twenty-first aNNUAL REVIEW OF THE IMPLEMENTATION AND
OPERATION OF THE TBT AGREEMENT
Note
by the Secretariat[1]
The WTO Committee on Technical Barriers to
Trade (the Committee) will conduct its Twenty-First Annual Review of the
Implementation and Operation of the WTO Agreement on Technical Barriers to
Trade (the TBT Agreement) under Article 15.3 at its next meeting on 9-10
March 2016. This document contains information on developments in the Committee
relating to the implementation and operation of the TBT Agreement from
1 January to 31 December 2015.
_______________
TABLE OF CONTENTS
1 Executive Summary. 3
2 Meetings of the Committee. 3
3 Review of TBT Measures. 4
3.1
Notifications of technical regulations and conformity assessment procedures. 4
3.1.1
Trends in new notifications and follow-up (addenda, corrigenda, revision) 4
3.1.2
Members' engagement in notifications. 5
3.1.3
Notifications by region and development status. 7
3.1.4
Comment period provided in notifications. 10
3.1.5
Online submission of notifications (TBT NSS) 11
3.1.6
Stated objectives of notifications. 11
3.1.7
Other TBT Notifications. 13
3.2
Specific Trade Concerns (STCs) 13
3.2.1
Trends in STCs. 13
3.2.2
Members' engagement in STCs. 15
3.2.3
Members subject to STCs. 16
3.2.4
STCs by region and development status. 17
3.2.5
Types of concerns raised in STCs. 19
3.2.6
Stated objectives of measures subject to STCs. 19
3.2.7
Frequency – the number of times a given STC is raised in the Committee. 20
3.2.8
Relationship between notifications and STCs. 21
4 Disputes Involving Provisions of the TBT
Agreement. 22
5 Technical assistance. 22
ANNEXES. 24
A.
Notifications by Member, 1995-2015. 24
B.
Summary of STCs Raised in 2015. 29
C.
Overview of new STCs raised in 2015. 36
In 2015, the Committee completed its Seventh
Triennial Review. The Report (G/TBT/37) includes a set of recommendations
covering, among other things: good regulatory practices, regulatory cooperation
between Members, conformity assessment procedures, standards and transparency. The
reports also sets out a work programme of thematic sessions aimed at
strengthening information exchange in the various cross-cutting areas covered
by the TBT Agreement. In terms of the Committee's review of measures, during
the year, notifications decreased by 12% compared to the previous year (to a
total of 1,989 notifications). Nevertheless, the trend since 2015 has been an
upward one driven increasingly by developing Members. In 2015, developing
Members continued to submit significantly more new notifications than developed
Members - also the number of notifications from LDCs increased during the year.
In total, 86 specific trade concerns (STCs) were discussed in 2015, the second
highest number since 1995. A much lower proportion of these, however, were
notified to the Committee: only 49% of the STCs discussed had been notified (well
below the long-run average of 68%). On technical assistance (TA), the Secretariat
delivered 18 TA events specifically targeted to the TBT Agreement and an
additional 19 TBT modules were delivered as part of various other WTO TA
activities. Finally, ad hoc observer status was granted to the African
Organization for Standardisation (ARSO) and the Intergovernmental Authority on
Development (IGAD).
2.1. Ms. Alana Maria Lanza Suazo (Honduras) was elected[2] by the Committee as its
Chairperson for 2015.
2.2. Three regular Committee meetings were held during the year (18-19
March, 17-18 June
and 4-6 November 2015).[3] Back-to-back with the
regular meetings, the Committee held thematic sessions on the preparation of
the Seventh Triennial Review, on 17 March[4], 16 June[5] and 3 November 2015.
2.3. On 18-19 March 2015, the Committee adopted its report of the Twentieth
Annual Review of the Implementation and Operation of the TBT Agreement under
Article 15.3.[6] At the same meeting, the
Committee took note of document
G/TBT/CS/2/Rev.21 containing a list of those standardizing bodies that have
accepted the Code of Good Practice for the Preparation,
Adoption and Application of Standards since 1
January 1995.
