to the relevant sections of the document to which they applied.
It was agreed that controls on “labelling integrity” included controls on claims, including claims relating to religious requirements.
A new section dealing with Transparency of all of the matters covered by the Guidelines was included and linked to the relevant provision of the Principles for Food Import and Export Inspection and Certification.
It was agreed that the objectives of control systems covered all requirements as defined, including requirements intended to protect against potential fraud and deception and requirements to ensure fair practices in trade.
It was suggested that greater emphasis should be given to control of requirement for equipment and technologies applied to the food production system, and to include reference to the approval or registration of establishment and products.
Provisions were included for recognition by an importing country of inspection and certification being undertaken by sub-national authorities in an exporting country where such an arrangement was acceptable to all parties concerned.
Concern was expressed at the perception that the issuance of certificates was encouraged by the guidelines and several changes were made to the text to stress alternative arrangements.
It was noted that several Codex Committees and organizations such as the OIE were working on and in some cases had already adopted procedures to ensure the authenticity and validation of certification, and it was recommended that the work of these bodies should be considered when the Draft Guidelines were to be reviewed at the Committee's next session.
In relation to the inclusion of a paragraph to enable importers to have access to rejected or detained consignments, several delegations expressed concern at the practical implications of applying this provision.
It was agreed to include in the Annex on Procedures for Conducting an Assessment and Verification by an Importing Country of Inspection and Certification System of an Exporting Country a paragraph to indicate that where food control in an importing country was carried out by more than one agency, procedures for the assessment and verification should be coordinated between these agencies. One delegation also proposed that there should be appropriate coordination between the relevant agencies of the exporting country.
Concern was expressed about the procedures for preparing the report of the audit included in the annex on Procedures for Conducting an Assessment and Verification by an Importing Country of Inspection and Certification Systems of an Exporting Country with some delegations questioning whether the proposals were consistent with international standards of auditing.
The Committee identified certain other issues arising from its consideration of the document which may require further attention. Among these was to give practical effect in a way which was balanced and open to all interested parties to establishment of a global mechanism for the exchange of information on problems of food moving in international trade.
6 CX/FICS 96/4 and comments from Australia (CRD 2) and Malaysia (CRD 4).
Status of the Proposed Draft Guidelines for the Design, Operation, Assessment and Accreditation of Food Import and Export Inspection and Certification Systems
8. The Committee advanced the revised text to Step 5 of the Codex procedure for consideration by the Executive Committee at its forty-third session. The complete text of the Guidelines is included as Appendix 3 to the present report.
9. The committee expressed its appreciation to the delegation of Canada and the representatives of the European Community for their work in preparing the basic discussion document.
PROPOSED DRAFT GUIDELINES ON THE PRINCIPAL ELEMENTS IN AN ELECTRONIC DOCUMENTATION SYSTEM (Agenda Item 6)8
10. Although several delegations supported the elaboration of a checklist or general recommendations on the use of electronic documentation systems, it was noted that specific guidelines for electronic documentation may have far reaching legally binding implications for governments in their application, especially in the context of the WTO Agreements. Some delegations also stated that their elaboration was premature and impractical given the current status of the technology and the limited experience with its application. The high costs associated with the use of electronic documentation in multilingual environments was also noted.
8 ALINORM 95/30A, Appendix V and comments from Thailand (CRD 3).
11. Other delegations noted that there was wide international interest in the elaboration of guidelines for a technology which was already being applied in many different disciplines and areas of the world. It was stated that the guidelines as currently drafted did not impose an obligation on governments to implement electronic documentation systems for certification. It was felt by some delegations that the elaboration of guidelines was an area in which Codex could take the lead in establishing parameters for what was thought to be a highly efficient and practical technology.
12. Several delegations proposed that the document should be elaborated in the form of an information document rather than as guidelines. The Committee agreed that the document should be revised to provide a factual presentation of elements required in the use of electronic documentation systems, and that all references to their mandatory application should be removed. It was also agreed that terms throughout the text would need to be defined and specific provisions would require harmonization with other principles established by the Committee. The recognition of other internationally-based electronic documentation systems and the various government agencies involved in electronic documentation were also highlighted. The importance of adequate system controls to ensure limited access and the authenticity, integrity, confidentiality and reliability of electronic documentation was stressed.
Status of the Proposed Draft Guidelines on the Principal Elements in an Electronic Documentation System
13. The Committee agreed that a revised draft of the Guidelines should be prepared by Australia at step 2 in light of the above discussion for circulation, together with additional relevant information, for comment at Step 3.
