REPORT
WORKSHOP ON risk analysis
MONDAY, 13 OCTOBER – tuesday, 14 october 2014
WTO, CENTRE WILLIAM RAPPARD, GeNEVA
Note by the secretariat[1]
The
Secretariat of the World Trade Organization held a workshop on risk analysis in
Geneva, Switzerland, on 13 and 14 October
2014.
The
WTO funded, through assistance from the Doha Development Agenda Global Trust
Fund (DDAGTF), the participation of 48 governmental officials from developing
country Members and Observers in the workshop as well as in the SPS Committee
meetings. The WTO, in
partnership with the Inter-American Institute for Cooperation on Agriculture
(IICA), co-funded the participation of nine participants from the Caribbean region. Sponsored participants were selected
from approximately 600 applications.
In
addition, the WTO Global Trust Fund made it possible to cover the costs of
travel for several of the speakers in the workshop. Total attendance was close to 200, and included Geneva- and
capital-based delegates, as well as participants from intergovernmental
organizations and academia.
The
presentations from this workshop and audio recordings are available via the SPS
Gateway at http://www.wto.org/english/tratop_e/sps_e/wkshop_oct14_e/wkshop_oct14_e.htm.
The final programme for the workshop is contained in G/SPS/GEN/1358.
1 background of the workshop
1.1. The SPS Committee agreed, at its March 2014 meeting, to use the
occasion of the SPS Thematic Workshop in October 2014 to focus on risk
analysis, based on a proposal submitted by the United States, in the context of
the Fourth Review.[2]
The United States
proposed that the Committee should organize a workshop on decision making and
communication during the risk analysis process to build upon the previous
workshop held in 2000.[3]
1.2. The Committee also agreed to address South Africa's proposal[4],
which consisted of two questions related to the implementation of Article 5.4
of the SPS Agreement, in the workshop.
1.3. Members were invited at several stages to make comments on the
programme and also to put forward names of speakers, and their proposals and
suggestions were taken into account in preparing the programme.
2 Objective of the workshop
2.1. The objective of the workshop was to bring together officials
responsible for participation in and implementation of the SPS Agreement for an in-depth discussion, at a
technical level, on decision making and communication during the risk analysis
process. More specifically, the workshop aimed to:
§
Review relevant developments in SPS-related risk analysis since the SPS
workshop in 2000, including information from the Codex, IPPC and
OIE (the "Three Sisters") on their respective work, as well as a review of the outcome of WTO
dispute settlement cases as they relate to the risk assessment provisions of
the SPS Agreement;
§
Discuss the link between risk assessment
outcomes and risk management decisions, including sharing of experiences in
using risk assessment as a basis for SPS-related risk management decisions, and
experiences in co-operation between the public and private sectors;
§
Discuss experiences in SPS-related risk
communication; and
§
Explore ways to leverage resources to more
effectively perform risk assessments, as well as emerging issues and challenges
in risk analysis.
3 overview of workshop
3.1. Overall, the workshop focused on Members' experiences in various
areas of the risk analysis process, such as undertaking risk assessments,
making risk management decisions and conveying risk communication messages. Focus
was also placed on leveraging resources for risk assessments. Presentations
were made by Members from developed and developing countries, as well as by
several organizations such as IPPC, WHO (on behalf of Codex), IICA and the
International Livestock Research Institute (ILRI). The workshop provided an
open platform for discussion and experience sharing, as well as best practices
concerning SPS-related risk analysis. A summary of the various sessions of the
workshop is provided below.
4 workshop sessions
4.1 Introductory session[5]
4.1. In order to provide some context for the workshop, an introductory
session briefly reflected on the previous workshop held by the Committee in
2000 and identified some of the main points of focus that merited exploration
14 years later.
4.2. Mr Robert Griffin[6], National Coordinator for Agricultural Quarantine Inspection of the
USDA Animal and Plant Health Inspection Service, highlighted that the 2000
workshop had primarily focused on the key concepts introduced by the SPS
Agreement, such as the appropriate level of protection, sufficient scientific
evidence and risk assessment. Mr Griffin outlined that there were relatively
few international standards that were in concert with the Agreement at that
time, which resulted in a very strong focus by Members on risk assessment and
the associated concepts, terms and methods. He also highlighted the role of
standard-setting organizations in developing harmonized frameworks for risk
assessment.
4.3. In reflecting on where discussions are today, Mr Griffin highlighted
the extensive guidance that has been developed for risk assessment by the Three
Sisters as well as the wealth of insight available on risk analysis and its
relationship to the SPS Agreement. In particular, Mr Griffin identified the
available legal interpretations of the SPS Agreement from several disputes, and
the various risk assessments established by national agencies. Key points that
were still of relevance today included: the role and relationship of
uncertainty to SPS measures, and the rational relationship between risk
assessments and SPS measures.
4.4. In going forward, Mr Griffin highlighted several challenges which
would need to be addressed, such as questions surrounding the quality and
reliability of information used as evidence in risk analyses given the
increasing availability of information e.g. through the internet. In addition,
other areas of focus for WTO Members included: more holistic and sophisticated
views of risk assessment; incorporating modelling and economic analyses; and
looking at risk management from a systems standpoint.
4.2 THE SPS AGREEMENT AND RISK ANALYSIS (Session 1)[7]
4.5. Session 1 set the
framework for the subsequent presentations, focusing on Members' obligations arising
from the risk assessment provisions (Article 5) of the SPS Agreement and important
interpretations from the outcomes of WTO dispute settlement cases. Two
officials from the WTO Secretariat, Ms Gretchen Stanton and Ms Christiane Wolff
presented during this session.
4.6. Ms Gretchen Stanton[8] outlined the scientific justification principle in the SPS
Agreement, highlighting that SPS measures must either be based on an
international standard (Article 3) or on a risk assessment (Article 5). Ms
Stanton outlined a series of questions often used in SPS-related disputes to guide
the determination of whether a SPS measure follows the scientific justification
principle of the SPS Agreement:
1. Is the measure an SPS measure? (Article 1.1);
2. Does a relevant international standard exist? (Article 3);
3. Is the measure based on an international standard? (Article 3);
4. Is the measure a provisional measure? (Article 5.7);
5. Does a risk assessment exist which complies with the SPS Agreement?
(Articles 5.1 – 5.3);
6. Is the measure based on a risk assessment? (Article 5.1);
7. Is the appropriate level of protection consistent? (Article 5.5); and
8.
Is the measure the
least trade-restrictive? (Article 5.6).
4.7. Ms Stanton identified the
SPS-related disputes where legal rulings have been made and those that were
pending. She further highlighted that questions of scientific justification and
risk assessment were a critical aspect of almost every SPS dispute and that
there have been substantive legal rulings made in several of these cases.
4.8. Ms Christiane Wolff[9] provided an overview of the risk assessment provisions,
particularly, highlighting the obligation under Article 5.1 for Members to
ensure that their SPS measures are based on a risk assessment, as appropriate,
and that they take into account risk assessment techniques developed by the
relevant international organizations. Ms Wolff drew participants' attention to
the definitions of risk assessment as outlined in Annex A.4 of the SPS
Agreement, highlighting the differences in the definition for food safety risks
and the definition for pest or disease risks. Ms Wolff elaborated on the
guidance provided by Article 5.2 on the factors to take into account in
undertaking risk assessments, highlighting among others scientific evidence,
and the link between Articles 5 and Article 2.[10]
Ms Wolff emphasized that this link has also been established by panels and the
Appellate Body.
