WTO E-LEARNING
COPYRIGHT ©
Detailed Presentation of TBT Measures in
the WTO
OBJECTIVE

Conceptualize and give practical examples of the measures under the
TBT Agreement: Technical Regulations, Standards and Conformity
Assessment Procedures.
My Course series
12
I.
INTRODUCTION
While the main objective of the TBT Agreement is to ensure that technical regulations, standards and
conformity assessment procedures do not create unnecessary obstacles to international trade, no Member shall
be prevented from taking measures necessary to ensure, inter alia, the following:
 The quality of its exports.
 The protection of human, animal or plant life or health.
 The protection of the environment.
 The prevention of deceptive practices, at levels it considers appropriate.
 The protection of its essential security interest.
The TBT Agreement does not apply to sanitary and phytosanitary measures, purchasing specifications prepared
by governments (government procurement) and to regulations related to services.
You are aware that the TBT Agreement applies to measures in legal force, regardless of the date they were
enacted by the Member.
Finally, the three types of measures which fall within the scope of application of this Agreement are: technical
regulations, standards, and conformity assessment procedures.
It is time for us to explain these in more detail. We hope that with some practical examples you may fully
understand the definition and characteristics of each type of measure.
Let's get started!
2
II.
TECHNICAL REGULATIONS
IN DETAIL
A technical regulation is defined in TBT Annex 1, paragraph 1 as a:
Document which lays down product characteristics or their related processes and production methods,
including the applicable administrative provisions, with which compliance is mandatory.
It may also
include or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as
they apply to a product, process or production method.
Figure 1:
TBT Annex 1.1
Pursuant to Annex 1 paragraph 1, the following requirements may be included in a technical regulation:
 Terminology requirements.
 Symbol requirements.
 Packaging requirements.
 Marking requirements.
 Labelling requirements.
According to Article 2.8 of the TBT Agreement, technical regulations should preferably specify performance
requirements, rather than design or descriptive characteristics, whenever possible.
Obligations regarding
technical regulations in the TBT Agreement are found in two provisions on "Preparation, Adoption and
Application of Technical Regulations":
 one related to central governmental bodies (Article 2); and
 another on local government bodies and non-governmental bodies (Article 3).
In order to verify if a measure or document is a technical regulation, the Appellate Body laid down three
criteria while deciding on two TBT related cases, the EC - Asbestos (WT/DS135) and the EC - Sardines
(WT/DS231) cases:
1. The document must apply to an identifiable product or group of products.
2. The document must lay down one or more characteristics of the product.
3. Compliance with the product characteristics must be mandatory.
Let's learn more about the Asbestos cases.
3
CASE STUDY 1
EUROPEAN COMMUNITIES — ASBESTOS (WT/DS135)
Overview
 European Communities – Measures Affecting Asbestos and Products Containing Asbestos
 Complaint by Canada
 Third Parties: Brazil, Zimbabwe and the United States
To control the health risks associated with asbestos, the French Government, which had previously been an
importer of large quantities of chrysotile asbestos, imposed a ban on the substance as well as on products that
contained asbestos and asbestos fibres.
The European Union justified its prohibition on the grounds of human health protection, arguing that asbestos
was hazardous not only to the health of construction workers subject to prolonged exposure, but also to
population subject to occasional exposure. Being the second largest producer of asbestos world-wide, Canada
contested the prohibition in the WTO.
While it did not challenge the hazards associated with asbestos, it
argued that a distinction should be made between chrysotile fibres and chrysotile encapsulated in a cement
matrix. The latter, it argued, prevented release of fibres and did not endanger human health. It also argued
that the substances which France was using as substitutes for asbestos had not been sufficiently studied and
could themselves be harmful to human health.
What were their arguments?
Arguments from the Parties:
 Canada claimed that the Decree violated GATT Articles III:4 and XI, and Articles 2.1, 2.2, 2.4 and 2.8 of
the TBT Agreement, and also nullified or impaired benefits under GATT Article XXIII:1(b).
 The EU argued that the Decree was not covered by the TBT Agreement. With regard to GATT 1994, it
requested the panel to confirm that the Decree was either compatible with Article III:4 or necessary to
protect human health within the meaning of Article XX(b).
What did the Panel and the Appellate Body say?
