UN DESA Project on Capacity Building for Removing Institutional Constraints in
Utilizing Trade Related International Support Measures for LDCs
Survey of Cost and Benefit of Trade related International Support Measures
for Uganda*
Contents
I. Private sector survey questionnaire for Uganda ...........................................................................................2
II. Private sector survey interviewer’s manual ..................................................................................................4
III. Public sector survey questionnaire.................................................................................................................8
IV. Public sector survey interviewer’s manual .............................................................................................. 12
V. ISMs relevant to private sector ...................................................................................................................... 18
VI. ISMs relevant to public sector ..................................................................................................................... 20
VII. Relevant product/ISMs combinations for Uganda ............................................................................... 24
*Please contact mollerus@un.org and kimnamsuk@un.org for more information.
1
I. Private sector survey questionnaire for Uganda
Organization:
Name:
Title:
Email:
Cell:
Product:
Scorecard 1. Knowledge on how to access ISMs
Question
Q1a.Do you receive training on the processes for
accessing the ISM to enter your main markets? If
yes, go to Q1b. If no, go to Q1c.
Q1b.Do you think more training is needed? (yes or
no). Go to Q1d.
Q1c. Do you think training is necessary on the ISM
to understand how to improve access to your main
export market? (yes or no)
Q1d. Which ISM would you be most interested in
receiving training on? Rank from 1 (most) to 4
(least)
Q1e. How many days would you be willing to invest
to attend training on the ISM?
Q1f. How many people in your sector should be
trained for the ISM?
Q1g. Which ISM would require the largest amount
of traveling cost if all relevant stakeholders were to
participate in the training? Rank from 1(large) to
4(little)
Q1h. Which ISM has the most frequent changes in
the rules and regulations? Rank from 1(most) to 4
(least)
Q1i. Are you aware of any other existing training
you can attend on the ISM? (yes/no)
ISM 1
ISM 2
ISM 3
ISM 4
2
Scorecard 2. Communication/interactions between private sector and the government
counterparts in accessing ISMs
Question
ISM 1
Q2a. Do you know the name and contact
information of the government focal point for the
ISM? (yes or no)
Q2b. Have you asked the Government for
information on how to access the ISM? If yes, go to
Q2c. If no, go to Q2d.
Q2c. Is there a need for improvement in terms of
response time and content? (yes or no). Go to Q2d.
Q2d. Have you submitted a request for assistance in
accessing the ISM? (yes or no)
Q2e. How many days/weeks did it take to receive a
response on the request? (if no response, record
“NR”)
Q2f. For which ISM would it be most important to
reduce the response time of government authorities?
Rank from 1 (most) to 4 (least)
Q2g. How difficult is it to communicate with the
government using your current information and
communication technology (ICT) skills/equipment?
Rank from 1(most) to 4 (least)
ISM 2
ISM 3
ISM 4
Benefits: Rank from1 (high) to 4 (low)
Benefits
Increased Trade
Value Addition
Increased Competitiveness
Poverty Reduction
Environmental Protection
Increased Employment
ISM 1
ISM 2
ISM 3
ISM 4
3
II. Private sector survey interviewer’s manual
Background
Among the international support measures (ISMs) available to LDCs are trade-related benefits
which can be divided into three main areas: (a) preferential market access, (b) special treatment
regarding World Trade Organization-related obligations, and (c) trade-related technical assistance.
Due to their complexity, these measures are often difficult to use. As such, UNDESA has initiated
this project with an objective to increasing the institutional capacity in the governments and
private sector of selected LDCs to access and effectively use the trade-related ISMs.
The objective of this survey is to assess possible targets of institutional capacity, costs related to
removing institutional constraints and benefits of increasing institutional capacity. The
information collected will assist Cost Benefit Analysis (CBA) activities to identify priority
product/ISM combinations.
The list of relevant ISMs varies across countries. For instance, in the case of Uganda, the results
from preliminary interviews with producers/exporters on constraints to exports indicated that
relevant trade-related ISMs for the private sector are in the areas of: Sanitary and Phytosanitary
Measures (SPS), Technical Barriers to Trade (TBT), Enhanced Integrated Framework Tier II (EIF
Tier II) and Duty Free Quota Free Market Access (DFQF). See Chapter III for details on the
ISMs, and Annex for the relevant ISMs for specific cases.
