[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
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INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC)
__________
MESSAGE
from
THE PRESIDENT OF THE UNITED STATES
transmitting
INTERNATIONAL PLANT PROTECTION CONVENTION (IPPC), ADOPTED AT THE
CONFERENCE OF THE FOOD AND AGRICULTURE ORGANIZATION (FAO) OF THE UNITED
NATIONS AT ROME ON NOVEMBER 17, 1997
March 23, 2000.--Convention was read the first time, and together with
the accompanying papers, referred to the Committee on Foreign Relations
and ordered to be printed for the use of the Senate.
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U.S. GOVERNMENT PRINTING OFFICE
79-118 WASHINGTON : 2000
LETTER OF TRANSMITTAL
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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
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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.