The WTO Appellate Body upheld the panel's ruling in favour of the EU, while modifying its reasoning on a
number of issues.
For instance, it reversed the Panel's finding that it was not appropriate to take into
consideration the health risks associated with chrysotile asbestos fibres while examining the "likeness" of
products under GATT Article III:4.
The Appellate Body also argued that the EU measures was a technical
regulation and that the case should have been looked at under the TBT Agreement rather than under GATT
rules, but did not itself pursue the analysis under TBT since the Appellate Body only has a mandate to examine
issues of "law" while reviewing a case and cannot itself embark on new analyses. The right of France to ban
the import of asbestos and asbestos products was confirmed.
One of the most important issues analysed by the Appellate Body were the criteria for determining if the EU
measure was a technical regulation. The Panel had determined that the part of the EU Decree that banned the
import of asbestos and asbestos-containing products was not a technical regulation, and did not analyse the
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case under the TBT Agreement. The Appellate Body, on the other hand, claimed that the EU Decree should
have been examined as a whole, and with this in view, proposed the following criteria to identify if the measure
in question was a technical regulation:
 The document must apply to an identifiable product or group of products: It is important to note that a
product does not necessarily have to be mentioned explicitly in a document for that product to be an
identifiable product; identifiable does not mean expressly identified.
 The document must lay down one or more characteristics of the product: Annex 1, paragraph 1 gives
certain examples of "product characteristics" which may be prescribed or imposed in either a positive or
a negative form, and which include not only features and qualities intrinsic to the product itself but also
related "characteristics", such as the means of identification, the presentation and the appearance of a
product.
 Compliance with the product characteristics must be mandatory: A technical regulation must regulate
the "characteristics" of products in a binding or compulsory fashion.
products,
a
"technical
regulation"
has
the
effect
of
prescribing
It follows that, with respect to
or
imposing
one
or
more
"characteristics".
Since the EU Decree applied to an identifiable product – asbestos, laid down asbestos characteristics and was
mandatory, the Appellate Body determined it to be a technical regulation.
5
ILLUSTRATION
"Technical regulations"... The concept may seem quite abstract or even vague when we first hear about it,
right?
With some of the examples we have collected below, we hope that it will all become clearer.
FIRST EXAMPLE: ENERGY SAVING ELECTRONIC APPLIANCES
We all know that some of the natural resources we have on Earth, such as Petrol, will end someday. That is,
they are exhaustible.
Therefore, much has been invested in renewable sources of energy, such as solar
energy, and hydroelectric power. Governments, industries and consumers have been worried about finding
electric appliances which are more efficient, in terms of energy consumption.
The same has been done
regarding automotive vehicles. Such demands have presented themselves at different levels. For instance,
governments
may impose a standard for electrical appliances' maximum electricity consumption, e.g. a
washing machine. A WTO Member may issue a regulation with which compliance is mandatory for the industry
(either domestic producers and or imports destined to that
Member),
which
states
that
no
washing
machine
commercialised within the territory shall have a consumption
over XXX Kilowatts a year.
This is a typical technical regulation on a product's characterristics, based on performance.
In order to make sure that a certain product complies with
the regulation, the government may require a label to be
placed on the product.
Below is the label used by the
European Union Member States.
Although many countries may have similar requirements,
i.e., that electric appliances be energetically efficient, they
may have imposed different limits on energy consumption, if
compared to their trading partners.
They may even have
different methodologies for measuring how efficient an
appliance is, hence the importance of applying the principle
of equivalence to technical regulations. Members recognize
a technical regulation equivalent to their own, provided they
are satisfied that the regulation adequately fulfils the
objective of their own regulation, even if they differ from
each other.
The acceptance of conformity assessment
results is also an invaluable tool to facilitate trade and to
assure
conformance
standards.
with
technical
regulations
and
Both topics – Equivalence and Acceptance of
Conformity Assessment Results - are regulated under the
TBT Agreement.
Figure 2:
EU Energy Efficiency Label
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SECOND EXAMPLE: NUTRITION FACTS OF FOOD
Nutrition is an important matter in modern society. Nowadays, the food produced in one place is consumed in
another. Hence, there are many requirements to be fulfilled concerning food safety, consumer information,
human health, etc. Often, these requirements take form of packaging and labelling obligations, such as the
case for Nutrition Facts.