General Instructions
1. Private sector survey is for private sector, 1 interviewee for each priority product/service,
maximum 15 interviewees in total per country.The objective is to assess the cost and
benefit across various ISMs for a specific product/service.
2. Each scorecard for each product will comprise of ISMs specific to the products. See the
Annex for the product and ISMs combinations.
Example: coffee producers identified the lack of access to DFQF, EIF, SPS and TBT as
challenges to their exports, and the interviewee for coffee will only be asked about
accessing DFQF, EIF, SPS, TBT. The interviewer will therefore ask about each ISM
individually.
Cost Questions
1. Cost questions are formatted in Scorecard 1and 2 that the interviewer can easily collect
information about Indicator/ISM combinations for each product. Each question is asked
for each ISM.
Example: For coffee, the interviewer first asks about Q1a/DFQF, Q1a/EIF,
Q1a/SPS, and then Q1a/TBT. Then he/she goes to Q1b and asks the same
question for all ISMs.
2. Cost questions can be asked in scorecards 1 and 2 for different sets of ISMs.
Example: For Coffee, questions can be asked for DFQF, SPS and TBT only (if
they are identified as important ISMs in Annex). Likewise, for fisheries,
questions can be asked for DFQF, SPS and Fisheries Convention only (if they are
identified as relevant ISMs in Annex).
4
Scorecard 1. Knowledge on how to access ISMs
Q1a. Do you receive training on the processes for accessing the ISM to enter your main
markets? If yes, go to Q1b. If no, go to Q1c.
Training can come in the form for workshops, seminars or technical expertise (in country
or abroad) provided by development agencies, bilateral donors or government on the
specific ISMs.
The interviewer asks the question Q1a for ISM 1. If the answer is “yes”, record “1” on
Q1a/ISM1, and ask Q1a for ISM 2. If the answer is “no”, record “0” on Q1a/ISM1, mark
“X” for Q1b for ISM1, and ask Q1a for ISM 2. Proceed the same way to ISM3 and ISM4,
and finish the Q1a. Then move on to Q1b.
Q1b. Do you think more training is needed?
The interviewee answers “yes” or “no”.
The interviewer asks Q1b for ISM1, ISM2, ISM3 and ISM4, record 1 for “yes”, and 0 for
“no”. If there are “X” marks on Q1b/ISM2 and Q1b/ISM4, because the interviewee
answered “no” for the previous question Q1a for ISM2 and ISM4, the interviewer skips
Q1b for ISM2 and ISM4.
Q1c. Do you think training is necessary to understand how to improve access your main
export markets through the ISM? (yes or no)
The interviewee answers “yes” or “no”.
Q1d. Which ISM would you be most interested in receiving training on? Rank from 1 (most)
to 4 (least)
The Interviewee has to rank the order of importance/interest in training of all the relevant
ISMs for each product. If there are only three ISMs, the interviewershould ask the
interviewee to rank from 1 to 3, e.g., 1 for SPS, 2 for TBT and 3 for DFQF.
Q1e. For how many days would you be willing to invest to attend for training?
The interviewee has to indicate the amount of time (days) they are willing to spend on
training for each ISM. If the interviewee indicates that he/she can spare only a day,
he/she should indicate how many hours to attend for training for each ISM.
Q1f. How many people in your sector should be trained?
Interviewee can answer in terms of how many people for the sector as a whole, or per
company/farm, etc., as long as he/she is consistent across ISMs. The number of trainees
will be the “relevant stakeholders” in the following question Q1g.
Q1g. Which ISM would require the largest amount of traveling cost if all relevant
stakeholders were to participate in the training? Rank from 1(large) to 4(little)
For most ISMs, the cost would be the same if the training is done in Kampala. If trainings
can be done on the field or local offices, for example, on SPS, then cost might be less for
DCOs to participate in the training on SPS. Also, depending on how many stakeholders
and how far they are dispersed, travel costs can be differentiated.
Q1h. Which ISM has the most frequent changes in the rules and regulations? Rank from
1(most) to 4(least)
Rules and regulations can be domestic or international. For example, SPS standards can
change regularly depending on main markets. DFQF usually change less frequently.
5
Therefore the interviewee should rank according to frequency in changes in these rules
and regulations.