4.9. In presenting the lessons learnt from dispute cases, Ms Wolff first
examined the question of whether a risk assessment exists within the context of
the SPS Agreement. She highlighted that, based on legal interpretation, the
requirements for food safety assessments were different from those for
assessments of pest or disease risks. Other legal findings of interest included: that
the non-use of an international standard, as a basis for a measure, requires a
risk assessment; that there is no need for each Member to carry out its own
risk assessment, but that SPS measures can be based on an appropriate risk
assessment carried out by another party; that a risk assessment does not need
to be quantitative; and that risk assessments can consider divergent or
minority scientific views.
4.10. In relation to the question of how
to analyze whether a measure is based on a risk assessment, Ms Wolff explained that, according to the Appellate Body, the term "based
on" required a
rational relationship between the measure and the risk assessment. In addition,
the risk assessment must reasonably support the measure, although the measure
must not necessarily conform to every aspect of the risk assessment. Ms Wolff also referred to the economic factors, as outlined in
Article 5.3, which should be considered in assessing pest or disease risks and
presented the three-pronged test developed by the Appellate Body for analyzing
whether plant and animal health risk assessments were in conformity with the
SPS Agreement.
4.11. In examining Article 5.4, Ms Stanton outlined that once Members have
determined the level of risk that they will accept, the objective of minimizing
negative trade effects should be taken into account. It was further highlighted
that this article had not yet been interpreted through dispute cases and that
unlike Article 5.1, Article 5.4 used the term "should".
4.12. Ms Stanton provided an overview of Article 5.5, highlighting that the objective of the provision was to
avoid arbitrary distinctions in the level of risk considered to be acceptable,
if that distinction results in disguised restriction to trade. She made reference
to the SPS Committee Guidelines on Consistency (G/SPS/15), developed to assist
Members in implementing this provision. In addition, Ms Stanton outlined the three cumulative
elements identified by the Appellate Body for a measure to be found in
violation of Article 5.5. She further explained that previous legal rulings also
indicated that if the ALOP was not clearly stated by a government,
it could be derived from the level of protection embodied in the measure
being challenged.
4.13. In relation to Article 5.6, an
explanation was provided of the requirement to select the least trade
restrictive measure, highlighting the three cumulative elements used by the Appellate
Body to consider whether a measure is the least trade restrictive.
Specifically, the complainant must establish that there
is an alternative measure which: (i) is reasonably available, taking into account
technical and economic feasibility; (ii) achieves the importing Member's ALOP;
and (iii) is significantly less trade restrictive to trade than the existing
measure.
4.14. In providing an overview of Article 5.7, Ms Stanton explained that
this article was the only exception in the SPS Agreement to the requirement
that SPS measures must be based on a scientific justification. She underscored
that precaution "finds reflection in Article 5.7" as ruled by the
Appellate Body, but that this does not override the obligations of Articles 5.1
and 5.2, and presented the four elements that Members must be able to
demonstrate in order to legally justify a measure in the context of Article
5.7. Other rulings from
the Appellate Body were highlighted such as that scientific uncertainty is not
the same as insufficient scientific evidence, and that determination
of sufficiency of evidence to undertake a risk assessment may depend on the
importer's ALOP.
4.3 SPS RISK ANALYSIS IN THE CURRENT AGE (Session 2)[11]
4.15. Speakers in Session 2 dealt
with the current and evolving practices in undertaking risk assessments, as
well as some of the challenges in dealing with uncertainty, data availability
and qualitative vs. quantitative risk assessments. In addition, speakers
discussed risk management using specific examples across various sectors.
4.3.1 Part 1: Risk Assessment
4.16. Dr Djien Liem[12], Lead Expert in International Scientific Cooperation at the
European Food Safety Authority (EFSA) presented on risk assessment
methodologies in various sectors and how to respond to challenges ahead. Dr
Liem provided an overview of the role and functions of EFSA, highlighting that in
the European food safety system, risk assessment is done independently from
risk management. Integral to EFSA's work is its collaboration with external
experts and other organizations, both within and outside Europe,
such as national food safety agencies and research organizations, as well as
international organizations.
4.17. Dr Liem outlined the various ways
in which the nature of EFSA work is changing, identifying among others, that a
growing part of EFSA's work relates to the safety assessment of regulated
products, substances and claims submitted for authorization in the European
Union. Given the growing and varied demand, as well as the changing nature of
the questions that have to be addressed, EFSA has diversified into new areas
such as evaluation of the safety and environmental impact of new products,
development of new risk evaluation methods and the evaluation of
efficacy/benefits.
4.18. One of the key objectives of EFSA's
science strategy is its focus on introducing best practices in risk assessment,
while ensuring that the best available information is obtained for the risk
assessment, whether sourced worldwide or within the European Union. Dr Liem outlined
the emergence of several new risks and challenges for risk assessment related
to: chemical mixtures and combined toxicity; antimicrobial resistance; and
hazards linked to globalization, including food-borne disease outbreaks.
4.19. In looking at the various stages of the risk assessment process,
several global challenges were identified, such as the need for greater clarity
on the questions to be addressed, as well as the impartial consideration of
these questions and the type of methodology to be used. The importance of
relevant and reliable data was also highlighted, as well as how to deal with
uncertainty and knowledge gaps, among others. Further information was provided on the
guidance that has been developed or is being developed by EFSA, in collaboration
with other organizations, on several areas such as handling of uncertainties
and weight of evidence, to name a few.
4.20. Dr Amelia Tejada[13], Pesticide Residue Expert, Fertilizer and Pesticide Authority
(FPA), from the Philippines'
Department of Agriculture presented information on the Philippine's experience
in assessing and managing risk in relation to pesticides for food safety. In
her presentation, Dr Tejada underscored the importance of the standards
development process of Codex and the role of JMPR, JECFA and JEMRA. Using the
example of pesticides, Dr Tejada outlined the steps and associated analysis
embodied in the estimation of dietary risk and its comparison with an
established acceptable daily intake, in determining whether any potential
health risk is posed to consumers by pesticide levels. Additional factors were
indicated as necessary to further assess the hazards to non-target organisms,
such as effects on honeybees and soil micro and macro organisms, among others.
Several issues were raised in relation to the interpretation of results and the
use of quantitative vs. qualitative risk assessments.
4.21. Dr Tejada also highlighted the role of the Philippine National Codex Sub-Committee in
collating proposed MRLs and other pesticide issues, as well as submitting
position papers to Codex. Reference was made to the 2013 Philippine Food Safety
Act and its complementary elements in relation to the existing Codex
procedures. Dr Tejada concluded by underscoring that the Philippines'
Department of Agriculture and Department of Health used a risk analysis
approach in setting mandatory food safety standards.
4.3.2 Part 2: Risk Management
4.22. Mr Robert Griffin[14], National Coordinator for
Agricultural Quarantine Inspection of the USDA Animal and Plant Health
Inspection Service, provided some examples from the United States on risk management.
