[Senate Treaty Document 106-23]
[From the U.S. Government Publishing Office]





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106th Congress                                              Treaty Doc.
  2d Session                     SENATE                          106-23

_______________________________________________________________________




 
           INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC)            

                               __________

                                MESSAGE

                                  from

                   THE PRESIDENT OF THE UNITED STATES

                              transmitting

   INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC), ADOPTED AT THE 
CONFERENCE OF THE FOOD AND AGRICULTURE ORGANIZATION (FAO) OF THE UNITED 
                  NATIONS AT ROME ON NOVEMBER 17, 1997




March 23, 2000.--Convention was read the first time, and together with 
the accompanying papers, referred to the Committee on Foreign Relations 
          and ordered to be printed for the use of the Senate.

                                -------                                

                    U.S. GOVERNMENT PRINTING OFFICE
79-118                     WASHINGTON : 2000       





                         LETTER OF TRANSMITTAL

                              ----------                              

                                   The White House, March 23, 2000.
To the Senate of the United States:
    With a view to receiving the advice and consent of the 
Senate to acceptance, I transmit herewith the revised 
International Plant Protection Convention (IPPC), adopted at 
the Conference of the Food and Agriculture Organization (FAO) 
of the United Nations at Rome on November 17, 1997. In 
accordance with Article XIII of the existing IPPC, the revised 
text will enter into force for all contracting parties 30 days 
after acceptance by two-thirds of the contracting parties.
    The revisions are designed to bring the IPPC into line with 
modern practices and concepts, and to establish new mechanisms 
to promote the development and adoption of international 
phytosanitary standards.
    It is my hope that the Senate will give prompt and 
favorable consideration to this Convention, and give its advice 
and consent to acceptance by the United States, subject to the 
two proposed understandings set forth in the accompanying 
report, at the earliest possible date.

                                                William J. Clinton.


                          LETTER OF SUBMITTAL

                              ----------                              

                                       Department of State,
                                     Washington, February 10, 2000.
The President,
The White House.
    The President: I have the honor to submit to you the 
revised International Plant Protection Convention (IPPC), done 
at Rome on November 17, 1997. I recommend that the revised IPPC 
be transmitted to the Senate for its advice and consent to 
acceptance, subject to the proposed understandings set forth in 
this report.
    The IPPC, a multilateral convention which entered into 
force internationally in 1952 and for the United States in 
1972, is aimed at promoting international cooperation to 
control and prevent the spread of harmful plant pests. The IPPC 
serves, together with regional plant protection organizations 
and national plant protection organizations, to develop 
international plant health standards, promote harmonization of 
plant quarantine activities with emerging standards, facilitate 
the dissemination of phytosanitary information, and support 
plant health assistance to developing countries. The United 
States has been a leading force in furthering the work of the 
IPPC. A 1979 revision of the original IPPC (the ``existing 
IPPC'') entered into force in 1991.
    In 1995, after the adoption of the World Trade Organization 
(WTO) Agreement on the Application of Sanitary and 
Phytosanitary Measures (the ``SPS Agreement''), which 
identified the organizations operating within the framework of 
the IPPC as relevant international organizations in the field 
of sanitary and phytosanitary protection, a consensus developed 
among the IPPC parties to revise the IPPC text. An important 
impetus for the revision was to bring the existing IPPC into 
alignment with the SPS Agreement, which calls for the 
harmonization of sanitary and phytosanitary measures among 
countries on the basis of the development of international 
standards, including within the framework of the IPPC. The 
revised IPPC was adopted November 17, 1997, by the Conference 
of the Food and Agriculture Organization (FAO) of the United 
Nations.
    The revised IPPC is intended to clarify existing 
procedures, update terms and definitions, and strengthen the 
ability of IPPC parties to develop phytosanitary standards. 
Standard setting has become a fundamental need for U.S. 
agriculture. It is necessary to create a stable international 
trade system that balances the need for protection against pest 
risks and the need for predictability and fairness in 
international trade practices. American farmers who are 
interested in exporting their products to foreign markets would 
benefit significantly from such a trade system. The revised 
IPPC is meant to be interpreted consistently with the SPS 
Agreement and not no limit the rights or obligations of the 
parties to that agreement.
    Article XIII, paragraph 4 of the existing IPPC provides 
that

        [a]ny such proposed amendment of this Convention shall 
        require the approval of the Conference of FAO and shall 
        come into force as from the thirtieth day after 
        acceptance by two-thirds of the contracting parties. 
        Amendments involving new obligations for contracting 
        parties, however, shall come into force in respect of 
        each contracting party only on acceptance by it * * *

The Conference of FAO approved a Conference Report during the 
November 1997 meeting at which the revised IPPC was adopted. 
That report stated

        that the Conference decided that the amendments would 
        not involve new obligations for contracting parties. 
        Consequently, once adopted, the amendments would come 
        into force, for all contracting parties, after 
        acceptance by two-thirds of the Contracting Parties.