Q1i. Are you aware of any other existing training you can attend on the ISM? (yes/no)
Existing training can be organized by development agencies such as UNDP, STDF, EIF
and bilateral donors. Interviewee simply answers yes/no, because he/she may know of
training but not of who is organizing them.
Scorecard 2. Communication/interactions between private sector and the government
counterparts in accessing ISMs
Q2a. Do you know the name and contact information of the government focal point for the
ISM? (yes or no)
Interviewee answers “yes” or “no”. No need to specify the name and contact information
of the government focal point.
Q2b. Have you asked the Government for information on how to access the ISM? If yes, go
to Q2c. If no, go to Q2d.
The interviewer asks the question Q2b for ISM 1. If the answer is “yes”, record “1” on
Q2b/ISM1, and ask Q2b for ISM 2. If the answer is “no”, record “0” on Q2b/ISM1, mark
“X” for Q2c for ISM1, and ask Q2b for ISM 2. Proceed the same way to ISM3 and ISM4,
and finish the Q2b. Then move on to Q2c.
Q2c. Is there a need for improvement in terms of response time and content? (yes or no). Go
to Q2d.
Interviewee simply answers “yes” or “no”.
Q2d. Have you submitted a request for assistance in accessing the ISM? (yes or no)
Interviewee simply answers “yes” or “no”.
Q2e. How many days/weeks did it take to receive a response from the government on the
request? (if no response, record “NR”)
Interviewee answers with number of days or weeks. If there was no response from the
government, write “NR”.
Q2f. For which ISM would be most important to reduce the response time of government
authorities? Rank from 1 (most) to 4 (least)
The Interviewee has to rank the order of importance of promoting effective
communication with government authorities in order to have easier access to the ISMs.
Q2g. How difficult is it to communicate with the government using your current
information and communication technology (ICT) skills/equipment? Rank from 1(most) to
4 (least)
ICT skills and equipment are related to telephone (direct line), broadband internet,
website, standardized computer files to fill the form, online submission, etc. For example,
if accessing SPS requires a lot more online forms than TBT, it might be difficult to access
SPS for the interviewee if he/she has limited ICT skills, old computers and slow internet.
Interviewee will rank 1 for SPS, 2 for TBT.
6
Benefit Questions
1. Benefits can be categorized as:
Trade Benefits
a. Increased Trade: the volume of trade for the product has increased
b. Value Addition: the monetary value of the product exported has increased or the
product has moved up the value chain
Socio-economic Benefits
1) Increased Competitiveness: more firms can export. Price is reduced as a result of
more competition in the market.
2) Poverty Reduction: income increases for the poor households. Tax revenue
increases to be used for redistribution policies
3) Environmental Protection: the product can be sourced, produced and exported in
an environmentally sustainable manner.
4) Increased Employment: producer is able to expand and therefore increase
employment in the sector. Employment in other sectors increases through
backward and forward linkages. Female employment increases to reduce gender
inequality.
2. Benefit is measured in relative terms by ranking from 1 (highest) to 4 (lowest).
Example: Given that all of the indicators (training, inquiry/response time with
government authorities) are improved to the coffee exporter’s desirable level, the
interviewee from the coffee sector should indicate which ISM would bring the highest
benefit. The interviewee will therefore rank which ISM for coffee (DFQF, SPS, TBT,
EIF, and Fish stock) would give the highest trade benefit. The process will be repeated
for each element of benefit.
3. The interviewer should therefore ask: how much trade will go up for your product if you
have all these things, training, agreement, personnel, etc for SPS? How much if you have
all of those for TBT? And so on.
7
III. Public sector survey questionnaire
Organization:
Name:
Title:
Email:
Cell:
Scorecard 1. Knowledge on how to access ISM
Question
Q1a.Do you receive training on the processes
for accessing the ISM? If yes, go to Q1b. If no,
go to Q1c.
Q1b. From whom do you receive the training?
SPS
TBT
EIF
DFQF
Fish stock
Q1c. Do you think more training is necessary to
understand how to improve access your main
export markets through the ISM? (yes or no)
Q1d. Which ISM would you be most interested
in receiving training on? Rank from 1 (most) to
5 (least)
Q1e. How many people should be trained?
Q1f. Which ISM would require the largest
amount of traveling cost if all relevant
stakeholders were to participate in the training?