2.4. The Committee adopted the Report of its Seventh Triennial Review on
the Operation and Implementation of the TBT Agreement (hereafter "Seventh
Triennial Review") on 6 November 2015,[7] in accordance with the
mandate under Article 15.4 of the TBT Agreement. At the same meeting, the
Committee granted ad hoc observer status to the African Organization for
Standardisation (ARSO) and the Intergovernmental Authority on Development
(IGAD).[8]
2.5. Representatives of the BIPM, Codex, GSO, IEC, ISO, ITC, OECD, OIML, UNECE
and WHO updated the Committee on activities relevant to the work of the TBT
Committee, including on technical assistance.
3.1 Notifications of
technical regulations and conformity assessment procedures
3.1. In 2015, Members submitted 1,442 new notifications (including 24
revisions) of technical regulations and conformity assessment procedures. 476
addenda and 47 corrigenda to notifications were also submitted (Chart 1).[10]
In total, 1,989 TBT notifications were submitted in 2015 by 73 Members. While
2014 marked the year with most notifications in a single year since the entry
into force of the Agreement on 1 January 1995, the number of notifications
decreased by 12% in 2015. Nevertheless, 2015 was still the year with the fourth
most notifications overall since 1995. Since 2007, Members have submitted more
than 1,000 new notifications annually with that figure increasing to 1,500
since 2012. Since the entry into force of the Agreement and up to 31 December
2015, 20,318 new notifications, 4,901 addenda and corrigenda, and 172 revisions
have been submitted by 128 Members. The number of notifying Members increased
by 2 in 2015 as Suriname and Yemen notified for the first time.
Chart
1: Total TBT
notifications, 1995-2015
3.2. Over the last decade there has been a marked growth in the use of
addenda and corrigenda, with a record 675 notified in 2014 (Chart 1). In 2015,
this number decreased to 523 notified addenda and corrigenda. The US (1,200),
Brazil (533), Ecuador (529), Colombia (323) and the EU (307) have notified the
most addenda and corrigenda since 1995.
3.3. The overall relation between new notifications, addenda and
corrigenda, and revisions is illustrated in Chart 2. The Committee adopted a
recommendation on "Coherent Use of Notification Formats" in 2014
which provides Members with guidance on when to use different formats.[11]
It is recommended that Members use: new notifications "to notify the draft
text of a proposed technical regulation or conformity assessment procedure";
addenda "to notify additional information related to a notification or the
text of a notified measure"; corrigenda "to correct minor
administrative or clerical errors (which do not entail any changes to the
meaning of the content)"; and revisions "to indicate that the
notified measure has been substantially re-drafted prior to adoption or entry
into force."[12]
3.4. While the number of revisions has also grown, this format is used
infrequently (Chart 1 and Chart 2).
China (30), Brazil (21), Canada (16), South Africa (14) the Dominican Republic
(10) and Korea (9) have notified most revisions since 1995.
Chart
2: Share of
notifications, by type, 1995-2015
3.5. The ten Members that submitted the most TBT notifications in 2015 are
shown in Chart 3.
Chart
3: Most active
notifying Members, 2015
3.6. 2014 showed a new trend indicating more notifications from Members that
had been historically less active. This partly continued in 2015 as observed
over the period 1995-2014 (Chart
4). In
2015, for example, the US again led by numbers of new notifications (283)
followed by Ecuador (126) (Member which notified most in 2014) and Brazil (119).
China was more active in 2015 than in 2014, submitting 111 notifications
compared to 49 in 2014. Uganda submitted 100 notifications in 2015.
3.7. Three consecutive years of significant notification activity has placed
Ecuador (126 in 2015; 420 in 2014; 103 in 2013) among the ten Members that have
notified most measures over the period of 1995-2015 (Chart 4).
Korea has dropped out of the "top ten" category following Japan with
a total number of 765 notifications in 2015.