As of this date, 8 of the 111 IPPC parties have deposited 
instruments of acceptance of the revised IPPC with the 
Director-General of FAO.
    The following is an article-by-article summary of the 
significant provisions of the revised IPPC:
    Article I sets forth the purpose of the revised IPPC and 
the responsibilities of the parties. The parties undertake to 
adopt the legislative, technical and administrative measures 
specified in the revised IPPC and in supplementary agreements, 
with the purpose of securing common and effective action to 
prevent the spread and introduction of pests of plants and 
plant products, and to promote appropriate measures for their 
control. Each party assumes responsibility for the fulfillment 
within its territory of requirements underthe revised IPPC, 
``without prejudice to obligations assumed under other international 
agreements.'' Thus, the parties have made it clear that the 
requirements imposed upon them by the revised IPPC do not relieve them 
of obligations they have assumed under other international agreements.
    Article II defines certain key terms for purposes of the 
revised IPPC.
    Article III makes it clear that nothing in the revised IPPC 
overrides the rights or obligations of the parties under 
relevant international agreements, which would include the SPS 
Agreement In this regard, the FAO Conference Report concerning 
the revised IPPC contained the following explanatory statement:
    With reference to Article III of this Convention, nothing 
in this Convention, and in particular in Articles VI or VII 
thereof, shall be interpreted as limiting the rights or 
obligations of the contracting parties to this Convention under 
the Agreement on the Application of Sanitary and Phytosanitary 
Measures (SPS Agreement).
    The U.S. delegation to the plenary of the FAO Conference 
also provided an interpretative statement on the revised text 
of the IPPC, a copy of which is enclosed for the Senate's 
information.
    Article IV requires each party to make provision, to the 
best of its ability, for an official national plant protection 
organization and outlines the responsibilities of such an 
organization. Some of the more significant responsibilities 
include: the issuance of phytosanitary certificates; the 
inspection of plants and plant products moving in international 
traffic; the protection of endangered areas and the 
designation, maintenance and surveillance of pest free areas; 
and the conduct of pest risk analyses. Each party must also 
make provision, to the best of its ability, for: the 
distribution within its territory of information regarding 
regulated pests and the means of their prevention and control; 
research and investigation in the field of plant protection; 
the issuance of phytosanitary regulations; and the performance 
of such other functions as may be required for the 
implementation of the Convention.
    Article V requires the parties to make arrangements for 
phytosanitary certification with the objective of ensuring that 
exports are in conformity with the certifying statements to be 
made pursuant to the model certificates in the Annex to the 
revised IPPC. Inspection and other related activities leading 
to the issuance of certificates shall be carried out only by or 
under the authority of the official national plant protection 
organization. These certificates should be completed taking 
into account relevant international standards. Parties may, but 
are not required to, accept the electronic equivalent of 
phytosanitary certificates. Each party also undertakes not to 
require phytosanitary certificates that are inconsistent with 
the model certificates.
    Article VI provides that a party may require phytosanitary 
measures for quarantine pests and regulated non-quarantine 
pests, provided that such measures are not more stringent than 
measures applied to the same pests within its own territory and 
limited to what is technically justified and necessary to 
protect plant health. This article restates in greater detail 
the parties' obligations, set forth in Article VI(2) of the 
existing IPPC, to have a technical basis for requiring 
phytosanitary measures and not to impose such requirements 
arbitrarily. The United States intends that nothing in this 
article will be interpreted or implemented to limit the rights 
of the United States under relevant international agreements, 
in particular the SPS Agreement, including the right to 
maintain control, inspection, and approval procedures 
consistent with its obligations under that Agreement. In order 
to make the U.S. view clear to the other parties, it is 
recommended that the following understanding be included in the 
U.S. instrument of acceptance:

          Nothing in the amended International Plant Protection 
        Convention (IPPC) is to be interpreted in a manner 
        inconsistent with, or alters the terms or effect of, 
        the World Trade Organization (WTO) Agreement on the 
        Application of Sanitary and Phytosanitary Measures (SPS 
        Agreement) or other relevant international agreements. 
        In implementing the amended IPPC, the United States 
        will be guided by the SPS Agreement and other relevant 
        international agreements, and in particular will 
        interpret Articles VI and VII of the amended IPPC in a 
        manner that is consistent with the SPS Agreement, 
        including Article 5 thereof.