Rank from 1(large) to 5(little)
Q1g. Which ISM has the most frequent changes
in the rules and regulations? Rank from 1(most)
to 5(least)
Q1h. Are you aware of any other existing
training you can attend on the ISM? (yes/no) If
yes, list the organizers.
8
Scorecard 2. Coordination between the government and private sector counterparts in
accessing ISMs
Question
SPS
Q2a. Have you received a request from private
sector for assistance in accessing the ISM? (yes
or no)
Q2b. Do you currently provide to private sector
any assistance on accessing the ISM? (yes or
no) If yes, go to Q2d. If no, go to Q2c.
Q2c. Have you contacted private sector to
inform the availability of ISMs? (yes or no)
Q2d. Do you regularly meet with private sector
to discuss issues on the ISM? (yes or no)
Q2e. For which ISM would it be most important
to meet regularly and discuss about the
assistance? Rank from 1 (most) to 5 (least)
TBT
EIF
DFQF
Fish stock
Scorecard 3. Coordination between trade-related domestic public entities
Question
SPS
Q3a. Have you submitted requests to other
government entities for information on how to
access the ISM? (yes or no) If yes, go to Q3b. If
no, go to Q3c.
Q3b. Is there a need for improvement in terms
of response time and content? (yes or no). Go to
Q3d.
Q3c. To your knowledge, is there an official
agreement between your office and other
government entities to facilitate the use of the
ISM? (yes or no)
Q3d. For which ISM would the official
cooperation agreement be most important?
Rank from 1 (most) to 5 (least)
Q3e. Do you regularly meet with other
government entities to discuss issues on the
ISM? (yes or no)
TBT
EIF
DFQF
Fish stock
9
Scorecard 4. Communication on general inquiry between government and development
partners
Question
SPS
Q4a. Is there an official arrangement between
government and development partners to facilitate
the access to the ISM? (yes or no)
Q4b. Do you regularly meet with development
partners and discuss potential usefulness of the
ISM? (yes or no)
Q4c. Have you contacted development partners
regarding information about possible support
on/from ISMs? (yes or no) If yes, go to Q4d. If
no, go to Q4e.
Q4d. How many days/weeks does it currently take
to receive a response from development partners
regarding use of the ISM?
Q4e. How many days/weeks would be adequate to
expect a response from development partners?
Q4f. For which ISM would it be most important
to reduce the response time of development
partners? Rank from 1 (most) to 5 (least)
TBT
EIF
DFQF
Fish stock
Scorecard 5. Coordination between government and development partners on the process
of application to use ISMs
Question
Q5a. How many days/weeks does it currently take
to submit a new application to use the ISM
assistance?
Q5b. How many days/weeks of preparation would
be adequate to submit new applications?
Q5c. For which ISM would it be most important to
reduce the submission time of
applications/proposals? Rank from 1 (most) to 5
(least)
Q5d. How difficult is it to communicate with the
development partners using your current
information and communication technology (ICT)
skills/equipment? Rank from 1(most) to 5 (least)
SPS
TBT
EIF
DFQF
Fish stock
10
Benefits: Rank from1 (high) to 5 (low)
Benefits
Increased Trade
Value Addition
Increased Competitiveness
Poverty Reduction
Environmental Protection
Increased Employment
SPS
TBT
EIF
DFQF
Fish stock
11
IV. Public sector survey interviewer’s manual
Background
Among the international support measures (ISMs) available to LDCs are trade-related benefits
which can be divided into three main areas: (a) preferential market access, (b) special treatment
regarding World Trade Organization-related obligations, and (c) trade-related technical assistance.
Due to their complexity, these measures are often difficult to use. As such, UNDESA has initiated
this project with an objective to increasing the institutional capacity in the governments and
private sector of selected LDCs to access and effectively use the trade-related ISMs.
The objective of this survey is to assess possible targets of institutional capacity, costs related to
removing institutional constraints and benefits of increasing institutional capacity. The
information collected will assist Cost Benefit Analysis (CBA) activities to identify priority
product/ISM combinations.
The list of relevant ISMs varies across countries. For instance, in the case of Uganda, results from
the previous Survey A on constraints to exports indicated that relevant trade-related ISMs for the
private sector are in the areas of: Sanitary and Phytosanitary Measures (SPS), Technical Barriers
to Trade (TBT), Enhanced Integrated Framework Tier II (EIF Tier II), Duty Free Quota Free
Market Access (DFQF), and Fish Stock Agreement. See Chapter III for details on the ISMs.
