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1、WTO规则中英文教程第十四章 WTO关于卫生与植物检疫措施适用规则一、一、WTO关于卫生与植物检疫措施适用规则关于卫生与植物检疫措施适用规则在国际贸易中，一些在国际贸易中，一些WTOWTO成员借口保护人成员借口保护人类、动物或植物的生命或健康、保护生态平衡，类、动物或植物的生命或健康、保护生态平衡，设置了一些不合理的检疫措施和标准，严重地设置了一些不合理的检疫措施和标准，严重地影响了国际贸易的正常发展。为此影响了国际贸易的正常发展。为此WTOWTO制定了制定了关于卫生与植物检疫措施的适用规则。这些规关于卫生与植物检疫措施的适用规则。这些规则体现于则体现于WTO实施卫生与植物检疫措施协实施卫生与

2、植物检疫措施协定定(AgreementontheApplicationofSanitaryandPhytosanitaryMeasures,SPSAgreement）中。中。1Thereare14articlesand3annexesinSPSAgreement.一、SPS的宗旨How do you ensure that your countrys consumers are being supplied with food that is safe to eat “safe”by the standards you consider appropriate?And at the same

3、time,how can you ensure that strict health and safety regulations are not being used as an excuse for protecting domestic producers?An agreement on how governments can apply food safety and animal and plant health measures(sanitary and phytosanitary or SPS measures)sets out the basic rules in the WT

4、O.(To be continued)It allows countries to set their own standards.But it also says regulations must be based on science.They should be applied only to the extent necessary to protect human,animal or plant life or health.And they should not arbitrarily or unjustifiably discriminate between countries

5、where identical or similar conditions prevail.二、基本目标The basic aim of the SPS Agreement is to maintain the sovereign right of any government to provide the level of health protection it deems appropriate,but to ensure that these sovereign rights are not misused for protectionist purposes and do not r

6、esult in unnecessary barriers to international trade.汉译卫生与植物检疫措施包括所有相关法律、卫生与植物检疫措施包括所有相关法律、法令、法规、要求和程序，特别是最终法令、法规、要求和程序，特别是最终产品标准；工序和生产方法；检验、检产品标准；工序和生产方法；检验、检查、认证和批准程序；检疫处理，包括查、认证和批准程序；检疫处理，包括与动物或植物运输有关的或与在运输过与动物或植物运输有关的或与在运输过程中为维持动植物生存所需物质有关的程中为维持动植物生存所需物质有关的要求；有关统计方法、抽样程序和风险要求；有关统计方法、抽样程序和风险评估方法的

7、规定及与粮食安全直接有关评估方法的规定及与粮食安全直接有关的包装和标签要求。的包装和标签要求。五、五、SPS的主要特点（的主要特点（Key Features）All countries maintain measures to ensure that food is safe for consumers,and to prevent the spread of pests or diseases among animals and plants.These sanitary and phytosanitary measures can take many forms,such as requi

8、ring products to come from a disease-free area,inspection of products,specific treatment or processing of products,setting of allowable maximum levels of pesticide residues or permitted use of only certain additives in food.Sanitary(human and animal health)and phytosanitary(plant health)measures app

9、ly to domestically produced food or local animal and plant diseases,as well as to products coming from other countries.(To the continued)International standards are often higher than the national requirements of many countries,including developed countries,but the SPS Agreement explicitly permits go

10、vernments to choose not to use the international standards.However,if the national requirement results in a greater restriction of trade,a country may be asked to provide scientific justification,demonstrating that the relevant international standard would not result in the level of health protectio

11、n the country considered appropriate.六、六、WTO成员的基本权利和义务（成员的基本权利和义务（SPSArt.2)1.Members have the right to take sanitary and phytosanitary measures necessary for the protection of human,animal or plant life or health,provided that such measures are not inconsistent with the provisions of this Agreement.