Although some WTO Members do not oblige domestic producers (or importers) to have nutrition facts on their
products, many of them do. However, just as in the example on Energy Labels, information on Nutrition Facts
may vary around the world, while several countries may adopt similar formats.
The
harmonisation
of
the
information
to
be
provided to the consumer is firstly useful for the
producer, who would then not require different
packages for different markets. It is useful for the
customs
authority,
who
can
assess
foreign
merchandise more easily. It is also useful for the
consumer, as to easily identify the nutrition
content of a product everywhere he or she goes,
or no matter where it comes from.
Furthermore, we could say that, although in most
cases the requirement to explicitly state the
nutrition facts (or energy consumption) is a
technical regulation, the labelling format is nonrarely a standard.
That is, even if a Member
requires the producer to place a label that fulfils
certain criteria, it may be the case that the format
of the label is not specified. Hence the producer is
allowed to use any the format he chooses, or one
of
the
privately
or
internationally
designed
formats.
Figure 3:
Nutrition Facts on the package
EXERCISES:
1.
What is the definition of a technical regulation?
2.
What are the three criteria for identifying a technical regulation?
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III.
STANDARDS
IN DETAIL
A standard is defined in Annex 1, paragraph 2 as a:
Document approved by a recognized body, that provides, for common and repeated use, rules, guidelines
or characteristics for products or related processes and production methods, with which compliance is not
mandatory.
It may also include or deal exclusively with terminology, symbols, packaging, marking or
labelling requirements as they apply to a product, process or production method.
Figure 4:
TBT Annex 1.2
The term "recognized body" is defined neither by the TBT Agreement nor by ISO/IEC Guide 2.
However,
Annex 1 (paragraphs 4 to 8) refers to the different types of bodies whose documents are either covered by, or
referred to, in the TBT Agreement:
International body or system;
regional body or system;
central
government body; local government body; and non-governmental body.
Remember that Annex 1 definition on standards refers to the definition contained in ISO/IEC Guide 2:1991, in
its Explanatory note. The definition and coverage of standards as provided in the TBT Agreement prevail over
those presented in the ISO/IEC Guide 2:1991, to the extent of their differences.
Note
The ISO/IEC Guide 2:1991 applies to services and incorporates mandatory and voluntary standards.
Furthermore, it defines standards as documents adopted by consensus.
The TBT Agreement excludes services from its application and defines standards exclusively as voluntary
requirements. The TBT Agreement covers also documents which are not based on consensus.
8
Pursuant to Annex 1, paragraph 2, the following requirements may be included in a standard:
 Terminology requirements
 Symbol requirements
 Packaging requirements
 Marking requirements
 Labelling requirements
Obligations on standards in the TBT Agreement are found in two provisions:
 Preparation, adoption and application of Standards (Article 4)
 Code of Good Practice for the Preparation, Adoption and Application of Standards (Annex 3)
Article 4 of the TBT Agreement establishes the "Code of Good Practice for the Preparation, Adoption and
Application of Standards". Its text is contained in Annex 3 (Code of Good Practice). Annex 3.B establishes
that the Code is open to acceptance by any standardizing body within the territory of a Member of the WTO,
whether a central government body, a local government body, a non-governmental body, any governmental or
non-governmental regional standardizing body to which a Member (or body within its territory) is a party to.
RECALL
The obligations of Members with regard to standards vary according to the level of body concerned:
 Central government standardizing bodies: Members shall ensure that they accept and comply with
the Code of Good Practice.
 Local government, non-governmental, and regional standardizing bodies: Members shall take such
reasonable measures as may be available to them to ensure that they accept and comply with the
Code.
 Regarding all standardizing bodies: Members shall not take measures which have the effect of,
directly or indirectly, requiring or encouraging them to act in a manner inconsistent with the Code.
Standards, as we said, are not mandatory. However, they are the vast majority of requirements to which a
producers and exporters are subject to.
That is why the acceptance of the Code of Good Practice by
standardizing bodies is so important to international trade. By adopting common practices, such bodies may
ensure that standards are non-discriminatory and not more trade restrictive than necessary vis-à-vis to fulfil a
legitimate interest.
Moreover, industries are not obliged to accept the Code of Good Practice, and in general are not seen as
non-governmental standardizing bodies, since their main activity is not to set standards, but actually to
produce a product that follows certain standards, even if created by them.