General Instructions
1. Public sector survey is for public sector, comprising of government officials,
international organizations and bilateral donors. The survey will be conducted in the form
of a workshop. DESA will present the elements of each ISM and indicator whilst
participants shall fill in their individual scorecards. The international and national
consultant shall also be present to assist participants in completing scorecards.
2. The objective is to assess the cost and benefit across various ISMs, not for a specific
product/service.
Example: Interviewer asks stakeholder group to compare training cost of each
ISM (e.g. DFQF, SPS, TBT, EIF Tier II, and Fish stock), considering all products
that can be affected by the ISM. A list of the priority export products identified
during the project will be provided to the participants.
Cost questions
Scorecard 1. Knowledge on how to access ISM
Q1a. Do you receive training on the processes for accessing the ISM? If yes, go to Q1b. If no,
go to Q1c.
Training can come in the form for workshops, seminars or technical expertise (in country
or abroad) provided by development agencies, bilateral donors or government on the
specific ISMs. The interviewer should indicate “yes” or “no”.
12
The interviewer asks the question Q1a for ISM 1. If the answer is “yes”, record “1” on
Q1a/ISM1, and ask Q1a for ISM 2. If the answer is “no”, record “0” on Q1a/ISM1, mark
“X” for Q1b for ISM1, and ask Q1a for ISM 2. Proceed the same way to ISM3-ISM5,
and finish the Q1a. Then move on to Q1b.
Q1b. From whom do you receive the training?
Interviewer should try to obtain information on who the provider and what the training is
about.
Q1c. Do you think more training is necessary to understand how to improve access your
main export markets through the ISM? (yes or no)
The interviewee answers “yes” or “no”.
Q1d. Which ISM would you be most interested in receiving training on? Rank from 1 (most)
to 5 (least)
The Interviewee has to rank the order of importance/interest in training of all the relevant
ISMs for each product e.g. 1 for SPS, 2 for TBT and 3 for DFQF.
Q1e. How many people should be trained?
Interviewee can answer in terms of how many people as a whole for each ISM, or per
company/farm, etc., as long as he/she is consistent across ISMs. The number of trainees
will be the “relevant stakeholders” in the following question.
Q1f. Which ISM would require the largest amount of traveling cost if all relevant
stakeholders were to participate in the training? Rank from 1(large) to 5(little)
For most ISMs, the cost would be the same if the training is done in Kampala. If trainings
can be done on the field or local offices, for example, on SPS, then cost might be less for
DCOs to participate in the training on SPS. Also, depending on how many stakeholders
and how far they are dispersed, travel costs can be differentiated.
Q1g. Which ISM has the most frequent changes in the rules and regulations? Rank from
1(most) to 5(least)
Rules and regulations can be domestic or international. For example, SPS standards can
change regularly depending on main markets. DFQF usually change less frequently.
Therefore the interviewee should rank according to frequency in changes in these rules
and regulations.
Q1h. Are you aware of any other existing training you can attend on the ISM? (yes/no) If
yes, list the organizers.
Existing training can be organized by development agencies such as UNDP, STDF, EIF
and bilateral donors. Unlike the private sector survey, the interviewees are likely know of
who is organizing the training. List the organizers of training in the comment.
Scorecard 2. Coordination between the government and private sector counterparts in
accessing ISMs
Q2a. Have you received a request from private sector for assistance in accessing the ISM?
(yes or no)
The interviewee answers “yes” or “no”.
13
Q2b. Do you currently provide to private sector any assistance on accessing the ISM? (yes
or no) If yes, go to Q2d. If no, go to Q2c.
The interviewee answers “yes” or “no”. If yes, mark “1”, mark “X” for Q2c, and move on
to the next ISM.
Q2c. Have you contacted private sector to inform the availability of ISMs? (yes or no)
The interviewee answers “yes” or “no”. Skip the ISMs with “X” marks for Q2c, because
those are the ones with “yes” on Q2b.
Q2d. Do you regularly meet with private sector to discuss issues on the ISM? (yes or no)
The interviewee answers “yes” or “no”.
Q2e. For which ISM would it be most important to meet regularly and discuss about the
assistance? Rank from 1 (most) to 5 (least)
Necessity of coordination between private sector and public sector is evaluated.