    Article VI also prohibits the parties from requiring 
phytosanitary measures for non-regulated pests. This article 
would not, however, preclude the United States from restricting 
the importation of ``invasive'' pests in order to protect plant 
life or health or the environment. If an ``invasive'' pest is 
injurious to plant life or health or the environment,it could 
be regulated as a quarantine pest or a regulated non-quarantine pest. 
Nor would this article preclude the United States from restricting the 
importation of an ``invasive'' pest in order to protect human or animal 
life or health. The term ``pest'' is defined in Article II of the 
revised IPPC as ``any species, strain or biotype of plant, animal or 
pathogenic agent injurious to plants or plant products'' (emphasis 
added). The scope of both the existing and the revised IPPC is the 
protection of plant life and health and the environment. Therefore, 
neither the existing IPPC nor the revised IPPC prohibits the parties 
from taking any action with regard to pests that could harm human or 
animal life or health. (The protection of human and animal health falls 
within the domain of the Codex Alimentarius Commission and the 
International Office of Epizootics (OIE), not the IPPC.) In order to 
make the U.S. view clear to the other parties, it is recommended that 
the following understanding be included in the U.S. instrument of 
acceptance:

          Nothing in the amended IPPC limits the authority of 
        the United States, consistent with the SPS Agreement, 
        to take sanitary or phytosanitary measures against any 
        pest to protect human, animal or plant life or health 
        or the environment.