Chart
4: Most active notifying
Members (new notifications, revisions, and modifications), 1995-2014, and 2015
3.8. Focusing on the four Members with
most notifications over the last ten years since 2006, Chart 5 highlights the trends in notification
activity of these Members. There was a significant growth in notifications of
all types from the US (190%) between 2006-2015. Meanwhile, there was a gradual
growth in notifications from the EU (130%), Brazil (123%), and China (60%),
notwithstanding a spike in notifications from China in 2008-2009.
Chart
5: Notifications
submitted by US, Brazil, China and EU, all types, 2006-2015
3.9. As mentioned
above, the overal usage of notification formats differs between Members. The
number of noftification submitted between 2006-2015 (Chart
6) indicates the different notification preferences of
Members. For instance, while the US submitted most addenda and corrigenda
(1056), China submitted most new notifications (1001). Yet, the addenda or
corrigenda format has been used little by China with a total of 29 notifications
over the last decade.
Chart
6: Type of
notifications by Member (four most active Members), 2006-2015
3.10. The growth in notifications since 2005 has been driven by increasing
engagement of developing Members. This trend continued in 2015 as developing
Members submitted significantly more new notifications in 2015 than developed
Members (Chart 7).
Yet, the share of new notifications from developing Members declined to 69% of
the total compared to 80% in the previous year (Chart 8).
Least-developed country Members (LDCs) continued to notify less frequently, but
in 2015 notifications from this group slightly increased due to Uganda's high
level of notification activity.[13]
Chart
7: New notifications by development status, 1995-2015
Chart
8: New notifications,
by development status, 2015
3.11. The number of new notifications submitted by Members grouped by
region is presented in Chart 9 and Chart 10. More
than half the new notifications in 2015 were submitted by Members from Middle
East and Asian regions (Chart 9). Compared
to the previous year, Members in the South and Central America and Caribbean
region decreased their level of new notifications in 2015 (Chart 9) due,
in particular, to fewer notifications from Ecuador. Growth in the number of new
notifications submitted by Members in the Middle East region is one driver of
the overall increase in new notifications since 2009 (Chart
10). While
the share of notifications of the Middle East region has again decreased since
its peak in 2013 (489), Chart 9 and 10 also indicate the increasing engagement
of Asia, catching up with the Middle East region, both holding a share of 26%
in 2015.
Chart
9: Distribution of
new notifications by region, 2015
Chart
10: Number of new
notifications by selected region, 2006-2015
3.12. The Committee has recommended that the normal time-limit for
presentation of comments on notified technical regulations and conformity
assessment procedures should be 60 days, and that any Member able to
provide more than 60 days (such as 90 days) is encouraged to do so.[14]
In 2015, Members on average provided 59.6 days for comments in the 1,329 cases
where notifications specified a comment period (Chart
11). In
total, 113 notifications did not specify a comment period, stated it as
non-applicable, or had a comment period which had lapsed.
Chart 11: Average number of days
allowed for comments, 1995-2015[15]
3.13. In 2015, a total of 1,214 notifications were submitted through the online
TBT NSS by 27 Members representing 35% of the annual notification volume (Chart
12). Online submission has facilitated the submission and processing of
notifications, leading to more rapid circulation and increasing the time
available to Members to submit comments on notifications of interest. The
Secretariat continued to prioritize processing of notifications received
through the TBT NSS during 2015.[16]
Chart 12: Members submitting
notifications through TBT NSS, 2015
|
Member
|
Total TBT notifications submitted through TBT
NSS
|
|
United States
|
280
|
|
Brazil
|
111
|
|
Uganda
|
100
|
|
European Union
|
78
|
|
China
|
78
|
|
South Africa
|
72
|
|
Korea
|
71
|
|
Canada
|
49
|
|
Japan
|
37
|
|
Czech Republic
|
33
|
|
Chinese Taipei
|
32
|
|
South Africa
|
27
|
|
United Arab Emirates
|
25
|
|
Indonesia
|
17
|
|
Israel
|
15
|
|
Thailand
|
15
|
|
Turkey
|
13
|
|
Kenya
|
12
|
|
Malaysia
|
12
|
|
Ukraine
|
10
|
|
Switzerland
|
7
|
|
United Kingdom
|
4
|
|
Sweden
|
2
|
|
India
|
2
|
|
Zambia
|
2
|
|
Bolivia
|
1
|
|
Denmark
|
1
|
|
Total
|
1,214
|
3.14. Chart 13 shows that amongst the 1,442
new notifications received in 2015, the objective of protection of human health
or safety was predominately cited by Members, followed by: prevention of
deceptive practices and consumer protection; quality requirements; and protection
of the environment. The increasing prominence of the objective of quality
requirements is no longer consistent with the overall trend since 1995 (Chart 14) that places the
protection of the environment as third most common objective. The section
"other" summarizes a range of objectives including cost saving and
increasing productivity, national security and not specified as these
objectives have all together been mentioned only four times.