12、1、WTO各成员有权采取为保护人、动物或植物的生命或健康所必需的卫生与植物检疫措施，只要此类措施与本协定的规定不相抵触。2.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 in normal case,is not maintained without suffici

13、ent scientific evidence.2、WTO各成员应保证任何卫生与植物检疫措施仅在为保护人、动物或植物生命或健康所必需的限度内实施，这些措施应以科学原理为基础，如无充分的科学证据则一般不再维持适用。3.Members shall ensure that their sanitary and phytosanitary measures do not arbitrarily or unjustifiably discriminate between Members where identical or similar conditions prevail,including bet

14、ween their own territory and that of other Members.Sanitary and phytosanitary measures shall not be applied in a manner which would constitute a disguised restriction on international trade.3、WTO各成员应保证其卫生与植物检疫措施不在情形相同或相似的成员之间，包括在其自身和其他成员之间构成任意或不合理的歧视，卫生与植物检疫措施在实施中不得构成对国际贸易的变相限制。4.Sanitary or phytosa

15、nitary measures which conform to the relevant provisions of this Agreement shall be presumed to be in accordance with the obligations of the Members under the corresponding provisions of GATT 1994.4、应当认为符合SPS协定有关规定的卫生或植物检疫措施与GATT 1994下的相关规定是一致的。七、七、卫生与植物检疫措施适用的主要规则卫生与植物检疫措施适用的主要规则(一一)协调规则协调规则(Harmon

16、ization Rule)Article3ofSPSAgreementspellsoutthat,toharmonizesanitaryandphytosanitarymeasures on as wide a basis as possible,Membersshallbasetheirsanitaryorphytosanitarymeasuresoninternationalstandards,guidelines or recommendations,wheretheyexist.SPS协定协定第第3条规定，为在尽可能广泛的条规定，为在尽可能广泛的基础上协调卫生与植物检疫措施，基础上协调

17、卫生与植物检疫措施，WTO各成各成员的卫生与植物检疫措施应根据现有的国际标员的卫生与植物检疫措施应根据现有的国际标准、指南或建议来制定。准、指南或建议来制定。(二二)对等规则对等规则(Equivalence Rule)1Members shall accept the sanitary or phytosanitary measures of other Members as equivalent,even if these measures differ from their own or from those used by other Members trading in the sam

18、e product,if the exporting Member objectively demonstrates to the importing Member that its measures achieve the importing Members appropriate level of sanitary or phytosanitary protection.如出口成员客观地向进口成员证明其卫生与植物检疫措施达到进口成员卫生与植物卫生保护的合适水平，则各成员应将其他成员的措施作为等效措施予以接受，即使这些措施不同于进口成员自己使用的措施或其他成员在同一产品贸易中使用的措施。1

19、See Article 4 of SPS Agreement.Alternative measuresAn acceptable level of risk can often be achieved in alternative ways.Among the alternatives and on the assumption that they are technically and economically feasible and provide the same level of food safety or animal and plant health governments s

20、hould select those which are not more trade restrictive than required to meet their health objective.Furthermore,if another country can show that the measures it applies provide the same level of health protection,these should be accepted as equivalent.This helps ensure that protection is maintained

21、 while providing the greatest quantity and variety of safe foodstuffs for consumers,the best availability of safe inputs for producers,and healthy economic competition.(一一)风险评估风险评估(Assessment of Risk)WTOSPS协定第5.1条要求WTO成员的卫生与植物检疫措施的适用应基于风险评估。Risk Assessment The SPS Agreement increases the transparenc

22、y of sanitary and phytosanitary measures.Countries must establish SPS measures on the basis of an appropriate assessment of the actual risks involved,and,if requested,make known what factors they took into consideration,the assessment procedures they used and the level of risk they determined to be

23、acceptable.Although many governments already use risk assessment in their management of food safety and animal and plant health,the SPS Agreement encourages the wider use of systematic risk assessment among all WTO member governments and for all relevant products.1、何谓“风险评估”？Risk assessment is referr

24、ed to the evaluation of the likelihood of entry,establishment or spread of a pest or disease within the territory of an importing Member according to the sanitary or phytosanitary measures which might be applied,and of the associated potential biological and economic consequences;or the evaluation o

25、f the potential for adverse effects on human or animal health arising from the presence of additives,contaminants,toxins or disease-causing organisms in food,beverages or feedstuffs.汉译风险评估是根据可能适用的卫生与植物检疫措施评价虫害或病害传入进口成员境内、在进口成员境内定居或传播的可能性；或评价相关潜在的生物学上后果和经济后果；或评价食品、饮料或饲料中所含的添加剂、污染物、毒素或致病有机体对人类或动物的健康所产

