Transparency Procedures in the TBT Agreement

1
Transparency Procedures in the TBT Agreement

• WTO, Trade and Environment Division

2
WTO and Transparency
Its main function is to ensure that trade flows
as smoothly, predictably and freely as possible
Key WTO Principle
Transparency aids compliance
Information assists industry
3
Transparency in the TBT Agreement
For Technical Regulations
Articles 2, 3 and 10
For Conformity Assessment Procedures
Articles 5, 7, 8, 9 and 10
Article 10, Annex 3 paras. J, L, M, N, O P
For Standards
4
Transparency in the TBT Agreement
This afternoon...
5
Notifications
6
Four Types of Notifications
Members have to notify what ?
7
Statement on the implementation and
administration of the Agreement
8
Relevant TBT Provision
TBT Art. 15.2
Each Member shall, promptly after the date on
which the WTO Agreement enters into force for it,
inform the Committee of measures in existence or
taken to ensure the implementation and
administration of the Agreement
9
Why?
Provide a quick overview of how individual
Members have chosen to implement the Agreement
Assist Members in meeting their obligations under
the Agreement, by enabling them to take stock of
their existing legislation institutional
structure
10
What?
In 1995, the TBT Committee decided that the
Statements should include
11
When?
A One-Time Notification
In case of change, a revision must be provided
12
Who?
92 Members have submitted their statements under
Article 15.2
13
Notification of Draft Technical Regulations and
Conformity Assessment Procedures (CAPs), and of
Adopted Urgent Measures
14
Why to notify?
Country B drafts a technical regulation on
lighters
Country A exports lighters
How to know the requirements in Country B?
Notification to the WTO!
How to comment on them?
15
Relevant TBT Provisions
TBT Art. 25
For Technical Regulations
Article 2
For Conformity Assessment Procedures
Article 5
16
What?
TBT Articles
Draft Technical Regulations
2.9.2
Draft Conformity Assessment Procedures
5.6.2
Technical Regulations already adopted for urgent
reasons
2.10.1
Conformity Assessment Procedures already adopted
for urgent reasons
5.7.1
17
What?
And also ...
TBT Articles
Technical Regulations of Local governments on the
level directly below that of the central
government
3.2
Conformity Assessment Procedures of Local
governments on the level directly below that of
the central government
7.2
Except when a technical regulation or a
conformity assessment procedure is substantially
the same as a measure already notified by the
central government body
18
What?
6 Types of Documents Must Be Notified...
Draft
Technical Regulations and Conformity Assessment
Procedures
Already adopted for urgent reasons
Of local governments on the level directly below
that of the central government
19
What?
Where urgent problems arise or threaten to arise.
Safety, Health
Environmental Protection
National Security
May omit such of the steps as necessary
Notification is upon adoption
2 differences
Notification mentions the nature of the urgent
problem
20
Conditions?
Members must notify a measure when both sets of
conditions apply
AND
The measure may have a significant effect on
trade of other Members
A relevantinternational standard does not exist
OR
TBT Art. 2.9 and 5.6
The measure is not in accordance with the standard
21
Conditions?
The measure may have a significant effect on
trade of other Members...
The value of imports in respect of the Members
concerned
When assessing the significance of the effect on
trade of technical regulations, such elements
should be taken into consideration
The potential growth of such imports
The difficulties for producers in other Members
to comply with the proposed technical regulations
22
How?
TBT 2.9.2
TBT 5.6.2
And
A notification must contain
A brief indication of the objective and rationale
of the proposed measure
Information on the products covered
And
Guidelines developed by the TBT Committee
23
The Format
24
How? 11 Sections in a Notification Form
1. Member to Agreement notifying       If applicable, name of local government involved (Articles 3.2 and 7.2)      
Who notifies?
If a local government is involved in the
technical regulation or the conformity assessment
procedure, it has to be mentioned in this section
25
How? 11 Sections in a Notification Form
2. Agency responsible Name and address (including telephone and fax numbers, e-mail and web-site addresses, if available) of agency or authority designated to handle comments regarding the notification shall be indicated if different from above     
Which agency is responsible for elaborating a
proposal or promulgating a technical regulation
or a conformity assessment procedure
If a different agency handles comments, it must
be indicated here
26
How? 11 Sections in a Notification Form
3. Notified under Article 2.9.2 , 2.10.1 , 5.6.2 , 5.7.1 , other     
2.9.2
Proposed TR by central body
2.10.1
Adopted TR by central body
5.6.2
Proposed CAP by central body
5 options
5.7.1
Adopted CAP by central body
3.2
Proposed/Adopted TR by local body
7.2
Proposed/Adopted CAP by local body
Other
8.1
Adopted CAP by Non gov body
9.2
Adopted CAP by intal/regal body
27
How? 11 Sections in a Notification Form
Proposed
Art. 2.9.2
Technical Regulation
Adopted
Art. 2.10.1
Central Government Body
Conformity Assessment Procedure
Proposed
Art. 5.6.2
Adopted
Art. 5.7.1
To summarize... the following may be notified...
Proposed
Art. 3.2
Technical Regulation
Adopted
Art. 3.2
Local Government Body
Conformity Assessment Procedure
Proposed
Art. 7.2
Adopted
Art. 7.2
Conformity Assessment Procedure
Non-Governmental Body
Adopted
Art. 8.1
Conformity Assessment Procedure
Internal/ regional organization
Adopted
Art. 9.2
28
How? 11 Sections in a Notification Form
In practice, almost all notifications are made
under Articles 2.9.2 and 5.6.2
Notifications from 1995 to 2003 (by article)
29
How? 11 Sections in a Notification Form
4. Products covered (HS or CCCN where applicable, otherwise national tariff heading. ICS numbers may be provided in addition, where applicable)    
Clear description of the products covered in the
measure (including tariff headings)
30
How? 11 Sections in a Notification Form
5. Title, number of pages and language(s) of the notified document    