    Article VII sets forth requirements in relation to imports. 
Paragraph 1 provides that parties shall have sovereign 
authority to regulate, in accordance with applicable 
international agreements, such as the SPS Agreement, the entry 
of plants and plant products and other regulated articles into 
their territories. Paragraph 2 provides that, in order to 
minimize interference with international trade, the parties 
undertake, inter alia, to: (1) refrain from taking 
phytosanitary measures unless they are made necessary by 
phytosanitary considerations and are technically justified; (2) 
publish phytosanitary requirements, restrictions and 
prohibitions immediately upon their adoption and transmit them 
to any party believed to be directly affected by such measures; 
(3) ensure that unnecessary phytosanitary measures are promptly 
modified or removed as conditions change; (4) establish and 
update lists of regulated pests and make such lists available; 
(5) conduct surveillance for pests and develop and maintain 
adequate information on pest status; and (6) institute only 
phytosanitary measures that are technically justified, 
consistent with the pest risk involved and represent the least 
restrictive measures available. This last undertaking is an 
elaboration of Article VI(2)(a) of the existing IPPC, which 
requires the parties, in order to minimize interference with 
international trade, to ensure that any phytosanitary measures 
taken are made necessary by phytosanitary considerations. In 
keeping with the first proposed U.S. understanding set forth 
above, the term ``least restrictive measures available'' in the 
revised IPPC is meant to be interpreted in the same manner as 
the term ``not more trade-restrictive than required'' in 
Article 5.6 (including the accompanying footnote) of the SPS 
Agreement.
    Paragraph 3 of Article VII provides that a party may apply 
measures, which must be technically justified, to pests which 
may not be capable of establishment but which could cause 
economic damage if they gained entry. Paragraph 4 provides that 
parties may apply measures to consignments in transit through 
their territories where such measures are technically justified 
and necessary to prevent the introduction or spread of pests. 
Paragraph 5 provides that importing parties may make special 
provision, subject to adequate safeguards, for the importation 
of plants, plant products, other regulated articles, and plant 
pests, for the purpose of scientific research or education. 
Paragraph 6 provides that a party may take appropriate 
emergency action on the detection or report of a pest posing a 
potential threat to its territories. Such emergency action is 
to be promptly reported to any parties concerned, the IPPC 
Secretariat, and any applicable regional plant protection 
organization.
    Article VIII provides for international cooperation by the 
parties, particularly in the exchange of information on plant 
pests, in any special campaigns for combating pests, and in 
providing technical and biological information necessary for 
pest risk analysis. Under the existing IPPC, the parties 
furnish information on plant pests to FAO, which then 
distributes it; whereas, under the revised IPPC, the parties 
will cooperate in the exchange of such information in 
accordance with such procedures as may be established by the 
Commission on Phytosanitary Measures (the ``Commission''), 
established under Article XI of the revised IPPC (see below). 
Each party is also required to designate a contact point for 
theexchange of information connected with the implementation of 
the Convention.
    Article IX provides for the establishment of regional plant 
protection organizations in appropriate areas. Several such 
organizations already exist, including the North American Plant 
Protection Organization (NAPPO), to which the United States 
belongs. The regional plant protection organizations are to 
function as the coordinating bodies in the areas covered; 
gather and disseminate information; cooperate with the 
Secretary of the Commission in achieving the objectives of the 
Convention; and, where appropriate, cooperate with the 
Secretary and the Commission in developing international 
standards.
    Article X provides that the parties agree to cooperate in 
the development of international standards to be adopted by the 
Commission. IPPC parties have historically cooperated in the 
formulation and dissemination of standards, guidelines, and 
recommendations, and the United States has actively 
participated in this work. Paragraph 4 provides that parties 
should take international standards into account, as 
appropriate, when undertaking activities related to the 
Convention. Article X does not require parties to adopt or 
follow such standards.
    Article XI provides for the establishment of a Commission 
on Phytosanitary Measures within the FAO framework and sets 
forth the functions of the Commission. The Commission, which is 
a decision-making body, is expected to serve as the vehicle for 
developing global phytosanitary standards as well as promoting 
implementation of the other basic objectives of the Convention. 
The functions of the Commission include, inter alia: reviewing 
the state of plant protection in the world and the need for 
action to control the international spread of pests and their 
introduction into endangered areas; establishing the necessary 
institutional arrangements and procedures for the development 
and adoption of international standards, and adopting such 
standards; and establishing rules and procedures for the 
resolution of disputes between parties. Membership in the 
Commission is open to all parties. The Commission will work to 
make decisions by consensus, failing which decisions will be 
made by a two-thirds majority of the parties present and 
voting.
    Article XII creates a Secretariat to assist in the 
effective implementation of the revised IPPC. It sets forth the 
duties and responsibilities of the Secretary of the Commission, 
who will be appointed by the Director-General of FAO. The 
functions that will be carried out by the Secretariat initially 
will be funded through existing allocations to FAO's Plant 
Production and Protection Division and will cause no immediate 
increases in funding obligations.
    Article XIII outlines a procedure for the settlement of 
disputes that may arise out of the operation of the revised 
IPPC. The provisions of this article are very similar to the 
provisions found in Article IX of the existing IPPC. If a party 
considers that any action by another party is in conflict with 
its obligations under the revised IPPC, these parties consult 
among themselves with a view to resolving the dispute. If the 
dispute cannot be resolved though consultations, a concerned 