Chart 13: Notifications by objective, 2015[17]
Chart 14: Notifications by objective, 1995-201519
3.15. In 2015, five agreements were notified under Article 10.7, each
between the US and another Member. The other Members were Switzerland, Japan,
Canada, Korea and the EU. Since the entry into force of the TBT Agreement,
Members have submitted 144 notifications under Article 10.7 along with 6
corrigenda.
3.1.7.2 Notifications under Article 15.2
3.16. In 2015, eight notifications were made under Article 15.2 of the TBT
Agreement with respect to measures in existence or taken to ensure the
implementation and administration of the TBT Agreement. The Seychelles and Senegal
notified for the first time under Article 15.2, while Ukraine, Colombia, Sri
Lanka, Trinidad and Tobago, Rwanda and Kenya submitted revised statements.[18]
3.1.7.3 Notifications under the Code of Good Practice for the preparation,
adoption and application of standards ("Code of Good Practice")
3.17. In 2015, Myanmar notified acceptance of the Code of Good Practice,
and no standardizing body withdrew. Since the entry into force of the Agreement
and through December 2015, 165 standardizing bodies from 126 Members have
notified acceptance of the Code of Good Practice.[19] Document
G/TBT/CS/2/Rev.21 contains a list, by Member, of standardizing bodies that have
accepted the Code of Good Practice since 1 January 1995 through
December 2015.[20]
3.18. Since its first meeting, Members have used the TBT Committee as a
forum to discuss trade issues related to technical regulations, conformity assessment
procedures and standards, prepared, adopted and applied by other Members. These
discussions are referred to as "specific trade concerns" (STCs) and
relate either to proposed measures, or to measures currently in force. TBT
Committee meetings afford Members the opportunity to review STCs in a
multilateral setting, to seek further information and clarification on the
measures in question, and to work towards mutually acceptable solutions.
3.19. In 2015, 37 new STCs were raised, which is ten less than in the
previous year (Chart
15).[21]
In addition, 49 previously raised STCs were discussed during the year, the
second highest number in any given year since 1995. (Annex B contains a full list;
Annex C provides details on new STCs raised in 2015). Overall, 86 STCs were
discussed in 2015, second only to 2012.
Chart
15: STCs raised, 1995-2015
3.20. Chart
16
illustrates, in a different way, the number of STCs discussed at each
Committee meeting over the past ten years. The figures in Chart 16 are
greater than those in Chart 15,
since the latter only counts a "previously raised" STC once even though it may have been raised at all three
regular meetings of any given year.[22] Chart
16 shows that the total number of STCs discussed annually has grown significantly
between 2006 and 2015 (from 63 to 161). This upward trend has meant that the
Committee has used an increased amount of meeting time discussing STCs (only around
21 STCs were discussed per meeting in 2006 while that figure was 54 in 2015). Overall,
2015 marks the year when the most STCs (both new and previously raised) have
been discussed since 1995.
Chart
16: STCs discussed per
committee meeting, 2006-2015
3.21. The Members that most frequently raised STCs in 2015 were the US, Canada
and the EU, following the general trend since 1995 (Chart 17 and Chart 18). In Chart
17, the number of previous concerns indicates the overall number of times a
Member has re-raised concerns (consistent with the approach of Chart 16). Thus,
a concern can be re-raised three times per year, in the March, June and/or
November meetings. In 2015, the EU and the US both raised most new and previous
concerns with 82 each.