• Under this section, the following information is
  also provided
• the language(s) in which notified documents are
  available and,
• if a translation of the document is planned or
  available.

31
How? 11 Sections in a Notification Form
6. Description of content    
Contains a clear description of the content of
the proposed or adopted technical regulation or
conformity assessment procedure
32
How? 11 Sections in a Notification Form
7. Objective and rationale, including the nature of urgent problems where applicable   
The legitimate objective of the measure may be
indicated here.
33
How? 11 Sections in a Notification Form
Protection of human health or safety
Notifications in 2003 Legitimate objectives
stated
34
How? 11 Sections in a Notification Form
8. Relevant documents   

• A reference to the following documents may be
  provided
• the publication where a notice appears
• the proposal and basic document to which the
  proposal refers
• the publication in which the proposal will appear
  when adopted
• whenever practicable, the reference to a relevant
  international standard.

35
How? 11 Sections in a Notification Form
9. Proposed date of adoption Proposed date of entry into force  
36
How? 11 Sections in a Notification Form
10. Final date for comments   
A specific and final date by which Members may
submit comments.
The Committee has recommended a normal time limit
for comments on notifications of 60 days.
Any Member which is able to provide a time limit
beyond 60 days is encouraged to do so.
Members are encouraged to advise of any extension
to the final date for comments.
37
How? 11 Sections in a Notification Form
11. Texts available from National enquiry point or address, telephone and fax numbers, e-mail and web-site addresses, if available of the other body   
Information on whether the text of the measure is
available from the national enquiry point or from
another body.
Members also indicate here the exact address,
where available, e-mail address, telephone and
fax numbers of the body responsible for supplying
the relevant documents if that body is not the
enquiry point.
38
How? 11 Sections in a Notification Form
To summarize...

• Item 1 - Government making the notification
• Item 2 - Body elaborating a proposal (TR or CAP)
• Item 3 - Relevant provision of the Agreement
• Item 4 - Clear description of the product
• Item 5 - Title of proposal, number of pages,
  language. Indicate translations or summaries

39
How? Guidelines of the TBT Committee
To summarize...

• Item 6 - Abstract, main features of the
  proposed/adopted measure
• Item 7 - Legitimate objective
• Item 8 - Any relevant document (publications).
  Reference to international standards
• Item 9 - Adoption and entry into force
• Item 10 - Final date for comments - normal
  time-limit of 60 days!
• Item 11 - Where to find the text of the measure