Scorecard 3. Coordination between trade-related domestic public entities
Q3a. Have you submitted requests to other government entities for information on how to
access the ISM? (yes or no) If yes, go to Q3b. If no, go to Q3c.
Interviewee simply answers “yes” or “no”. If no, mark “0” for the ISM, mark “X” on
Q3b for that ISM, and move the next ISM.
Q3b. Is there a need for improvement in terms of response time and content? (yes or no).
Go to Q3d.
Interviewee answers “yes” or “no”.
Q3c. To your knowledge, is there an official agreement between your office and other
government entities to facilitate the use of the ISM? (yes or no)
And agreement can be formal or informal. In the form of committees, advisory groups,
etc. It can also be an agreement on formal communication protocols between government
entities.
Q3d. For which ISM would the official cooperation agreement be important? Rank from 1
(most) to 5 (least)
The Interviewee has to rank the order of importance/interest in a cooperation agreement
of all the relevant ISMs for each product e.g. 1 for SPS, 2 for TBT and 3 for DFQF
Q3e. Do you regularly meet with other government entities to discuss issues on the ISM?
(yes or no)
Interviewee answers “yes” or “no”
Scorecard 4. Communication on general inquiry between government and development
partners
Q4a. Is there an official arrangement between government and development partners to
facilitate the access to the ISM? (yes or no)
Interviewee answers “yes” or “no”
14
Q4b. Do you regularly meet with development partners and discuss potential usefulness of
the ISM? (yes or no)
Interviewee answers “yes” or “no”
Q4c. Have you contacted development partners regarding information about possible
support on/from ISMs? (yes or no) If yes, go to Q4d. If no, go to Q4e.
Interviewee answers “yes” or “no”. If no, mark “0”, mark “X” for Q4d, then move on to
the next ISM.
Q4d. How many days/weeks does it currently take to receive a response from development
partners regarding use of ISM support?
Interviewee to indicate amount of time e.g. days or weeks.
Q4e. How many days/weeks would be adequate to expect a response from development
partners?
Interviewee to indicate amount of time e.g. days or weeks.
Q4f. For which ISM would it be most important to reduce the response time of development
partners? Rank from 1 (most) to 5 (least)
The Interviewee has to rank the order of importance/interest in training of all the relevant
ISMs for each product e.g. 1 for SPS, 2 for TBT and 3 for DFQF
Scorecard 5. Coordination between government and development partners on the process
of application to use ISMs
Q5a. How many days/weeks does it currently take to submit a new application to use the
ISM assistance?
Government is usually responsible for sending submissions to access ISMs to donors.
Government should therefore indicate on average, how long it takes to process and
submit and application for each ISM. They should be able to differentiate across ISMs:
some application procedures may be more technical than others or some processes are
lengthier or requires more steps.
Q5b. How many days/weeks of preparation would be adequate to submit new applications?
Government to indicate what their preferred timeline for preparing and submitting
applications of each ISM.
Q5c. For which ISM would it be most important to reduce the submission time of
applications/proposals? Rank from 1 (most) to 5 (least)
The interviewee has to rank the order of importance/interest in training of all the relevant
ISMs for each product e.g. 1 for SPS, 2 for TBT and 3 for DFQF
Q5d. How difficult is it to communicate with development partners using your current
information and communication technology (ICT) skills/equipment? Rank from 1(most) to
5 (least)
ICT skills and equipment are related to telephone (direct line), broadband internet,
website, standardized computer files to fill the form, online submission, etc. For example,
if accessing SPS requires a lot more online forms than TBT, it might be difficult to access
SPS for the interviewee if he/she has limited ICT skills, old computers and slow internet.
Interviewee will rank 1 for SPS, 2 for TBT.
15
Scorecard 6. Coordination between development partners and government to process
requests
Q6a. Is there an official arrangement between government and development partners to
facilitate the process of requesting access to the ISM? (yes or no)
Interviewee answers “yes” or “no”
Q6b. Do you regularly meet with government officials and discuss the application process
on the ISM? (yes or no)
Interviewee answers “yes” or “no”
Q6c. How many weeks/months does it currently take (on average) to process a new
application to receive ISM assistance?
Interviewee indicates average time (days, weeks or months)
Q6d. How many days/weeks would be adequate to process new applications, on average?