Mr Griffin highlighted that risk assessment may seem academic until there is
the need to make decisions and to apply those decisions in practice. Mr Griffin
outlined that one of the main challenges with risk management is the scope of
its interpretation. In addition, potential benefits and difficulties were
identified in the structural framework used by countries in the risk analysis
process and the roles assigned, particularly in relation to whether risk
assessment and risk management roles should be combined in SPS-related
regulatory bodies. Mr Griffin highlighted that various structures are used
within and across agencies in the United States. In some cases, risk
assessment and risk management units may work together on a risk analysis, but
the actual decision is taken elsewhere. However, in relation to risk analysis
undertaken for decisions related to SPS measures, most of the structures in the
United States
separate policy making and the analysis process, in order to avoid policy
exerting pressure on analysis.
4.23. Mr Griffin outlined the challenge of aligning past (pre-SPS
Agreement) and current decisions within the regulatory framework, to be
consistent with the SPS Agreement, as well as with an overall risk-based
approach. Other challenges related to analysis were highlighted such as
evaluating the role and type of economic analysis, and the role of a systems
approach among others. Mr Griffin highlighted the role of inspection as a risk
management tool, but underscored the need for the use of risk analysis
principles in its application, in order to ensure consistency with the SPS
Agreement. Issues related to transparency, adoption of processes outlined by
the international standards and the statistical basis of sampling were
identified.
4.24. Treatment strategies were also outlined as an area which has
evolved, but required additional focus in relation to risk-based justification,
level of efficiency, historical decisions and use of alternative options (i.e.
equivalence). The use of systems approaches was further highlighted as a
holistic tool to consider all events and conditions in the risk analysis
process. In concluding, Mr Griffin raised additional issues for
consideration such as how to manage uncertainty and assessing pathway
specificity.
4.25. Mr Peter May[15], General Manager of Food Standards Australia New Zealand presented Australia's
experience in the use of HACCP in a risk-based food safety management system. Following
an outbreak of enterohaemorrhagic E. coli O11 in
1995, in a particular food brand, the development of national food standards for
food businesses was prioritized and particular focus was placed on having a
preventative and coordinated approach in food safety risk management. The
development of three standards for food businesses[16],
on the basis of assessment advice to implement a HACCP approach, was described
as central to this approach. However, the broad implementation of the food
safety programme by food businesses proved to be challenging, given the
associated costs and practicality for the industry. In addition, enforcement
agencies required a policy framework to support their application. In
explaining this issue, Mr May provided an overview of the structure and
decision-making roles within the risk management framework for Australia.
4.26. Four high risk sectors were identified for the mandatory
introduction of the food safety programme. However, it became apparent that the
requirement for a food safety programme, even for higher risk sectors, was not
the right tool for all businesses as they could not fully implement HACCP and
this further underscored the need for a tailored approach. In this regard,
Mr May explained Australia's current approach of using a food safety risk
priority classification framework which allows food business sectors to be
classified, so that risk management regimes are assigned in proportion to the
risk, taking into account the nature and capacity of the business. In this way,
HACCP was used as a risk based tool in food safety management.
4.27. In concluding, Mr May outlined that this experience demonstrated an
example of risk management responding to the economic and political drivers of
small business. Mr May further emphasized that risk management has to be
flexible and that while risk assessment can sometimes give a clear outcome, a
range of other considerations may need to be taken into consideration, such as
the capacity of food businesses to implement the standards, which may depend on
the scale and maturity of the business.
4.4 INTERNATIONAL STANDARDS AND GUIDELINES FOR PERFORMING RISK ANALYSIS
(Session 3)[17]
4.28. In Session
3, the IPPC and the
WHO on behalf of Codex presented on the procedures and guidelines used by those
bodies in performing risk analysis.[18]
Presenters highlighted changes in the relevant procedures and guidelines since
2000 and outlined the efforts to strengthen international standards and to
overcome gaps. In addition, several challenges were highlighted, as well as the
lessons learnt in the process of ensuring that guidelines are understood and
followed by Members.
4.29. Dr Philippe Verger[19] from the Food Safety and Zoonoses Department of the WHO provided an
overview of the three components of the risk analysis paradigm within the Codex
system, highlighting the role of FAO, WHO, the Codex Alimentarius Commission
and member States in the process. Dr Verger explained that historically, Codex
had always been implementing risk analysis since its creation in the early
1960s. Subsequently, the SPS Agreement was established, including specific
provisions on risk assessment and determination of the appropriate level of SPS
protection. Dr Verger further highlighted that according to the Agreement, risk
assessments are to take into account the techniques developed by relevant international
organizations.
4.30. Dr Verger outlined the various ways that risk analysis has been
integrated into the Codex process, highlighting new Codex documents that have been
published since the risk analysis workshop in 2000.[20]
In addition, specific documents on risk analysis principles or policies have
been prepared in recent years by Codex Committees dealing with food additives
and contaminants, residues of veterinary drugs in foods, pesticide residues,
nutrition and hygiene. Dr Verger also drew attention to the 2007 Codex
publication on "Working Principles for
Risk Analysis for Food Safety for Application by Governments".[21]
4.31. Dr Verger outlined the trends in risk analysis, highlighting that in
risk management, the focus has been on improving problem formulation,
identifying how the advice is to be used and indicating the significance and
urgency of the work, among others. In terms of risk assessment, Dr Verger
identified the increased focus in several areas, such as ensuring that the best
science is available, seeking independent advice, ensuring transparency in the assessment and comparing various options. Dr Verger further explained that the
issue of precaution is an inherent element of risk
analysis and emphasized that the degree of uncertainty and variability in the
available scientific information should be explicitly considered
and described in the risk assessment and risk management options. Other
legitimate factors were presented; however, Dr Verger indicated that the advice
of Codex is that these factors should not affect the scientific basis of the
risk analysis.
4.32. Several benefits of risk analysis within
the Codex framework were underscored, such as the focus on issues of international concern, the use of globally applicable
information and tools, and the identification of areas where knowledge and data are lacking. Several challenges
were also outlined in relation to identifying priorities at the international
level, defining the possible scope of work and use to be given to results and harmonizing
risk assessment methodologies based on the Codex principles, among others.
4.33. Ms Ana Peralta[22], IPPC
Capacity Building Officer reminded participants that the text of the IPPC had
been revised in 1997 to incorporate the principles of the SPS Agreement. Ms
Peralta highlighted that pest risk analysis (PRA) was more than a process; it
was also a principle. She provided background on the development of the first
ISPM 'Phytosanitary
Principles for the Protection of Plants and the
Application of Phytosanitary Measures in International Trade' (ISPM No.
1) and its subsequent revision in 2006. Ms Peralta explained that since 2006,
PRA had been quoted in many of the IPPC principles and that PRA was the basis for other key operational principles, such as
setting emergency measures and modifying current phytosanitary measures.