Some Members were more active in raising previous concerns, for instance,
Mexico reverted to 33 previously raised STCs but raised only 1 new STC.
Chart
17: Members most
frequently raising STCs, 2015[23]
Chart
18: Members most
frequently raising new STCs, 1995-2015[24]
3.22. Between the years 1995-2015, measures of the EU, China and the US
have been most frequently subject to concerns raised by other Members. In 2015,
China and the EU were subject to the highest number of STCs. This marks a
change compared to the previous year in which Ecuador (11) and Russia (6) were
subject to a significant number of STCs (Chart 19 and Chart 20). 2015 therefore picks up the trend of previous years.
Chart
19: Members most
frequently subject to STCs, 2015[25]
Chart
20: Members most frequently
subject to new STCs, 1995-2015[26]
3.23. Members that have raised or been subject to STCs in the TBT
Committee grouped by region and development status are presented in Chart 21 to Chart 24.
Members from the Asia and the North American regions raise most STCs, whereas Members
from South and Central America and the Caribbean region as well as Europe have
been most often subject to STCs (Chart 21 and Chart 22). In
2015, Members in Asia were subject to 17 STCs, the most of any regional group (Chart 21).
Members from Africa, Commonwealth of Independent States (CIS) and Middle East
regions are less frequently subject to and active in raising STCs. Historically,
North America, Europe and Asia have been most active in raising STCs, while
Asia is most often subject to STCs.
Chart
21: Subject to STCs by
region, 2015[27]
Chart
22: STCs raised by
region, 2015
3.24. Since 1995, developed Members
have raised the majority of STCs. This is also valid for 2015 (Chart 23). Since 1995, as well as in 2015,
developing Members were more frequently subject to STCs (Chart 24). No measures of LDC Members
have been subject to STCs (Chart 24).
Chart
23: STCs raised, by development status, 1995-2015[28]
Chart
24: Subject to STCs,
by development status, 1995–2015
3.25. In 2015 the most frequently invoked concerns by Members in their
statements in the Committee were those relating to transparency, slightly
different from the long term trend (Chart
25).
Issues relating to further information or clarification about the measure at
issue and to the avoidance of unnecessary barriers to trade were also frequent,
as were concerns about the rationale for measures, the use of relevant
international standards as well as issues of discrimination.
Chart
25: Types of concerns
raised, 1995-2014, and 2015[29]
3.26. Information about the stated objective of measures subject to STCs
may be derived from the notification itself, or through the discussion of the
particular measure in the Committee. Since 1995, the most commonly stated
objectives of measures raised as STCs relate to the protection of human health
and safety. This was also valid for 2015 (see Chart 26).
Protection of the environment, an objective cited in many measures raising
concern since 1995, was cited less frequently in 2015 whereas the categories
prevention of deceptive practices and consumer information, labelling were
stated more frequently. The category 'other' (in Chart 26)
covers a wide range of stated objectives including trade facilitation,
enhancing the effectiveness of conformity assessment, or avoiding entry of
illegal products. For some STCs, the objective is not readily apparent from
discussions and there is no notification; these stated objectives have been
classified as "not specified".
Chart
26: Stated objectives
for the measures raised as STCs, 1995-2014, and 2015[30]
3.27. Most STCs (60%) have been raised at one or two Committee meetings.
Some (26%) have been raised between three and five times in Committee meetings,
while a small number (14%) have been raised at 6 or more meetings (Chart
27), and
have been the agenda of the Committee for several years.
Chart
27: Frequency of STCs
(number of meetings raised), 1995-2015
3.28. Chart 28
illustrates the relationship between the number of new notifications and new
STCs raised each year. In 2015, far more STCs than usual were raised for
measures that were not notified as only 49% of STCs discussed relate to
notified measures. This is far below the overall share since 1995 of 68% (Chart 29).