Interviewee indicates average time (days, weeks, months)
Q6e. For which ISM would it be most important to reduce the processing time? Rank from
1 (most) to 5 (least)
The interviewee has to rank the order of importance/interest in training of all the relevant
ISMs for each product e.g. 1 for SPS, 2 for TBT and 3 for DFQF
Q6f. Does your agency/country currently provide assistance on the access to the ISM?
Donor to select ISMs they are providing assistance in the country. Details on the projects
should be provided.
Q6g. Rank the ISMs according to the current trade-related priorities of your agency from 1
(high) to 5 (low)
Donors usually have priority areas of work. The Interviewee should therefore rank from
highest (1) to lowest (5) their priority according to ISM. SPS: building SPS capacity,
TBT: building TBT capacity, DFQF: helping countries reduce market access barriers to
trade or EIF: benchmarking trade-related assistance according to DTIS recommendations.
Benefit questions
1. Benefits can be categorized as:
Trade Benefits
a. Increased Trade: the volume of trade for the product has increased
b. Value Addition: the monetary value of the product exported has increased or the
product has moved up the value chain
Socio-economic Benefits
1) Increased Competitiveness: more firms can export. Price is reduced as a result of
more competition in the market.
2) Poverty Reduction: income increases for the poor households. Tax revenue
increases to be used for redistribution policies
16
3) Environmental Protection: the product can be sourced, produced and exported in
an environmentally sustainable manner.
4) Increased Employment: producer is able to expand and therefore increase
employment in the sector. Employment in other sectors increases through
backward and forward linkages. Female employment increases to reduce gender
inequality.
2. Benefit is measured in relative terms by ranking from 1 (highest) to 5 (lowest).
Example: Given that all of the indicators (training, etc) are improved to the desirable
level of all export products, the interviewee should indicate where trade benefit would be
highest across the ISMs. The interview will therefore rank which ISM (DFQF, SPS, TBT,
EIF and Fish stock) would give the highest trade benefit. The process will be repeated
for each element of benefit.
3. The interviewer should therefore ask: how much trade will go up if you have all these
things, training, agreement, personnel, etc for SPS? How much if you have all of those
for TBT? And so on.
17
V. ISMs relevant to private sector
1. SPS Agreement - Technical Assistance by WTO Members
Legal basis: SPS Agr Art 9; Doha(Source:http://bit.ly/1hw7jtN)
Details: Under Article 9, Members agree to facilitate the provision of technical assistance to
other Members, especially developing county Members, either bilaterally or through the
appropriate international organizations. Such assistance may be, inter alia, in the areas of
processing technologies, research and infrastructure, including in the establishment of national
regulatory bodies…to allow such countries to adjust to, and comply with measures necessary to
achieve the appropriate level of SPS protection in their export markets.
The Doha Ministerial Decision on Implementation-related Issues and Concerns, urges
Members to provide, to the extent possible, the financial and technical assistance necessary to
enable LDCs to respond adequately to the introduction of any new SPS measures which may
have significant negative effects on their trade; and to ensure that technical assistance is provided
to LDCs with a view to responding to the special problems faced by them in implementing the
Agreement on the Application of SPS (Paragraph 3.6).
In practice, for the private sector this means that you may have access to technical assistance
from developed countries (especially for where your exports are destined) in order to help comply
to SPS measures. Technical assistance can come in the form of processing technologies, research
and infrastructure, establishment of national regulatory bodies.
2. SPS Agreement - Support from Standards and Trade Development Facility (STDF)
Legal basis: (Source:http://bit.ly/1iVj8tW)
Details: The Standards and Trade Development Facility (STDF) seeks to assist developing
countries in building their capacity to analyse and employ international SPS standards, guidelines
and recommendations and thus improve their ability to secure and retain access to markets. The
STDF work program focuses on the following strategic outcomes: Better collaboration on SPSrelated technical cooperation; Enhanced capacity of beneficiaries to distinguish and prioritize SPS
needs and devise proposals that are able to obtain funding from the STDF or external funding
sources; and improved performance of beneficiaries of STDF projects. The STDF aims to devote
at least 40% of its project resources to LDCs and other LICs.