PROPOSED DRAFT GUIDELINES ON THE APPLICATION OF THE ISO 9000 SERIES TO FOOD INSPECTION AND CERTIFICATION SYSTEMS (Agenda Item 7)9
14. The Committee recalled that this matter had been discussed at its Second Session, when it had been decided to requested the Delegation of France to prepare proposed draft Guidelines for consideration at the present session.10
15. The Committee welcomed the revised draft, especially the emphasis in the document on the fact that the use of the ISO 9000 standards by industry was entirely voluntary. It noted that the development of Guideline Notes for the Application of ISO 9001 for the Food and Drink Industry by ISO Technical Committee 34 was an exercise separate from but complementary to the present one. The proposed draft Guidelines under consideration by the CCFICS dealt exclusively with the interface between the application of ISO quility control systems by food businesses and official control systems. The Committee also noted that ISO Standards 9001, 9002 and 9003 dealt with contractual obligations between parties, whereas Standards 9000 and 9004 were more relevent to the field of quality assurance.
10 ALINORM 95/30A, paragraphs 84 – 89.
16. Several delegations raised concern that the paper dealt exclusively with the application of ISO standards in the field of quality systems. They drew attention to the fact that other quality assurance systems were also available which could be used by control authorities to enhance the efficacy of official control, inspection and certification systems, and the Guidelines should be generic in this regard. Some delegations referred to the Hazard Analysis/Critical Control Point (HACCP) system which they considered more appropriate to control food-borne hazards to consumer health. On this point, certain delegations drew attention to the compatability of the HACCP system to the ISO Standards.
17. The Committee noted the need for taking structured quality assurance systems applied voluntarily by industry into account in the application of official food export and import inspection and certification systems, while at the same time not emphasizing or promoting any particular system. It requested the Codex Secretariat to consider all points made at the present session, and with the assistance of the Delegation of France and other interested parties, to revise the present document with the inclusion of additional information as necessary. The revised Guidelines would address the relationship between the use of ISO 9000 Standards and other quality assurance systems, and food safety assurance systems such as HACCP.
Status of the Proposed Draft Guidelines on the Application of the ISO 9000 Series to Food Inspection and Certification Systems
18. The Committee returned the Proposed Draft Guidelines for redrafting at Step 2, followed by circulation for comments at Step 3.
PROPOSED DRAFT GUIDELINES FOR THE DEVELOPMENT OF AGREEMENTS BETWEEN EXPORTING AND IMPORTING COUNTRIES (Agenda Item 8)11
19. The committee welcomed the document prepared by the Delegation of the United States and approved its approach to the subject and its general content. The following main points were raised during discussion on the document:
Several Delegations raised the question as to whether there should be a distinction between Equivalence Agreements and Certification Agreements. Opinions were expressed that a certification agreement was a particular case which could be dealt within an overall equivalence agreement. Other delegations proposed that the document should be more explicit in covering inspection agreements and agreements concerning requirements for the registration of establishments.
The Committee agreed that provision should be made in the Guidelines for the dissemination of information under the agreements to industry and consumer and their representative organizations. It was also proposed that where possible provision should be made for public consideration at the national level prior to conclusion of agreements.
The Committee agreed that agreements should include, as appropriate, reference to dispute settlement procedures and provisions for the administration of agreements.
Status of the Proposed Draft Guidelines for the Development of Agreements Between Exporting and Importing Countries
20. The Committee returned the proposed draft Guidelines for redrafting at Step 2 by the Delegation of the USA in light of this discussion, followed by circulation for comments at Step 3.
OTHER BUSINESS AND FUTURE WORK (Agenda Item 9)
Proposed Draft Model Certificate for the Certification of Fish and Fishery Products12
21. The Delegation of Canada prepared and presented the paper in response to the request of the 21st Session of the Codex Committee on Fish and Fishery Products13 to develop criteria with respect to official certificates for fish and fishery products with a view to their international harmonization. The CCFFP proposal was supported by the 3rd Session of CCFICS, although it was agreed that it would be more appropriate to provide general advice on the layout and formats of inspection certificates and for commodity committees to provide the technical details of such certificates.
22. Canada noted that the purpose of the paper was to describe the essential components of certificates as they relate to the certification of fish and fishery products, drawing upon the needs and requirements of both exporting and importing countries. The paper provided examples of origin, health and hygiene statements or attestation which might be useful for CCFFP in developing a model certificate.
23. The committee noted that the paper was a suggested format for the consideration of CCFFP and that the certificate itself was not subject to endorsement by the CCFICS. The paper did not address issues of animal health as this matter was outside the mandate of Codex. It was noted that identical solutions for certification would probably not be possible for both farmed and wild fish.