40
When?
TBT 2.9.2
TBT 5.6.2
And
Notifications shall take place at an early
appropriate stage, when
Comments taken into account
Amendments can still be introduced
And
TBT Committee when a draft with the complete
text is available
41
When?
For technical regulations and conformity
assessment procedures adopted for urgent reasons.
TBT 2.10.1
TBT 5.7.1
And
Notifications must be made immediately upon
adoption
42
How Many?
Total number of TBT notifications, 1995-2003
By 80 Members
43
How Many?
Notifications by Region
44
How Many?
Notifications made by participating Members...
49 notifications (articles 2.9 and 5.6)
45
Notification of Bilateral and Multilateral
Agreements
46
Notification of bilateral and multilateral
agreements
TBT Art.10.7
Whenever a Member has reached an agreement
47
The Format
48
TBT notifications under Article 10.7
49
Geographical Repartition of Bilateral and
Multilateral Agreements Notified
50
Notification of Acceptance of, or Withdrawal
from, the Code of Good Practice and the Existence
of a Work Programme
51
What is the Code of Good Practice?
Code of Good Practice for the Preparation,
Adoption and Application of Standards
It lays down disciplines in respect of central
government, local government, non-governmental
and regional standardizing bodies developing
voluntary standards
52
Who may accept the Code?
A central government body
Any standardizing body within the territory of a
Member, whether
A local government body
A non-government body
Any non-governmental regional standardizing body
one or more members of which are situated within
the territory of WTO Member
This Code is open to
Any governmental regional standardizing body one
or more members of which are WTO Members
53
Which Provisions are contained in the Code?
Take "such reasonable measures" as may be
available to them to ensure that standardization
bodies, which are on their territory or to which
they are related, accept and comply with the Code
Members must
Not take measures which have the effect of
requiring or encouraging such standardizing
bodies to act in a manner inconsistent with the
Code
Assume the general disciplines of the TBT
Agreement
Standardization Bodies must
54
Notification Obligations
Their acceptance of, or withdrawal from, the Code
of Good Practice (Paragraph C)
Standardization Bodies must notify
The existence of a work programme (Paragraph J)
55
Notification Under Paragraph C
Standardizing bodies that have accepted or
withdrawn from this Code shall notify this fact

• Notifications are made through the ISO/IEC
  Information Center in Geneva, or through the
  national member body of ISO/IEC, or, preferably,
  through the relevant national member or
  international affiliate of ISONET.
• Copies are sent by ISO/IEC to the WTO
  Secretariat, and are circulated to WTO Members.

56
Format of the Notification Under Paragraph C
(Acceptance)
57
Format of the Notification Under Paragraph C
(Withdrawal)
58
Standardizing bodies that have accepted the Code
74 central governmental standardizing bodies
61 non-governmental standardizing bodies
2 statutory bodies
144 standardizing bodies from 104 Members
2 parastatal bodies
3 non-governmental regional bodies
1 central governmental/ non-governmental body
1 autonomous body
59
Standardizing bodies that have accepted the Code
60
Notification Under Paragraph J

• Standardization bodies, that have accepted the
  Code, have to notify the existence of a work
  programme no later than at the time of its
  publication, i.e. at least twice a year

Notifications are sent the ISO/IEC Information
Center, or preferably, through the relevant
national member or international affiliate of
ISONET, as appropriate
61
Format of the Notification Under Paragraph J
62
General Notification Aspects
63
Who is Responsible?
TBT Art. 10.10
Members shall designate a single central
government authority that is responsible for the
implementation on the national level of the
provisions concerning notification procedures
under this Agreement except those included in
Annex 3
Code of Good Practice
64
Who is Responsible?
TBT Art. 10.11
Where the responsibility for notification issues
is divided among several central government
authorities
Members must provide complete and unambiguous
information on the scope of responsibility of
each authority
65
Notify in which language?
TBT Art. 10. 9
The official languages of the WTO
English
Spanish
or
or
French
66
Where do I send notifications?
1) Statement on implementation and
administration of the Agreement
2) Notifications of technical regulations and
CAPs
3) Notifications of bilateral or plurilateral
Agreements
67
And the WTO Secretariat?
Mission in Geneva
Circulates notifications among Members
WTO Website
Translates them into the three official languages
Monthly lists of notifications
68
Notifications symbols