4.34. Ms Peralta provided an overview of the key IPPC standards involved
with PRA, highlighting the specific standard for PRA[23],
as well as other PRA-related standards such as ISPM 11:
Pest Risk Analysis for Quarantine Pests (2013) and ISPM No. 21: Pest Risk Analysis For Regulated Non-Quarantine Pests (2004). Ms Peralta described the
evolution of ISPM 11, explaining that several revisions had been undertaken in
order to respond to new PRA-related issues, such as dealing with risks for the
environment and living modified organisms. Ms Peralta indicated that several
other standards in relation to establishing phytosanitary measures on the basis
of PRAs were available on the IPPC website.[24]
4.35. The importance of follow-up activities related to the implementation
of standards, once the standards have been adopted, was highlighted. In this
regard, IPPC had focused on this area of work through three main initiatives:
(i) the Framework for Standards Task Force which conducts standards gap
analysis; (ii) the Implementation Review and Support System (IRSS); and
(iii) Capacity Development Committee (CDC). Ms Peralta highlighted the
results of an IRSS study which showed that 24% of contracting parties reported
low implementation of the main PRA standards, while 43% reported full
implementation. Some of the reasons identified were related to inadequate
quarantine facilities, lack of cooperation from other contracting parties and
inadequate funding. Other results from CDC's work were also presented. Ms Peralta clarified
that the IPPC does not require its Members to undertake quantitative PRAs.
4.36. Ms Peralta further outlined several actions taken by the IPPC to
address various gaps, some of which had been funded by the STDF. Various IPPC
PRA materials were also presented, which are available through the
phytosanitary training website (http://www.phytosanitary.info/training).
These include the IPPC PRA training course[25],
IPPC E-Learning Course on PRA (developed in cooperation with IICA)[26],
PRA Awareness raising materials[27],
and risk analysis reports on specific pests and products.
4.5 MEMBERS DISCUSS THEIR RISK MANAGEMENT EXPERIENCES (Session 4)
4.37. Several practical experiences in making risk management decisions in
the animal and plant health area were presented by developed and developing
country speakers in Session 4.
4.5.1 Part 1: Developing country experience[28]
4.38. Dr Mpho Maja[29], Director of Animal Health in the Department of Agriculture,
Forestry and Fisheries presented South Africa's experience in determining its
risk management options when faced with the risk of the introduction of Porcine
Reproductive and Respiratory Syndrome (PRRS) into the country, through imports
of pig and pork products. Dr Maja explained that South Africa had historically
been free of the virus, a status held by only a few countries worldwide,
however PRRS was first introduced into the country in April 2004. Two other
introductions of the virus occurred in 2005 and 2007. On each occasion the
virus was successfully eradicated at considerable expense. Following the
eradication initiatives, as well as a 2009 national surveillance effort on a
number of pig diseases, South Africa was able to declare itself free of PRRS
and several measures were put in place to prevent its reintroduction.
4.39. Dr Maja highlighted that although the OIE does not have PRRS
guidelines on the trade of pigs and products, South Africa's import
requirements for live pigs and pig semen were stringent enough to mitigate the
risk of introducing PPRS through trade in these products. However, import
requirements for pork products were considered to be weak and findings from the
investigation of the outbreak indicated that the use of legally imported swill
as feed was the likely source of the outbreak. A review of existing risk
assessments on PRSS which had been conducted by Australia and New Zealand, as
well as the 2005 EFSA Scientific Opinion[30],
was subsequently undertaken. In particular, Dr Maja highlighted that the
EFSA report concluded that "infectious PRRS virus in
fresh pig meat may constitute a hazard when exported from a country or region
with PRRS to a country with a naive pig population".[31]
In this regard, South Africa had a completely naive population as it did not
vaccinate against the virus, due to the absence of the disease in the country.
Extensive information was provided on the EFSA findings including the possible
avenues for infection and introduction of the virus, such as through swill
feeding. Dr Maja explained that although swill feeding was prohibited in South
Africa, there remained a high likelihood that scraps of pork would be ingested
by pigs. With imports of over 40 tons of pork annually, the possibility of
importing infected pork into South Africa was considered to be unacceptably
high.
4.40. In considering the risk management options, Dr Maja highlighted that
the safest measure would have been to prohibit all imports of raw pork, whether
fresh or frozen, from all infected PRRS countries and only allow imports from
PRRS-free countries. However, this would have been the most trade restrictive
option, negatively affecting trade. In addition, this option would prove
challenging as only a few trading partners could prove PRRS freedom. In order
to allow consumers to continue to have a wide choice of safe pork products, as
well as minimize the impact on trade, a balance was sought between the
necessary risk mitigation actions and the risk associated with the products. In
this regard, three alternatives were identified: (i) to import processed products
– where the virus had been deactivated through processing; (ii) to import
consumer ready cuts – products which required no further handling; or (iii) to
import products for further
processing in the country, post arrival, to make them safe.
4.41. In implementing these options, challenges had included the necessary
changes required by the industry, consumers and trading partners, as well as
inspection at the port of entry, within the context of limited resources. Lessons
learnt included that risk management differs based on the circumstances and that
a number of factors needed to be considered to ensure its practicality. In
addition, the importance of ensuring that there are sufficient resources to
check compliance was identified, as well as considerations related to the financial
impact on the regulator and on trade.
4.42. Mr Kenrick Witty[32], Plant Health Officer in the Plant
Health Department of the Belize Agricultural Health Authority (BAHA)[33] focused on the risk management decision taken in relation to the
importation of coconut seedlings and ungerminated coconut seed nuts from
Mexico. Mr Witty highlighted that following an increased interest in
coconut cultivation for the production of coconut water and coconut oil, both
for the export and local market, investors were prompted to seek imported
planting materials due to a shortage of local planting materials.
4.43. In one specific example, a request
was submitted by an importer to import coconut seedlings from Mexico, in order
to establish a coconut plantation in Belize for the purpose of exporting
coconuts. A pest risk assessment (PRA) revealed the presence of fifteen pests
of quarantine concern for Belize, most notably the red palm mite. This pest was
of major concern due to its effects on several species of palms, including
coconut palms, which were identified as important plant families in Belize. In
addition, the red palm mite presented a threat to Belize's thriving banana
production, one of the most important industries along with citrus and sugar.
Based on the findings of the PRA, as well as taking into consideration that the
planting material was needed to grow the fledgling coconut industry, the
importer was given several options under which the material
could be imported into Belize, instead of prohibiting importation.
4.44. One of the options included
stringent requirements for the importation of coconut seedlings, as it posed a
higher risk due to the presence of foliage. However, the
importer was unable to meet these risk management measures. Instead, the
importer was able to comply with the less stringent risk management measures
for the ungerminated coconut seed, which posed a lesser risk due to the absence
of foliage.
BAHA also facilitated the importation of these products under an importation
protocol. Mr Witty indicated that the planting material
was subsequently imported into Belize and was currently being grown, while
being monitored by the Plant Health Department.
4.45. Some of the main challenges from
this experience included the actual undertaking of the PRA and gathering the
necessary information for the assessment, especially as it related to
information on pests. Mr Witty also emphasized the need for a dedicated PRA unit
staffed with additional personnel. The importance of
conducting PRAs in order to assess the extent of the risks and to justify the
appropriate level of protection was also highlighted. In addition, Mr Witty underscored
the importance of communication with the relevant parties throughout the
process, in order to ensure that all stakeholders understood their role and the
potential impact on the agricultural sector.