24. The Committee decided to forward the document to the CCFFP for their consideration and further elaboration, with the understanding that the CCFICS should be fully informed of future developments. It was also agreed that the Australian Secretariat would prepare a discussion paper, in accordance with the terms of reference of the Committee, on the feasibility of developing Codex-wide guidelines and criteria with respect to the generic format and other aspects of official certificates for consideration at its next Session. The discussion paper would take into consideration the work of other international bodies relevant to the subject.
Matters Referred from the Codex Alimentarius Commission 14
25. In adopting the draft Principles for Food Import and Export Inspection and Certification, the Committee noted that the 21st Session of the Codex Alimentarius Commission had deleted the phrase “or risk of contamination” at the end of paragraph 9 of the Principles, and asked the CCFICS to give further consideration to the implications of this phrase.15
26. The Committee decided to discuss the implications of deleting this phrase at its next Session, bearing in mind that the recognition of contamination-free zones of production would be an important contribution to facilitation of trade.
14 Conference Room Document 1.
Development of Objective Criteria for Assessing the Competence of Testing Laboratories Involved in the Official Import and Export Control of Foods 16
27. The Committee was informed that the 20th Session of the Codex-Committee on Methods of Analysis and Sampling (CCMAS) had discussed the above subject on the basis of CX/MAS 95/4 and had decided that the paper be revised on the basis of comments and recommendations made at the Session. It was also agreed that the revised paper should be forwarded to the CCFICS for its consideration, review and comment17.
28. In considering the revised document (CX/FICS 96/9), the Committee suggested that the Codex Secretariat should arrange for its further development by incorporating concrete proposals in the form of Guidelines or Principles based on other international texts recognized by the Codex Alimentarius Commission. It was noted that the Guidelines or Principles should be consistent with and developed within themes established in corresponding CCFICS texts.
29. The Committee agreed with this procedure, on the understanding that the CCMAS would be responsible for further development of the paper. The Committee also agreed that the document should take account of other Codex texts in this regard (e.g., texts prepared by the Codex Committee on Residues of Veterinary Drugs in Foods).
Guidelines on Food Import Control Systems
30. The Delegation of Mexico suggested that the Committee might wish to consider detailed Guidelines on Food Import Control Systems which would complement and not duplicate other initiatives undertaken by the Committee or other parties.
31. The Committee agreed that a discussion paper on this subject would be developed under the direction of the Codex Secretariat, in cooperation with Mexico, for consideration at its 5th Session, where a decision could be taken as to the possible future elaboration of Guidelines on Food Import Control Systems.
DATE AND PLACE OF NEXT SESSION (Agenda Item 10)
32. The Committee was informed that its 5th Session would be held in Australia in approximately one year's time, with the date and place to be determined between the Codex and Australian Secretariats.
ANNEX
CODEX COMMITTEE ON FOOD IMPORT AND EXPORT CERTIFICATION
AND INSPECTION SYSTEMS
CURRENT STATUS OF WORK
| SUBJECT | STEP | FOR ACTION BY: | DOCUMENT REFERENCE |
|---|---|---|---|
| Guidelines for the Exchange of Information Between Countries on Rejections of Imported Food | 8 | 22nd CAC | ALINORM 97/30, Appendix 2 |
| Proposed Draft Guidelines for the Design, Operation, Assessment and Accreditation of Food Import and Export Inspection and Certification Systems | 5 | 43rd CCEXEC Governments 5th CCFICS | ALINORM 97/30, Appendix 3 |
| Proposed Draft Guidelines on the Principle Elements in an Electronic Documentation System | 2/3 | Australia Goverments 5th CCFICS | ALINORM 97/30, paras. 10 – 13 |
| Proposed Draft Guidelines on the Application of the ISO 9000 Series to Food Inspection and Certification Systems | 2/3 | CX Sect/FRA Governments 5th CCFICS | ALINORM 97/30, paras. 14 – 18 |
| Proposed Draft Guidelines for the Development of Agreements Regarding Food Import and Export Inspection and Certification Systems | 2/3 | United States Governments 5th CCFICS | ALINORM 97/30, paras. 19 – 20 |
| Guidelines and Criteria for a Generic Official Certificate Format | ---- | AUL Sect 5th CCFICS | ALINORM 97/30, para. 24 |
| Implications of the phrase “or risk of contamination” | ---- | 5th CCFICS | ALINORM 97/30, paras. 25 – 26 |
| Guidelines on Food Import Control Systems | ---- | CX Sect/MEX 5th CCFICS | ALINORM 97/30, paras. 30 – 31 |