Despite the fact that the relationship between private standards and the TBT Agreement is not as yet clear, the
influence that industry standards have in international trade among nations cannot be neglected. That is why
we would like to give you an illustration of an industry standard, so that you may understand what it is. This
will be our fourth example, below.
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Several examples will demonstrate how standards are part of our every day life.
ILLUSTRATION
FIRST EXAMPLE: PLUG SOCKETS FOR ELECTRICAL APPLIANCES
Have you noticed that different countries have different standards for plug sockets? This means that if you
move with your Fridge around the five continents, you will probably end up having to buy an adaptor in every
different place, unless you find an universal adaptor!
Here are some examples on plug sockets that we can find around the globe:
Figures 5:
Plugs of the world
In fact, there is a "universal" plug and socket system designed by the International Electrotechnical
Commission, which is used in few countries, because developed countries, including European countries,
Australia and the USA, have a well-entrenched system of their own. This universal plug system may grown on
popularity with time, as a way of promoting harmonisation and facilitating trade flows.
SECOND EXAMPLE: MOBILE PHONE COMMUNICATION STANDARDS
GSM, CDMA, TDMA...
Have you heard these abbreviations before?
These are all abbreviations for mobile
phone communications systems.
These mobile communication standards have been developed in different parts of the globe, with the same
aim, that of providing mobile voice and data communication services. They use different systems for interface
communication and different frequency ranges.
While GSM systems were firstly used in Europe, the United States started off with the CDMA technology, while
most countries in Latin America had their first systems under TDMA.
Nowadays, most countries have GSM
systems in addition to the systems they had previously adopted, so as to facilitate international roaming for
services users. GSM technology is currently used by 200 million people.
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These technologies have been developed in most part by private parties, but have been actually harmonized
under
the
auspices
of
international
and
regional
standardizing
bodies,
such
as
the
International
Telecommunications Union and the European Telecommunications Standards Institute. Without the efforts of
these standardizing bodies it is quite likely that domestic technologies would have remained incompatible with
each other, to the detriment of global communications and the international movement of people.
Figure 6:
Map with Mobile Phone Communications use in the World (population ownership percentage)
Source: www.wikipedia.com
THIRD EXAMPLE: INTERNATIONAL PAPER SIZES
Standard paper sizes like A4 are widely used everywhere, nowadays. They allow people all over the world to
use the same printer, the same fax machines, the same photocopiers, because they make use of the same size
of paper sheet.
The A4 standard for paper sheets is a case of a highly successful use of
international
standards. It
was
proposed
by
the
International
Organization for Standardization (ISO) in 1975, on its standard ISO
216:1975 "Writing paper and certain classes of printed matter —
Trimmed sizes — A and B series".
Canada and the United States, however, have kept to the use of
another format of paper sheet for documents, the "Letter" format. For
legal documents, the "Legal" format (taller in height and narrower in
width) is predominately used in these two countries.
The "Letter" format prevails over A4 format as the common laser-printer paper format in North America. With
the continuing introduction of the metric system in the United States, it is likely that the A4 paper formats will
eventually replace non-standard paper formats.
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Elsewhere in the world, you can expect to find a paper that fits the A4 size. In addition to the A series ("large
paper"), ISO also has envisaged a B ("medium sized papers") and C ("small papers") series of standards.
FOURTH EXAMPLE: INDUSTRY STANDARDS FOR DVD PLAYERS
Just as it happened 20 years ago, when both VHS and BETAMAX standards for
video players were in the market, there are currently two different streams for
the new generation of DVD players arising: Blue-Ray Disc and HD DVD. While
Blue-Ray Disc has been widely supported, especially by Sony;
mainly
promoted
by
Toshiba. These
companies
have
not
HD DVD is
reached
an
agreement on the compatibility of both discs, which means that one format of
disc does not work if played on the competitor's equipment.
Standards are being developed by accredited associations of electronic equipments producers and are seen by
most as industry standards, based on the argument that setting standards is not the primary activity of such
entities. Others would disagree and would regarded such standards as non-governmental standards.
So far, these are voluntary requirements setting product characteristics, adopted by the industry. It is left to
consumers to choose the most convenient format for them. Thus, they are standards, but it is not yet clear if
they are standards regulated by the TBT Agreement, as neither WTO Members, nor case law at the WTO, has
clarified the issue.