4.5.2 Part 2:
Developed country perspective[34]
4.46. Dr Frans Verstraete[35] from the European Commission,
Directorate General for Health and Consumers outlined the approach taken in the
risk management of contaminants in feed and food in the European Union, based
on a risk analysis policy. Dr Verstraete identified some general principles
related to the EU regulations on contaminants in feed and food, highlighting a
fundamental principle which is that contaminant levels shall be kept as low as
can be reasonably achieved by following good practice at all stages of the
production chain.
4.47. Dr Verstraete explained that in order to
achieve the general objective of the protection of animal and human health, the
EU feed/food legislation is based on risk analysis. Risk management also takes
into account the results of risk assessment and other factors legitimate to the
matter under consideration
and the precautionary principle, where appropriate. Maximum levels for
specific contaminants are established where necessary and the consultation of a
scientific body (EFSA) for all provisions which may have an effect upon animal
and public health is mandatory.
4.48. Dr Verstraete
highlighted that "prevention is better than cure" in relation to
reducing the presence of contamination in the feed and food supply. He
emphasized the importance of encouraging preventive actions such as good
agricultural practices, good manufacturing practices, good storage conditions, and
use of improved sorting procedures. Dr Verstraete indicated that maximum levels
are established at a reasonably achievable level, stimulating feed and food
business operators to apply preventive actions all along the feed and food
chain in order to avoid contamination. In addition to setting maximum levels,
various other risk management regulatory tools are applied at the EU level to
prevent and/or reduce the contaminant levels in feed.
4.49. Three
case studies illustrated how the abovementioned principles and tools have been
applied in practice. The first case study focused on citrinin in food, the
second on the regulation of certain mycotoxins in food, and the third on
acrylamide in food.
4.50. Dr Kerry Dearfield[36], Chief
Scientist of the Food Safety & Inspection Service (FSIS), Department of
Agriculture, Office of Public Health Service of the United States provided an
overview of risk management from the perspective of the United States. He
outlined the role of FSIS in ensuring that the commercial supply of meat,
poultry, and egg products is safe, and the associated regulatory statutes. In
emphasizing the science-based nature of the SPS Agreement as enshrined in
Article 2.2, Dr Dearfield underscored the obligation for risk assessments to be
based on science and highlighted the science-based approach taken by FSIS in
its risk management decisions.
4.51. The risk assessment paradigm was
presented, highlighting the importance of planning and scoping, in order to
ensure that the risk assessment is successful and that the required information
is obtained to make the necessary management decisions. Dr Dearfield emphasized
the importance of risk assessments being aligned with risk management needs and
that the best risk risk assessment is the one that "is fit for
purpose", whether quantitative or qualitative, and the one that most
directly informs the risk management issue. He also made reference to a publication by USDA/FSIS
and the US Environmental Protection Agency on Microbial Risk Assessment
Guideline.[37]
4.52. Dr Dearfield explained the FSIS
decision-making framework, highlighting that while other factors are
considered, the decision-making process is mainly informed by the risk
assessment. Several important risk management
considerations included having well defined risk management questions and understanding
that risk assessments are not a "one size fits all". In addition,
Dr Dearfield highlighted that the complexity of the risk assessment
depends on the purpose for developing the risk assessment and that risk
assessors and risk managers are independent, but interdependent.
4.53. Several options are available to risk managers once the risk
assessment has been undertaken, such as: setting a regulatory level (e.g.
MRLs); using international guidelines to establish national guidance; providing
dietary advice; instituting mitigation strategies; and providing education and
training opportunities. Two practical examples highlighted how risk assessments
are used in setting regulatory levels and requirements. The first example dealt
with a chemical-related issue of setting pesticide tolerances and the other
dealt with a microbial-related issue dealing with the risk of Salmonella and Campylobacter in poultry.
4.6 EXPERIENCE OF INTERNATIONAL AND REGIONAL ORGANIZATIONS (Session 5)[38]
4.54. In this session, the International Livestock Research Institute (ILRI)
and the Inter-American Institute for Cooperation on Agriculture (IICA)
presented information on research and capacity-building being undertaken in
Africa and in the Americas respectively, as well as the tools available to
assist in the risk analysis area.
4.55. Dr Delia Grace[39] from ILRI provided information from an international and research
perspective on some of ILRI's experiences in risk assessment and management
which has mainly been undertaken in Africa and Asia. ILRI's work has centred on
two main areas: (i) capacity-building for risk analysis; and (ii) conducting
risk assessments and piloting risk management options. Dr Grace highlighted the
benefits of risk-based approaches, underscoring its emphasis on evidence and
science, as well as its acceptability to most stakeholders. In this regard,
ILRI has seen a large adoption of risk-based approaches in beneficiary
countries, which complements the risk-based approach embodied in the SPS
Agreement and international trade standards. However, Dr Grace pointed out that
there has been little uptake and understanding at the level of implementation
and especially at the level of the domestic market, where most of the food is
traded. She highlighted several challenges in this regard, such as the need for
change in attitudes and the lack of a clear distinction between risk and
hazard, among others.
4.56. ILRI's experience in risk assessment has been two-fold: (i)
assessing trade in livestock and livestock products, and (ii) assessing the
risk of food in domestic markets. Dr Grace used the example of a risk
assessment undertaken by ILRI in Ethiopia, at the request of the government, to
highlight that the export of livestock and livestock products is less important
to developing countries than originally thought and that SPS issues are not a
major barrier. These findings, as well
as similar results from other research, have shifted ILRI's work away from the
OIE import and export risk analysis towards food safety in domestic markets. In
this regard, Dr Grace highlighted the participatory
risk analysis approach used by ILRI for understanding and managing food safety
in domestic markets. Several challenges were identified in the risk
assessment process, such as huge information gaps and dealing with inadequate
data.
4.57. Statistics were provided to highlight the major role of smallholder
farmers in supplying food markets in developing countries. Dr Grace observed
that the research showed that in most cases imported food was safer than
locally produced food in the countries reviewed. In addition, informal markets
played a huge role in food security and safety, and as such managing food
safety in this context required tailored and targeted actions. Other findings
from the studies showed that inappropriate regulation was associated with worse
practices as it tended to push producers to cut corners and that compliance in
the formal sector was often worse than in the informal sector.
4.58. Dr Robert Ahern[40] from the Inter-American Institute
for Cooperation on Agriculture (IICA) provided information on regional
initiatives related to risk analysis in the Americas. Dr Ahern outlined several
risk analysis capacity assessment tools that have been developed by IICA,
starting with the Common Vision, Evaluation
and Action (CVEA) Tool in 2003. This tool was modified and further developed
into the Performance, Vision and Strategy (PVS) Tools for: National Veterinary
Services (OIE-IICA, 2004), National Plant Protection Organizations (2005); and
National Food Safety Services (IICA-PAHO, 2005). Dr Ahern highlighted that in
addition to assessing the three components of performance, vision and strategy,
the tools also examined the interaction between the public sector and private
sector, as well as assessed human and financial capital in order for countries
to establish their capacity needs. The PVS tools have been widely applied in
various countries.
4.59. Dr Ahern outlined that these tools assisted
in the identification of gaps, allowing IICA to develop general and specific
training courses to address the needs identified during PVS assessments. Some
of these courses include: chemical and microbiological hazard risk assessment in food safety; risk
assessment of animal diseases; online and on-site courses on risk communication;
and updating and conducting an online course in pest risk analysis, in
collaboration with IPPC.