Chart
28: Trends in
notifications and STCs
Chart
29: New STCs discussed
related to notified measures
3.29. Of those STCs that relate to notified measures, measures notified as
technical regulations (Article 2.9.2) have been most frequently discussed (Chart
30).
Chart
30: Measures raised in
STCs, 1995-2015 by frequency[31]
4.1. Since 1995, 51 disputes have cited the TBT Agreement in their
respective requests for consultations, the first formal step to initiate a WTO
case. In 2015, one such consultation request was lodged concerning Russian
Federation measures affecting the importation of certain railway equipment.[32]
Other developments during the year included:
·
the circulation
of two Appellate Body reports reviewing two compliance panel rulings with
respect to the following TBT disputes: US country of origin labelling
regulations for meats (the "COOL dispute");[33]
and, US measures on canned tuna labelling;[34]
·
The DSB's
authorization that Mexico and Canada could, in the context of the
COOL dispute, suspend the application to the US of tariff concessions
("retaliate") in the goods sector in annual amounts of, respectfully,
USD 227,758 million and CAD 1,054,729 million, in
conformity with the Arbitrator's Decisions that were also circulated in 2015;[35]
and
·
The establishment
by the DSB of a Panel concerning certain Indonesian measures affecting exports
of chicken meat and products.[36]
5.1. Similar to 2014, in 2015 the Secretariat continued to significantly
increase its TBT-related technical assistance ("TA") activities. This
is consistent with the fact that demand for TA in the TBT area has grown substantially
over the last few years. During 2015, the WTO Secretariat organized, or
otherwise participated in, a total of 37 TBT-related
TA activities in various formats. Compared to 2014 and 2013, there was a
notable increase in the demand for, and delivery of, national TBT activities.[37]
Demand to joint TBT-SPS workshops has also significantly increased in 2015.[38]
5.2. 18 of all TA
activities carried out in 2015 were national, regional and Geneva‑based
workshops that were organized specifically on the TBT Agreement and hosted by
various developing country members or observers.[39]
These included, in particular, 2 regional workshops[40],
13 national workshops[41]
as well as one Geneva-based advanced course (see next paragraph 4.3). The
programmes were designed to assist participating economies to consolidate
knowledge of the principles and disciplines of the TBT Agreement, discuss
implementation‑related challenges and better engage in the work of the TBT
Committee. Particular emphasis was put on transparency and national
coordination. Around half of these national and regional TBT‑specific activities
also covered the SPS Agreement and were organized in cooperation with the
Secretariat experts responsible for that area. In total, participants from 61
WTO members or observers (including 32 LDCs), covering all regions of the
world, benefited from TBT-specific technical assistance activities in 2015.[42]
5.3. The Advanced Course on the TBT Agreement, organized jointly by the
Trade and Environment Division and the Institute for Training and Technical
Cooperation (ITTC), took place in Geneva from 9 to 20 March 2015. A total
of 24 funded participants, involved at a technical or policy level with the
implementation of the TBT Agreement, attended the course. In addition to
covering the provisions of the TBT Agreement (and related Agreements) and the
functions/procedures of the TBT Committee in a comprehensive manner, this
interactive course allowed participants to share national experiences on
implementation issues. In particular, each participant, with the guidance
of coaches, prepared an action plan to address a specific TBT-related
implementation challenge they had identified in their country. The goal of the
course was to encourage individuals to take a leadership role in making a
difference despite various institutional and/or resource constraints they may
face at the national level. Participants had to report back periodically
on the implementation of their action plans. For those who fulfilled this
requirement, a follow up course will take place in Geneva in March 2016.
5.4. Additionally, during the course of 2015, a total of 19 TBT modules were delivered as part of the
programme of various broader WTO TA activities, mostly in the context of
Geneva-based and regional Trade Policy Courses. In total, participants from 114
WTO Members or observers benefited from these activities in 2015 (including 28
from LDCs), covering all regions of the world.
5.5. Finally, in 2015, three distance learning courses specifically on
the TBT Agreement were held. A total of 201 participants successfully completed
these courses (124 participants in English, 45 participants in French, and 32
participants in Spanish).[43]
_______________