26、生的潜在不利影响。2、风险评估的方法 Intheassessmentofrisks,accountshouldbetakenofavailablescientificevidence;relevantprocesses and production methods;relevantinspection,sampling and testing methods;prevalence of specific diseases or pests;existence of pest-free or disease-free areas;relevantecologicalandenvironmenta

27、lconditions;andquarantineorothertreatment.在进行风险评估时，应考虑可获得的科学证据、在进行风险评估时，应考虑可获得的科学证据、有关工序和生产方法、有关检查、抽样和检验有关工序和生产方法、有关检查、抽样和检验方法、特定病害或虫害的流行、病虫害非疫区方法、特定病害或虫害的流行、病虫害非疫区的存在、有关生态和环境条件以及检疫或其他的存在、有关生态和环境条件以及检疫或其他处理方法处理方法1。1 See Article 5.2 of SPS Agreement.TransparencyGovernments are required to notify othe

28、r countries of any new or changed sanitary and phytosanitary requirements which affect trade,and to set up offices(called Enquiry Points)to respond to requests for more information on new or existing measures.They also must open to scrutiny how they apply their food safety and animal and plant healt

29、h regulations.The systematic communication of information and exchange of experiences among the WTOs member governments provides a better basis for national standards.Such increased transparency also protects the interests of consumers,as well as of trading partners,from hidden protectionism through

30、 unnecessary technical requirements.National and International StandardsOne problem is that international standards are often so stringent that many countries have difficulties implementing them nationally.But the encouragement to use international standards does not mean that these constitute a flo

31、or on national standards,nor a ceiling.National standards do not violate the SPS Agreement simply because they differ from international norms.In fact,the SPS Agreement explicitly permits governments to impose more stringent requirements than the international standards.八、关于地区条件的适用规则八、关于地区条件的适用规则WTO

32、 requires that the sanitary or phytosanitary measures of its Members adapt to the sanitary or phytosanitary characteristics of the area-whether all of a country,part of a country,or all or parts of several countries-from which the product originated and to which the product is destined.In assessing

33、the sanitary or phytosanitary characteristics of a region,special account should be taken of the level of prevalence of specific diseases or pests,the existence of eradication or control programmes,and appropriate criteria or guidelines which may be developed by the relevant international organizati

34、ons.（汉译）WTO要要求求其其成成员员实实施施的的的的卫卫生生与与植植物物检检疫疫措措施施应应适适用用于于产产品品的的产产地地和和其其最最终终销销售售、使使用用或或消消费费地地的的卫卫生生与与植植物物检检疫疫特特点点。在在评评估估一一地地区区的的卫卫生生与与植植物物检检疫疫特特点点时时，要要特特别别考考虑虑特特定定病病害害或或虫虫害害的的流流行行程程度度、是是否否存存在在根根除除或或控控制制计计划划以以及及有有关关国国际际组组织织可可能能制制定定的的适适当当标标准准或或指指南。南。九、其他规则除上述规则之外，WTO还在SPS协定附件2中要求其成员通过及时公布所有的已实施的卫生与植物检疫法规

35、、设立咨询点(enquiry points)及尽早通知所实施的特定的条例等来增加国内卫生与植物卫生法规的透明度。One issue:Does the SPS Agreement require countries to give priority to trade over food safety,or animal and plant health?No,the SPS Agreement allows countries to give food safety,animal and plant health priority over trade,provided there is a d

36、emonstrable scientific basis for their food safety and health requirement.Each country has the right to determine what level of food safety and animal and plant health it considers appropriate,based on an assessment of the risks involved.The Differences between SPS or TBTThe two agreements have some

37、 common elements,including basic obligations for non-discrimination and similar requirements for the advance notification of proposed measures and the creation of information offices(Enquiry Points).However,many of the substantive rules are different.For example,both agreements encourage the use of

38、international standards.However,under the SPS Agreement the only justification for not using such standards for food safety and animal/plant health protection are scientific arguments resulting from an assessment of the potential health risks.In contrast,under the TBT Agreement governments may decide that international standards are not appropriate for other reasons,including fundamental technological problems or geographical factors.