4.60. Application of these tools has also helped to identify
specific challenges related to capacity, compliance, funding, relevance, and
sustainability of risk analysis units within the Americas. In addition, various opportunities were identified such as capacity
building, especially through partnerships with academia, the private sector and
institutions like the STDF. Dr Ahern also provided information on several STDF
projects within the region and on IICA's collaborative work with Codex, IPPC
and OIE to build technical capacity across the Americas. He also highlighted
opportunities related to sustainability and funding; in particular, a SPS
capacity-building project being financed through the 10th European
Development Fund.
4.7 LEVERAGING RESOURCES FOR RISK ASSESSMENTS – WAYS TO ADDRESS RESOURCE
CONSTRAINTS (Session 6)[41]
4.61. The issue of resource constraints and finding resources to undertake
risk assessments was covered in Session 6 with
some useful examples and suggestions on how to leverage resources for risk
assessments, as well as experiences in using new ways to meet the WTO
obligation in relation to risk assessment, such as the use of risk assessments
drafted by parties other than the importing Member.
4.62. Mr Sidney Suma[42], STDF developing country expert and consultant from Papua New
Guinea, highlighted the resource constraints faced by Papua New Guinea, as well
as by other Pacific Island Countries[43]
in performing risk assessments. The main types of resource constraints
associated with risk assessments were linked to: (i) funding; (ii) technical
capacity, including availability of human resources; (iii) facilities,
including access to utilities e.g. electricity, internet; and (iv) access to
information.
4.63. Mr Suma provided several examples of
the ways in which financial resources have been leveraged for risk assessments,
such as through the implementation of cost recovery or the user-pay policy for
risk assessments, as well as through donor funding. In order to address
technical limitations, several approaches have been used, including the review
of market access applications, which provides compiled information upfront
through the submitted dossiers, thereby facilitating the risk assessment. In
addition, PRA programmes and training opportunities under bilateral, regional
or international projects were important in addressing technical constraints,
as well as the use of PRA models
developed by other technical bodies and the use of technical expertise from
various sectors.
4.64. In relation
to information resources, Mr Suma indicated that the use of risk assessment
reports conducted by third parties as well as information made available
through membership in professional societies or other technical sharing and
information exchange networks was important. Mr Suma also emphasized the
importance of information generated from regional projects and surveillance
activities, particularly the work done by the Secretariat of the Pacific
Community.
4.65. In examining the challenges, Mr Suma underscored the need for policy
and regulatory support, especially where current laws do not support or do not provide
a mechanism for third party risk assessments. Other challenges included the
lack of inter-agency co-operation, limited consultation and participation of
stakeholders, as well as inadequately documented procedures. In concluding, Mr
Suma indicated that any form of risk assessment was better than none at all.
Other lessons learnt included the importance of having prior approval or permission
from the competent authority before undertaking or considering third party risk
assessments and the value of using training opportunities to undertake real risk
assessments.
4.66. Mr Guilherme da Costa[44],
Food Safety Expert in the Department of Sanitary and Phytosanitary
Negotiations, Ministry of Agriculture, shared Brazil's experience in leveraging
resources for risk assessment using the case of coffee. Mr da Costa provided an
overview of the economic importance of coffee production in Brazil,
highlighting Japan among its main importers. The issue related to the use of
flutriafol, a fungicide used in cereal crops, and its associated MRL.
4.67. In 2009, Brazil had requested Japan to increase the import tolerance
of flutriafol residue in coffee beans from 0.01 mg/kg to 0.05 mg/kg. Mr da
Costa noted that no limits had been established by Codex at that time. However,
several problems were experienced in some shipments to Japan as flutriafol
residue was then detected at levels above 0.01 mg/kg. Mr da Costa
highlighted that in 2009 and 2010 the private sector had undertaken several
studies on the toxicology of flutriafol. In addition, Brazil had requested
Japan to consider data produced by the European Union in 2011, indicating its
amendment of MRL for flutriafol from 0.01 mg/kg to 0.05 mg/kg on the basis of
EFSA findings. In 2012, Codex established the MRL for flutriafol in coffee
beans at 0.15 mg/kg.
4.68. Mr da Costa highlighted that on the basis of several bilateral
consultations and consideration of existing research, Japan consequently
reviewed its maximum residue level and set it at 0.2 mg/kg. In concluding,
Mr da Costa underscored some lessons learnt such as the importance of using
studies undertaken by the private sector and other trading partners, as well as
the work of JMPR. In addition, he highlighted the cooperation of Japan in the
bilateral negotiations as a key factor, as well as the flexibility shown, as
evidenced by the trade facilitating measure which was implemented.
4.8 MEMBERS' DISCUSS THEIR RISK COMMUNICATION EXPERIENCES (Session 7)[45]
4.69. The challenges of communicating risk to various stakeholders were
discussed in Session 7, where practical
experiences highlighted the importance of targeting specific messages to
various stakeholders, the timing of these messages, how to communicate
uncertainty and the use of new communication tools, such as smartphone
applications in disseminating information.
4.8.1 Part 1: Internal Risk Communication
4.70. Dr Mpho Maja[46] from the Department of Agriculture, Forestry and Fisheries (DAFF)
presented the South African experience in risk communication, focusing on
animal health and animal disease-related issues. Dr Maja first provided an
overview of South Africa's federal system, highlighting the SPS-related roles
of the central competent authority (DAFF), as well as the nine provinces and
related border control agencies. Dr Maja also highlighted the various
monitoring efforts that South Africa had undertaken since it started trading in
1994, in order to prevent the introduction of animal health diseases and to
ensure early detection and containment.
4.71. Dr Maja indicated that internal risk communication within South
Africa was fairly easy at the central level, but highlighted some challenges in
coordinating responses at the provincial level. This, however, was mitigated
through regular structured engagements between risk assessors and risk managers
at the provincial and national level. In providing an overview of South
Africa's communication strategy, Dr Maja highlighted the various factors which
impact the nature of its strategy, such as the type of risk, its source
(whether of international and/or local origin) and the potential impact on the
producer. The relevant communication procedures were explained in the case of
diseases of an emergency nature. Specific reference was made to the OIE
notification requirements and the internal processes to coordinate the
submission of reports as well as informing relevant political authorities.
4.72. Dr Maja also explained the strategy used in cases where the
identified risk emanated from outside the borders of the country, as well as
risk arising internally. Key steps were further outlined to explain how the
procedure works in practice. Key challenges included coordination issues, as
well as differences in interests at the provincial and central level due to the
difficulty in implementing strict measures to manage risk, as a result of local
official's sense of loyalty to animal owners.
4.8.2 Part 2: Translating risk assessment and risk management into
communication messages
4.73. Dr Antoon Opperhuizen[47], Director of the Office of Risk Assessment and Research of the
Netherlands Food and Consumer Product Safety Authority (NVWA) presented new
approaches to risk communication. Dr Opperhuizen explained the NVWA approach to
understanding risk as being composed of 2 dimensions: the effect of the risk
and the chance or probability that the effect will occur. While communication
to the public is normally concerned about what will happen (i.e. effect),
risk managers are normally concerned about limiting the chance of occurrence,
so that the risk is limited.