EXERCISES:
3.
What is the definition of a standard, according to the TBT Agreement?
4.
What are the three criteria for identifying if a measure is a standard?
12
IV.
CONFORMITY ASSESSMENT PROCEDURES (CA
PROCEDURES)
A conformity assessment procedure is defined in TBT Annex 1, paragraph 3 as:
Any procedure used, directly or indirectly, to determine that relevant requirements in technical regulations
or standards are fulfilled.
Explanatory Note: Conformity assessment procedures include, inter alia, procedures for sampling, testing
and inspection;
evaluation, verification and assurance of conformity;
registration, accreditation and
approval, as well as their combination.
Figure 7:
TBT Annex 1.3
Five out of 15 articles of the TBT Agreement deal exclusively with conformity assessment procedures (CA).
Article 5 and Article 6 contain the basic disciplines with regard to central government bodies.
These basic
disciplines are then applied, in Articles 7 to 9, to (i) local government bodies, (ii) non-governmental bodies and
(iii) international and regional systems.
The Explanatory note to Annex 1.3 presents a non-exhaustive list of conformity assessment procedures which
includes:
 Procedures for sampling, testing and inspection;
 evaluation, verification and assurance of conformity; and
 registration, accreditation and approval, as well as their combination.
Important note
The TBT Agreement does not define the various procedures for conformity assessment listed in the
Explanatory Note of Annex 1.
Under the TBT Agreement, Members are required to grant no less favourable access to CA procedures for
suppliers of like products – domestic and foreign, and to make CA procedures no more strict than what is
necessary to ensure conformity of products with technical regulations and standards.
This applies for time
delays, information requirements, fees, sampling procedures, location of facilities, etc.
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TYPES OF PROCEDURES
As we mentioned, conformity assessment procedures are used to verify whether a product meets the set of
technical requirements set forth in technical regulations and standards, and include a wide range of activities
which may be linked. For instance, testing may form part of inspection and inspection and testing results may
be used to support certification.
The TBT Agreement contains no relevant definitions of the types of procedures used for conformity
assessment.
However, for pedagogical purposes, we would like to introduce you to some of the definitions
currently used in the field. Testing, inspection and certification procedures, for example, are defined in the
document ISO/IEC Guide 2:1991, while the definition of metrology presented below is the one adopted by the
International Bureau of Weights and Measures (BIPM).
Firstly, it should be noted that conformity assessment takes a variety of forms:
 procedures performed in relation to the conformity assessment of products (Testing; Inspection; and
Certification);
 procedures performed in relation to the activity of conformity assessment (Metrology and Calibration;
and Accreditation).
The following figure represents the overall technical infrastructure of conformity assessment:
Figure 8:
Overall technical infrastructure of conformity assessment
The diagram above explains the procedures that an imported product is likely to be faced with while entering
the export market.
The product may be tested by a laboratory, or may be inspected or certified by an
inspection or a certification body, respectively. These phases are neither consecutive nor mutually exclusive.
They may happen simultaneously, or individually. A WTO Member may also choose one or two procedures,
according to its needs and depending on the product and the information provided by the producer, exporter,
importer, etc.
Most importantly, WTO Members are granted the right of "control", that is, the right to have results provided
by bodies that perform the abovementioned activities checked.
Therefore, the activity of assessing the
conformity of the conformity assessment bodies is an important one, which is performed by metrological
14
and/or accreditation bodies. These are the institutions that examine the examiners and that provide credibility
to the system.
IV.A. PROCEDURES IN RELATION TO CA OF PRODUCTS
Conformity assessment in relation to products includes a wide range of activities and may be performed by a
first, second or third party:
 First Party Assessment: the supplier carries out the conformity assessment procedure;
 Second Party Assessment: the purchaser or a conformity assessment body on his/her behalf carries out
the conformity assessment procedure; and
 Third Party Assessment: a body independent from both the supplier and the purchaser carries out the
conformity assessment procedure.
Let us now present the definition testing, inspection and certification below.
IV.A.1. TESTING
Pursuant to the ISO/IEC Guide 2:1991, a test is a:
Technical operation that consists of the determination of one or more characteristics of a given product,
process or service according to a specified procedure.