• Statement on Implementation and Administration of
  the Agreement G/TBT/2/Add.
• Notifications of technical regulations and
  conformity assessment procedures G/TBT/N/Country
  Symbol/
• 3. Notifications of bilateral or plurilateral
  agreements G/TBT/N/10.7/

69
Notifications symbols

• Notifications of acceptance of or withdrawal from
  the Code of Good Practice G/TBT/CS/N/
• Monthly list of notifications (prepared by
• the Secretariat) G/TBT/GEN/
• List of Enquiry Points (prepared by the
• Secretariat) G/TBT/ENQ/

70
Other TBT Transparency Procedures
71
Transparency in the TBT Agreement
1. Notifications
2. Publication
3. Handling of comments
4. Dissemination of information
5. Maintenance of an enquiry point
6. The TBT Committee
72
Publication
73
Publication Obligations of MembersPre-Adoption
Stage
Members must publish a notice of the measure when
both sets of conditions apply
AND
A relevantinternational standard does not exist
The measure may have a significant effect on
trade of other Members
OR
TBT Art. 2.9.1 and 5.6.1
The measure is not in accordance with the standard
This obligation may be waived in case of emergency
74
Publication Obligations of MembersPost-Adoption
Stage
Members must publish promptly all a adopted
technical regulations and conformity assessment
procedures
Including...
those which did not have a significant effect on
trade of other Members or those which were in
accordance with an international standard
The measure is not in accordance with the standard
TBT Art. 2.11 and 5.8
75
Publication Obligations of MembersPost-Adoption
Stage
Members must leave a reasonable interval between
the publication of technical regulations and
conformity assessment procedures and their entry
into force, except in case of urgent circumstances
TBT Art. 2.12 and 5.9
76
Definition of a reasonable interval
TBT Art. 2.12
Not less than 6 months
77
Publication Obligations of Standardization Bodies
Related to the Work Programme
Their work programme
Standardization bodies must publish
A notice of the existence of the work programme
Code of Good Practice, Paragraph J
What is contained in the work programme?
The TBT Committee agreed in 1999 that the
communication of the work programmes of
standardizing bodies via the internet would be
another possibility to fulfill Paragraph J
obligations
78
Publication Obligations of Standardization Bodies
Related to the Work Programme
Standardizing bodies must publish, at least every
six months, a work programme containing the
following information
The standards they have adopted in the preceding
period
The standards they are currently preparing
Their name and address
79
Publication Obligations of Standardization Bodies
Related to Standards
A notice specifying the comment period of a
standard
Standardization bodies must publish
The text of the standard
Code of Good Practice, Paras. L O
80
Procedures for Dissemination and Exchange of
Information
81
Procedures for Dissemination and Exchange of
Information
Provision of copies
Provision and sharing of translations
Electronic tools
Regular Meetings of Persons Responsible for
Information Exchange
82
Provision of copies
Provide copies of proposed technical regulations
and conformity assessment procedures
Members must, upon request,
And, whenever possible, identify the parts of the
measure which in substance deviate from relevant
international standards
Articles 2.9.3 and 5.6.3
83
Provision of copies
How to handle requests for documentation?
Requests for documentation should include all the
elements permitting the identification of the
documents and in particular, the WTO TBT
notification number (G/TBT/Notif.)
All the elements permitting the identification
of the documents and the notification number
should also appear on the documents supplied in
response to such requests
Any request for documentation should be
processed if possible within 5 working days
If a delay in supplying the documentation is
foreseen, this should be acknowledged to the
requester, along with an estimate of when the
documents can be provided
84
Provision of copies
Provide hard copies of draft and adopted
standards, and of the most recent work programme
Standardization Bodies must, upon request,
Afford national treatment to requests from
foreign interested parties, with due adjustments
to be made for differential costs of delivery
Code Paras. M and P
85
To summarize...
Requests contain the elements permitting the
identification of a document
Process them within 5 working days
86
Provision of Translations
Developed country Members must, upon request,
provide in 1 of the 3 official WTO languages,
translations of
The documents covered by a specific notification
In case of voluminous documents, summaries of
such documents
OR
The publication of texts/the provision of
details/copies of drafts other than in the
language of the Member is not required (except
for developed country Members)
Article 10.5, 10.8
87
Sharing of Translations
Recommendation of the TBT Committee
Other Requesting Members are Encouraged to Share
Existing Translations in WTO Languages
Document Request
Any Translated Summary in Requesters Language or
in WTO Language must be Automatically Sent
Translation/ Summary Exists or planned
Must be Indicated in the Notification Form
88
The use of electronic tools
The TBT Agreement does not contain provisions
relating to the use of electronic tools
However, since 1999, the use of the Internet as a
means to facilitate access to, and exchange of,
information has been a constant theme of
discussion in the TBT Committee
The TBT Committee encouraged Members, whenever
possible, to file notifications by downloading,
filling out and returning the complete form by
e-mail to the Secretariat
Second Triennial Review
89
Electronic transmission of information
Third Triennial Review
Electronic circulation of notifications encouraged
Feasibility of creating a central depository for
notifications on the WTO website
Paragraph L of the Code electronic publication
of the notice can constitute another possibility
of fulfilling the transparency obligations
90
Regular Meetings of Persons Responsible for
Information Exchange
To give Members the opportunity to discuss the
activities and problems relating to information
exchange and to review periodically the
functioning of notification procedures
Why?
Every 2 years
How often?
Persons responsible for information exchange,
including persons responsible for enquiry points
and notifications
Who can participate?
When is the next one?
2-3 November 2004
91
Comments on Proposed Technical Regulations and
Conformity Assessment Procedures
92
Length of time allowed for comments
Members are required prior to the adoption of a
technical regulation or of a conformity
assessment procedure to
Allow reasonable time for other Members to make
comments in writing
Take these written comments and the results of
these discussions into account
Discuss these comments upon request
Articles 2.9.4 and 5.6.4
93
Length of time for comments
The TBT Committee decided that the normal time
limit for presentation of comments on notified
technical regulations and conformity assessment
procedures should be 60 days
Second Triennial Review
94
Length of time for comments
Length of time for comments on notified technical
regulations and CAPS
60 days or beyond
? Indicated in the notification
95
Handling of comments
Acknowledge receipt
Explain
How taken into account
Provide additional relevant information
Copy of regulation as adopted
Provide
Or, information of non-adoption
96
Results of the Third Triennial Review (2003)
On Handling of comments
More than 60 day comment period should be
provided to developing countries
Requests to Enquiry Points should be in one of
the WTO languages
Disseminate comments and responses by means of
national websites
Art. 10.5 developed countries should provide
translations of documents covered by
notifications without being requested
Responses to comments in writing, and possibly
shared with the TBT Committee (on a voluntary
basis)
Electronic transmission to the Secretariat
97
TBT Notifications
Average time allowed for comments
98