party may request the Director-General of FAO to appoint a 
committee of experts to consider the question in dispute. The 
recommendations of this committee, while not binding, will 
become the basis for renewed consideration of the matter by the 
parties concerned. The revised IPPC adds a new paragraph 
stating that the dispute settlement procedures under the IPPC 
shall be complementary to and not in derogation of the dispute 
settlement procedures provided for in other international 
agreements dealing with trade matters.
    Article XIV, which is identical to Article X of the 
existing IPPC, provides for the termination and replacement of 
certain prior conventions.
    Article XV indicates that a party may declare that the 
revised IPPC will extend to any or all of its territories by 
communicating to the Director-General of FAO a declaration to 
that effect.
    Article XVI authorizes the parties to enter into 
supplementary agreements for the purpose of meeting special 
problems of plant protection that need particular attention or 
action. Any such supplementary agreement shall come into force 
for each party after acceptance in accordance with the 
provisions of the supplementary agreement. This article also 
sets forth certain requirements that are applicable to any 
supplementary agreement, e.g., that it conform to the 
principles of transparency, non-discrimination, and 
theavoidance of disguised restrictions on international trade.
    Article XVII retains provisions from the existing IPPC 
concerning the treaty's entry into force. It also specifies 
that the IPPC is open for adherence by nonsignatory states and 
member organizations of FAO. Adherence is to be effected by the 
deposit of an instrument of adherence with the Director-General 
of FAO, who notifies all parties of that deposit.
    Article XVIII calls on the parties to encourage non-IPPC 
parties to accept the Convention and to apply phytosanitary 
measures consistent with the provisions of the Convention and 
any international standards adopted thereunder.
    Article XIX provides that the authentic languages of the 
Convention will be all the official languages of FAO (English, 
Spanish, French, Chinese and Arabic) and specifies the types of 
documents that must be in at least one of the official 
languages of FAO.
    Article XX provides that the parties agree to promote the 
provision of technical assistance to parties, especially those 
that are developing states, either bilaterally or through the 
appropriate international organizations.
    Article XXI outlines the procedures for an amendment of the 
Convention. Any proposed amendment requires the approval of the 
Commission and comes into force as from the thirtieth day after 
acceptance by two-thirds of the parties. Amendments involving 
new obligations for parties, however, will come into force with 
respect to each party only after acceptance by it. As stated 
above, the parties at the Conference that adopted the revised 
IPPC considered that it would not create new obligations, so 
the revised IPPC will enter into force for all parties on the 
thirtieth day after acceptance by two-thirds of the parties. 
This article also sets forth procedures for the amendment of 
the model phytosanitary certificates (such amendments become 
effective 90 days after notification to the parties of their 
approval by the Commission) and addresses the effect of such 
amendments on the previous version of the certificates.
    Article XXII, as does Article XVII, contains residual 
provisions from the existing Convention concerning its initial 
entry into force. It also has the effect that, once the revised 
Convention has come into force, it will enter into force for 
each state or member organization of FAO thereafter from the 
date of deposit of its instrument of ratification or adherence.
    Article XXIII states that denunciation of the Convention by 
a party takes effect one year from the date of receipt of the 
notification by the Director-General of FAO.
    The Annex contains a revised Model Phytosanitary 
Certificate that incorporates some of the clarifications made 
in the revised IPPC. The existing IPPC requires a party to 
certify that a given shipment or consignment has been inspected 
and is considered to be ``free from quarantine pests, and 
practically free from other injurious pests; and * * * 
conform[s] with the current phytosanitary regulations of the 
importing country.'' The ambiguity of the undefined term 
``other injurious pests'' was an important impetus for 
modernizing the existing model certificate to ensure that 
certification requirements are transparent and technically 
justified.
    Under the revised IPPC, this requirement has been replaced 
with a requirement that a party certify that a shipment or 
consignment is considered to be free from the quarantine pests, 
specified by the importing contracting party and to conform 
with the current phytosanitary requirements of the importing 
contracting party including those for regulated non-quarantine 
pests.
    The term ``other injurious pests'' in the existing IPPC has 
been replaced with the clearer, defined term ``regulated non-
quarantine pests.'' In addition, the model certificate in the 
revised IPPC contains an optional certification by the exporter 
that a shipment or consignment has been inspected and ``deemed 
to be practically free from other pests,'' i.e., pests other 
than quarantine or regulated non-quarantine pests.
    The Annex also contains a Model Phytosanitary Certificate 
for Re-Export. When plant or plant products are being re-
exported, this certificate is used to satisfy the importing 
contracting party that the shipment conforms with its current 
phytosanitary requirements. The version of this certificate in 
the revised IPPC has not been substantially changed from the 
version in the existing IPPC.
    Existing legislation, i.e., the Plant Quarantine Act, 7 
U.S.C. 151 et seq., the Federal Plant Pest Act, 7 U.S.C. 150aa 
et seq., the Federal Noxious Weed Act, 7 U.S.C. 2801 et seq., 
and the Federal Seed Act, 7 U.S.C. 1551 et seq., provides 
sufficient authority to implement U.S. obligations under the 
revised IPPC. Therefore, no new legislation is necessary for 
the United States to accept the revised IPPC. Furthermore, 
implementation of the revised IPPC will not require any 
increase in appropriations.
    Accordingly, I recommend that the revised IPPC be 
transmitted to the Senate as soon as possible for its advice 
and consent to acceptance by the United States, subject to the 
proposed understandings set forth in this report.
    Respectfully submitted,
                                                Madeleine Albright.
    Enclosure: As stated.


    

                                                                  
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