Testing is probably the most commonly performed procedure of conformity assessment: it is the process of
determining that a product complies with specified requirements. Testing provides the basis for other major
procedures, such as inspection and certification, and is operated by a wide range of organizations, including
government agencies, academic and research institutions, commercial organizations, and industry.
Typical
tests involve measurement of dimensions, chemical composition, microbiological purity, strength or other
physical characteristics of materials or structures.
Different procedures may be used in order to test products. For example, sampling is the process of selecting
one or more specimens of a product in a statistically valid manner for the purpose of evaluating the conformity
of the product to specified requirements.
Another possibility is a hundred per cent testing, whereby every
product specimen of a batch is tested individually.
IV.A.2. INSPECTION
An inspection is defined in the ISO/IEC Guide 2:1991 as:
Evaluation for conformity by measuring, observing, testing or gauging the relevant characteristics.
15
Important Note
There may be an overlap between testing and inspection and such activities are often performed by the
same organizations. However:
 Inspection relies mostly on visual examinations but may also involve testing, usually with simple
instruments such as scales. Inspection usually relies on the subjective judgement and experience of
the inspector.
 Testing is generally carried out according to objective and standardized procedures by highly trained
staff.
IV.A.3. CERTIFICATION
The ISO/IEC Guide 2:1991 defines certification as follows:
Procedure by which a third party gives written assurance that a product process or service conforms to
specified requirements.
Certification goes beyond testing and inspection.
The certification body provides a formal attestation
("certificate") that the product meets the specified requirements and/or licences a manufacturer to place a
certification mark on the product.
Usually, certification bodies operate in narrow product areas, with a
particular emphasis on products where there is a potential concern about health and safety.
Certification is normally based on type approval and not a hundred per cent testing of every individual item.
Apart from certifying product characteristics, certain certification bodies also attest to the conformity of
systems, for example, the conformity of an organization's quality management system to a particular
international standard (e.g. ISO 9000).
IV.B. PROCEDURES IN RELATION TO CA ACTIVITY
Metrology and calibration are addressed in the same section as accreditation because of their common
horizontal nature.
These procedures underpin all other forms of conformity assessment, as the adequate
functioning of measurement instruments, their proper use, and the recognition of competence of conformity
assessment bodies are key elements in building confidence in the evaluation of compliance.
IV.B.1. METROLOGY AND CALIBRATION
The International Bureau of Weights and Measures (BIPM) defines metrology as follows:
Metrology is the science of measurement embracing both experimental and theoretical determinations at
any level of uncertainty in any field of science and technology.
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Metrology consists of the set of operations required to ensure that measuring equipment complies with the
requirements for its intended use. The performance of measuring and test equipments may change for various
reasons such as:
age, improper use, mishandling or the influence of the environment.
The accuracy of
measurements therefore needs to be checked at the time of purchase and thereafter on a regular basis. To do
this, the value of a quantity measured by the equipment is compared with the value of the same quantity
provided by a measurement standard. This procedure is called calibration.
IF YOU WANT TO KNOW MORE
METROLOGY
Two international organizations deal with metrology: the International Bureau of Weights and Measures
(BIPM) and the International Organization of Legal Metrology (OIML). The BIPM, established in 1875 by the
Metre Convention (a diplomatic treaty between 51 nations), ensures worldwide uniformity of measurements
and their traceability to the International System of Units (SI). See http://www.bipm.org.
The OIML, established in 1955, is an intergovernmental organization whose principal aim is to harmonize
the regulations and metrological controls applied by the national metrology services of its national
members. To know more, check http://www.oiml.org.
IV.B.2. ACCREDITATION
The ISO/IEC Guide 2:1991 defines accreditation as follows:
Procedure by which an authoritative body gives formal recognition that a body or person is competent to
carry out specific tasks.
Accreditation bodies are authoritative and independent entities that do not themselves deal with verification of
product specifications but whose task is to evaluate organizations carrying out such functions.
This formal
evaluation and recognition of competence may be applied to testing laboratories, inspection bodies and
certification bodies.
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ILLUSTRATION
The EU uses a label to state the energy consumption of a product. Many other countries use that same label.
However, others, as Australia, have their own label (on the right side). Therefore, the importing country may
wish to proceed to a conformity assessment procedure, either to test, inspect or certify the imported product
with the aim to attest that it complies with
domestic
requirements
embodied
in
technical regulations and/or standards.