4.74. The evolution of risk communication was outlined, highlighting that
its initial goal was to educate the public, which then shifted to persuading
the public and subsequently to engaging the public in a two-way communication.
Experts were key to all of these stages in their main role of imparting
knowledge to the public. However, the classical principles of good
communication, such as openness, transparency, independence and responsiveness/timeliness
were not very effective in communicating risk. As such, Dr Opperhuizen
underscored that future risk communication should focus on engaging other
networks of stakeholders, in addition to the general public. This should be
done in a cooperative manner where experts and non-experts contribute to what
people want or need to know, using both cognitive and affective interaction.
This was the approach currently being used in the Netherlands.
4.75. Dr Opperhuizen explained the role of perception in risk communication and how it can
be influenced by disseminating information through various communication
strategies. An example was provided on how to select risk
communication strategies appropriate to different scenarios, using the subject
of pesticides and marine biotoxins. Dr Opperhuizen explained that the public
generally regards pesticides as a major risk, while experts see this as having minor
importance for public health. However, the general population does not
recognize marine biotoxins as a threat, while experts indicate this as an area
for concern. In the case of pesticides, informing the public of the reality of
the threat might be the main focus, incorporating mild risk communication
strategies, whereas for marine toxins, awareness-raising might be a better
alternative. Dr Opperhuizen presented an example of an awareness-raising
campaign in the Netherlands in relation to the Ambrosia plant, which on
contact, produces general discomfort. In particular, the Ambrosia Smartphone
Application[48]
was developed to help in identifying the plant and to report sightings of
Ambrosia. This assisted in creating awareness about the plant and enabled
authorities to have a better picture of the spread of Ambrosia in the
Netherlands. In effect, this application was used both as an information and
monitoring tool.
4.76. In concluding, Dr Opperhuizen
outlined that different communication strategies can be used depending on the
issue at hand, the target group and the type of risk. An awareness-raising
strategy should focus on a target group where cognitive messages are
used to educate, persuade, engage and stimulate emotions, but also incorporating the use
of social media tools. Dr Opperhuizen underscored that this strategy
required a great deal of work. On the other hand, trust-raising is suited to more formal ways of
communicating. Dr Opperhuizen emphasized that these strategies should not be
mixed, as when the communication strategy stimulates emotions, there is no
longer control of the message along the network of risk communication
stakeholders.
4.8.3 Part 3: Targeting communication messages
4.77. Mr Guilherme da Costa[49], Food Safety Expert from Brazil's Department of Sanitary and
Phytosanitary Negotiations, Ministry of Agriculture, Livestock and Food Supply
presented Brazil's experience in targeting risk communication messages. Mr da
Costa used the example of an outbreak of Bovine Spongiform Encephalopathy (BSE)
in Brazil in 2012, to highlight the steps used to tailor communication messages
to a broad range of stakeholders, consumers and trading partners.
4.78. Mr da Costa provided an overview of the details surrounding the BSE
outbreak in a native cow in Brazil, highlighting that based on the specifics of
the case, the animal did not represent any risk of contamination to the food or
feed chain. One of the key elements of Brazil's risk communication strategy was
the establishment of a Crisis Office to handle the issue, which included the
coordination of all risk communication actions at a national and international
level. The Crisis Office, which encompassed various Ministries and SPS-related
authorities, worked with the media in order to provide targeted and appropriate
information to consumers. In addition, technical notes on the situation were
provided to international organizations like the OIE.
4.79. Mr da Costa highlighted several other avenues which were targeted
for the circulation of information, such as through the SPS Committee, where
Brazil communicated the final report of the BSE case (G/SPS/GEN/1232) in June
2013. Various bilateral meetings were also held with trading partners and in
addition, a plurilateral meeting was organized in Geneva at Brazil's Permanent
Mission with various trading partners, SPS Secretariat and SPS Chairperson.
4.80. Mr da Costa concluded that risk communication was key to addressing
potential misunderstandings, deterring trade barriers, as well as keeping
consumers and trading partners informed of the steps being taken to address the
situation. In this regard, he highlighted that Brazil had around 142 beef
export markets and that sanitary measures were established by only 17
countries. Furthermore, there was no decrease in national beef demand and
Brazil also maintained its OIE status as negligible risk country for BSE.
4.9 OUTCOMES AND NEXT STEPS (Session 8)[50]
4.81. In summarizing the key outcomes of the various workshop sessions in Session 8, speakers highlighted the rapidly evolving nature
of the risk analysis area, indicating that while significant progress had been
made, there still remained some challenges. In addition, a wide ranging
discussion focused on several aspects of risk analysis in the SPS area,
including a few suggestions for follow-up steps.
4.82. Dr Amelia Tejada
outlined the increasing concern and need for food safety risk analysis in
developing countries, in order to reduce hazards from food. In summarizing the
outcomes of the discussion, Dr Tejada provided an overview of several key
points raised during the various presentations. In addition, Dr Tejada recalled
some of the risk management options outlined by various speakers, such as:
establishing regulatory requirements/levels based on MRLs; utilizing
international guidelines to establish national guidance; instituting mitigation
strategies; providing education and training opportunities; establishing
research needs; and pursuing data gaps. Dr Tejada concluded by
underscoring two points made by previous speakers, that prevention is better
than cure and that the decision-making framework should take into account
several factors, key among which is science.
4.83. Mr Robert Griffin observed
that risk analysis has an important role in the SPS Agreement, highlighting
that risk analysis within the context of the SPS Agreement is specific and not
transferrable from any other discipline. In this regard, the distinction
between risk assessments for food safety risks and animal/plant health risks
was emphasized. Mr Griffin further indicated that although there had been an
evolution since the first workshop in 2000, there was still room for additional
growth as identified by the various challenges and possibilities presented by
several speakers. The use of case studies was highlighted as providing an
excellent learning opportunity and the suggestion was made for this approach to
be incorporated in future workshops. Mr Griffin underscored the need to share
and discuss the work being done by academia and emphasized that the academic
community had started to look at the work being done by the SPS Committee.
Mr Griffin suggested that opportunities should be created to analyse the
findings from SPS-related disputes in order to further disseminate information
on these legal interpretations. In conclusion, Mr Griffin underscored the
importance of sharing experiences in order to promote the evolution of risk
analysis and the SPS Agreement.
4.84. Ensuing discussions in the workshop focused on a range of risk
analysis-related themes and suggestions which are presented below.
4.9.1 Separation of risk assessment and risk management roles
4.85. Discussions focused on the factors to consider in deciding whether
a country should maintain risk assessment and risk management functions within
the same institution. Various speakers indicated that the main issue was not
whether risk assessment and risk management should be in the same or different
institutions, but instead to ensure that the risk assessment was done
independently from the risk management. As such, emphasis was placed on
separating the functions and not necessarily the institutions. The importance
of communication and interdependence between risk managers and risk assessors
was also highlighted, while underscoring the need to ensure that the risk
manager was not able to influence the outcome of the risk assessment.