1. Entry into Force of the Measure

Min. 6 months

1. Publication of the Measure

1. Adoption of the Measure

1. Discussion of the Comments

...Time...

1. Provision of Copies

1. Notification to other Members

1. Publication of a Notice

1. Drafting of the Measure

99
Enquiry Points
100
Establishment of an Enquiry Point
WTO Members must set up a national enquiry point
Concerns institutions that are in a position to
answer queries on documents issued by bodies with
regulatory authority, that is central and local
government bodies, and non-governmental bodies,
which are entrusted with the legal power to
enforce a technical regulation
Article 10.1
Relates to enquiries on documents issued by other
non-governmental bodies and regional bodies of
which they are members
Article 10.3
If more than one enquiry point is established,
Members must provide complete and unambiguous
information on the scope of responsibility of
each enquiry point
101
Functioning of Enquiry Points
Enquiry Points must respond to reasonable
enquiries and provide relevant documents
regarding
102
Enquiry Points Related obligations
Supply copies of requested documents to Members
and interested parties of Members at an equitable
price
Provide translations or summaries of the
documents related to a notification
103
What is a reasonable enquiry?
An enquiry point is mandated to answer all
"reasonable enquiries"
Articles 10.1 and 10.3
When it is limited to a specific product, or
group of products
104
Using the Enquiry Point Beyond Obligations

• Collect/disseminate TBT information
• TBT documents
• TBT notifications received
• Inform other government agencies, private sector
• Coordinate comments on other countries
  notifications
• Submit comments follow-up