Alternatively,
instead
of
testing
the
products, it may decide to verify if the
foreign certifying body is accredited by an
accreditation
accreditation.
body,
or
may
seek
its
Finally,
the
importing
Member may recognize the foreign label
as equivalent to its own or seek another
form of cooperation.
Figure 9:
EU Energy Efficiency
label (left) and
Australia Energy Efficiency label (right)
EXERCISES:
5.
What is the definition of a conformity assessment procedure, according to the TBT Agreement?
6.
What are the main types of conformity assessment procedures?
18
V.
PRINCIPLES INCORPORATED IN THE
TBT AGREEMENT
The understanding of the TBT Agreement can be enhanced if we analyse its provisions according to the
principles they incorporate.
As we have seen, the Agreement covers three types of measures:
technical
regulations, standards and conformity assessment procedures. The principles embodied in the TBT Agreement
pervade the provisions regarding the three types of measures and should therefore be analysed as a whole.
The five principles which can be singled out in the TBT Agreement are:
 Non-Discrimination
 Avoidance of unnecessary obstacles to international trade
 Harmonisation (and Equivalence)
 Transparency
 Special and Differential Treatment, and Technical Assistance to Developing Country Members
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VI.
SUMMARY
A TECHNICAL REGULATION IS:
 A Document which lays down product characteristics;
 or their related processes and production methods;
 with which compliance is mandatory.
It may also include or deal exclusively with terminology, symbols, packaging, marking or labelling
requirements, as they apply to a product, process or production method.
A STANDARD IS:
 A Document approved by a Recognised Body;
 that provides, for common and repeated use, rules, guidelines or characteristics for products or
related processes and production methods;
 with which compliance is not mandatory.
It may also include or deal exclusively with terminology, symbols, packaging, marking or labelling
requirements, as they apply to a product, process or production method.
CONFORMITY ASSESSMENT PROCEDURES ARE:
Any procedure used, directly or indirectly, to determine that relevant requirements in technical regulations or
standards are fulfilled.
They include, but are not limited to:
 Procedures for sampling, testing and inspection;
 evaluation, verification and assurance of conformity; and
 registration, accreditation and approval, as well as their combination.
THE FIVE PRINCIPLES WHICH CAN BE SINGLED OUT IN THE TBT AGREEMENT ARE:
 Non-Discrimination
 Avoidance of unnecessary obstacles to international trade
 Harmonisation (and Equivalence)
 Transparency
 Special and Differential Treatment, and Technical Assistance to Developing Members
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PROPOSED ANSWERS:
1.
A document which lays down product characteristics or their related processes and production methods,
including the applicable administrative provisions, with which compliance is mandatory.
It may also
include or deal exclusively with terminology, symbols, packaging, marking or labelling requirements as
they apply to a product, process or production method.
2.
The three criteria are:
1) The document lays down product characteristics.
2) The document lays down related processes and production methods.
3) Compliance with the document is mandatory.
3.
Document approved by a recognized body, that provides, for common and repeated use, rules, guidelines
or characteristics for products or related processes and production methods, with which compliance is not
mandatory.
It may also include or deal exclusively with terminology, symbols, packaging, marking or
labelling requirements as they apply to a product, process or production method.
4.
The three criteria are:
1) The document is approved by a recognised body.
2) The document provides for common and repeated use, rules, guidelines or characteristics for products
or related processes and production methods.
3) Compliance is voluntary.
5.
Any procedure used, directly or indirectly, to determine that relevant requirements in technical
regulations or standards are fulfilled.
6.
The Explanatory note of the TBT Agreement's Annex 1, paragraph 3 provides a non-exhaustive list of
conformity assessment procedures which include:
 Procedures for sampling, testing and inspection;
 evaluation, verification and assurance of conformity; and
 registration, accreditation and approval; as well as their combination.
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Videos
E-Learning short videos – TBT/SPS http://etraining.wto.org/admin/files/Course_278/Videos/SPS_TBT_PartI.mp4
E-Learning short videos – TBT/SPS http://etraining.wto.org/admin/files/Course_278/Videos/SPS_TBT_PartII.mp4
Other videos - http://www.youtube.com/user/WTO
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