4.9.2 Availability of risk assessments and resource constraints
4.86. The availability of risk assessments was another issue discussed,
especially since Members do not need to undertake their own risk assessments as
a basis for their SPS measures, but can rely on existing risk assessments. In
particular, the query was raised whether the SPS Committee can develop guidance
in order to advance access to risk assessments. In response, the Secretariat
highlighted Members' obligation to establish an Enquiry Point responsible for
responding to queries, which also included the provision of information on risk
assessment procedures, the associated factors taken into consideration, as well
as the determination of the ALOP. The Secretariat also reminded participants
that in the past, the SPS Committee had decided to encourage Members to share
information on relevant websites and sources of information regarding national
measures, and suggested that perhaps Members should also be encouraged to share
risk assessment outcomes. While acknowledging that some of this information was
already available, the Secretariat also recognized that there probably existed
information on risk assessments which was not being shared, both on those
undertaken by developed countries, as well as by developing countries. Several
speakers provided examples of how risk assessments, technical assessment advice
and decisions have been shared either through existing websites or
publications.
4.87. Resource difficulties in carrying out risk analysis were also
highlighted and the suggestion was made that Members should provide the
necessary resources to carry out the required risk assessments in a timely
manner.
4.88. Intellectual property issues associated with the use of scientific
literature in the risk analysis process were further identified as a challenge.
Speakers highlighted the legal constraints in sharing confidential information
with trading partners, highlighting that applicants are not always keen on
information being shared across jurisdictions. The institutional approach in
the United States was indicated as being transparent, both in terms of the
approach, guidelines and the tools that are used, as emphasis was placed on
ensuring that any tools or guidance that are used in the process are freely
available online.
4.89. The suggestion was made that the Secretariat, in light of developing
countries' difficulties in accessing information, establish a system to allow
access to SPS-related information, similar to a process used for health-related
information by the WHO. In response, the Secretariat indicated that it would be
unlikely that Members would agree to finance such a system solely for the SPS
area and that if the WTO were to create such a virtual library, it would more
than likely be created more generally on trade and trade agreements, and not
only on SPS.
4.9.3 Risk communication
4.90. Rebuilding trust in the government in cases where consumers placed
greater trust in stakeholders such as NGOs was also discussed. In this regard,
Australia's experience through its stakeholder engagement policy was
highlighted, where focus was placed on using social media to share information
not only from the government, but also from other agencies and stakeholders
working on the particular issue. This approach assisted in communicating that
the message was not only coming from the government but also from various other
stakeholders, including community groups. The query was also raised whether it
would be possible for the Secretariat to develop an E-Learning Course on risk
communication, as well as other programmes in this area. In response, the
Secretariat indicated that it did not have the necessary expertise in risk
communication and as such, would not be best placed to undertake this activity.
4.91. In highlighting the limited experience many developing countries had
in undertaking risk assessments, a query was posed to speakers from developed
countries on the common errors made in the risk assessment process. In
response, insufficient risk communication and the need for more dialogue
between risk assessors and risk managers during the planning and scoping phase,
as well as after the completion of the risk assessment were identified. The
issue of who is responsible for undertaking risk communication, whether the
risk assessor or the risk manager was also raised.
4.9.4 Role of Codex, IPPC and OIE in the risk analysis process
4.92. In the discussion, the importance of the role of Codex, IPPC and OIE
in developing and maintaining the techniques of risk analysis was emphasized.
It was also highlighted that the Three Sisters are best placed to provide
training to their members in applying those techniques and that without these
standard-setting bodies, the implementation of the risk assessment provisions
of the Agreement would not be possible.
4.9.5 Importing Members' obligation to undertake a risk assessment
4.93. A query was raised in relation to how to ensure the timely submission
of information from exporting countries. The Secretariat clarified that the
text of the SPS Agreement indicates that the importing Member has the legal
obligation to ensure that a measure is based on a risk assessment. The
Secretariat acknowledged that in some cases, the exporter may initially
undertake a risk assessment given its commercial interest in getting the
product to the other market, however, the legal obligation remained with the
importer to base its measure on a risk assessment.
4.9.6 Involvement of private sector in risk assessments
4.94. The appropriateness of the involvement of the private sector in risk
assessments, especially in the case where they may or may not benefit, was also
discussed. In this regard, the experience of Papua New Guinea was highlighted
in relation to the involvement of the private sector in the user pay policy.
However, it was highlighted that difficulties were sometimes encountered as the
private entities that funded the undertaking of risk assessment were not always
the only entities benefitting once market access was granted.
4.9.7 Addressing risks in imported vs. domestic food
4.95. The issue of how to increase coordination between those involved in
assessing the risk of products destined for export markets and the risk in
relation to imports was discussed. It was highlighted that import and export
risk analyses are fundamentally different, as in the case of import analysis,
the judgement is made by the importing country, while for export analysis, the
information is provided to the trading partner for them to make the judgement.
Other speakers indicated that imported food was treated the same as food
intended for export, and as such the same risk assessment and risk analysis was
undertaken for both. Another speaker also highlighted that the obligation not
to discriminate between food products, whether intended for exports or for
domestic use, was explicitly laid down in national general food law.
4.9.8 Other issues
4.96. In order to ensure the proper implementation of Article 7 and Annex
B, a recommendation was made that all Members share information on their
legislation via the WTO website, in order to check compliance with the SPS
Agreement and reduce the number of dispute cases. The Secretariat reminded
Members of their obligation to notify their SPS measures in advance as a draft
or where necessary, as emergency measures. The Secretariat further clarified
that the Committee was not mandated to pass judgement on whether national
measures comply or not with the SPS Agreement, highlighting that the Committee
provided an avenue for discussions and not for a judgement.
4.97. In summarizing the presentations from the workshop, the Secretariat
highlighted the need to ensure that another 14 years did not pass before the
next workshop, especially given the rapid evolution in the risk analysis area.
The Secretariat also indicated that it was clear that risk analysis was not as
unfamiliar to Members, as compared with the situation in 2000, but that several
challenges still persisted related to resource constraints, where to find the
data, how to deal with communication and how to address the many demands.
4.98. In closing, the United States, who submitted the initial proposal
for the workshop, as well as South Africa, who submitted a related proposal for
consideration, expressed their satisfaction with the outcome of the workshop.
__________
[1] This document has been prepared under the Secretariat's own
responsibility and is without prejudice to the positions of Members or to their
rights or obligations under the WTO.
[9] See
previous footnote.
[10] In particular, the text of Article
2.2 of the SPS Agreement indicates that "Members shall ensure that any
sanitary or phytosanitary measure is applied only to the extent necessary to
protect human, animal or plant life or health, is based on scientific
principles and is not maintained without sufficient scientific evidence, except
as provided for in paragraph 7 of Article 5."
[16] Standard 3.2.1: Food Safety
programs, Standard 3.2.2: Food Safety Practices and General Requirements, and
Standard 3.2.3: Food Premises and Equipment.
[18] The OIE was not able to be present at the workshop.
[20] Criteria for the consideration of "other factors" (2001)
and Working principles for risk analysis for application in the framework of
the Codex Alimentarius (2003).
[31] Ibid. Specific quote referenced from page 41 of the
document.
[33] The Belize Agriculture Health
Authority is the national plant protection organization (NPPO).
[43] Fiji, Samoa, Solomon Islands, Tonga and Vanuatu.