In practice, for the private sector this means that you may have access to 1. Project Preparation
Grants (the STDF can help in preparing proposals for SPS capacity building) 2. Project Grant
(The STDF can provide some funding for SPS capacity building)
3. Other TBT related assistance from WTO Members
Legal basis: Doha 5.4(Source:http://bit.ly/1cH3s8O)
Details: The 2001 Doha Ministerial Decision on Implementation-related Issues and Concerns
(paragraph 5.4). Para 5.4 urges members to provide, to the extent possible, the financial and
technical assistance necessary to enable LDCs to respond adequately to the introduction of any
new TBT measures which may have significant negative effects on their trade. It also urges
members to ensure that technical assistance is provided to LDCs with a view to responding to the
special problems faced by them in implementing the Agreement on TBT.
In practice, for the private sector this means that you may have access to financial and technical
assistance if a new TBT measure that has significant negative effects on their exports is
introduced by their main markets.
18
4. EIF - TIER II
Legal basis: (Source:http://bit.ly/K8fxK2)
Details: Funding for TIER II Action Matrix priority projects to build up trade related and supply
side capacities. For more details information please refer to:
DTIS (2006): http://frpt.enhancedif.org/documents/DTIS%20english%20documents/english/Uganda_DTIS_vol1.pdf
DTIS Update (2013):http://wwwwds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2013/07/09/000442464_2013
0709111458/Rendered/PDF/770790ESW0P12900PUBLIC00Box0377368B.pdf
Private sector can access EIF Tier II funding if their capacity needs are identified under the
countries’ Diagnostic Trade Integrated Study (DTIS). Uganda's DTIS (2006) prioritized Building
capacity of Trade Policy Institutions, Sanitary and Phytosanitary issues, Transport and Trade
Facilitation and Customs. The DTIS also highlights the following export sectors: Agricultural
export crops, Fish, Horticulture, Floriculture, Tourism and ICT exports. The DTIS Update (2013)
went further by prioritizing Maize (for regional export), Professional Services and Trade
Facilitation. EIF Tier II proposals can also go beyond DTIS recommendations if a strong case is
made, if the DTIS is outdated and if the proposed need/assistance has been prioritized in national
strategies.
5. DFQF - preferential market access for products
Legal basis: Enabling Clause 1979, Hong Kong Ministerial 2005(Source:http://bit.ly/KJ3Hap)
Details: Preferential market access schemes for LDCs have a multilateral basis in the Enabling
Clause negotiated in 1979. The Enabling Clause aims to enhance trade of developing countries.
Paragraph 3(d) allows all WTO to provide ‘special treatment on the least developed among the
developing countries in the context of any general or specific measures in favour of developing
countries' without giving such special treatment to other countries. Hence, the enabling clause
allows a departure from the Most Favored Nations principle (MFN) of the WTO, which obliges
its members to provide equal tariff treatment to all partners.
At the Hong Kong Ministerial Declaration of 2005, developed countries and developing
countries that declare themselves in a position to do so would provide ‘duty-free and quota-free
(DFQF) market access for at least 97 per cent of products originating from LDCs, defined at the
tariff line level, by 2008 or no later than the start of the implementation period'. WTO members
are required to notify the WTO Committee on Trade and Development (CTD) on the
implementation of DFQF market access schemes.
In practice, for the private sector this means that you may have access to markets at 0% duty if
that country has afforded DFQF. Current developed countries affording DFQF: Australia,
Canada, EU, Japan, New Zealand, Norway, Switzerland and USA. Developing countries are also
encouraged (if they can) to afford DFQF.
6. Fish Stock Agreement
Legal basis: Part VII on Requirements of Developing States, Art 25 (Source:
http://bit.ly/1cFOekq )
Details: States shall cooperate, either directly or through subregional, regional or global
organizations:
(a) to enhance the ability of developing States, in particular the least-developed among them and
small island developing States, to conserve and manage straddling fish stocks and highly
migratory fish stocks and to develop their own fisheries for such stocks;
For the private sector this means that countries can help in conserve their fish stocks etc.
19
VI. ISMs relevant to public sector
1. SPS Agreement - Technical Assistance by WTO Members
Legal basis: SPS Agr Art 9; Doha(Source:http://bit.ly/1hw7jtN)
Details: Under Article 9, Members agree to facilitate the provision of technical assistance to
other Members, especially developing county Members, either bilaterally or through the
appropriate international organizations. Such assistance may be, inter alia, in the areas of
processing technologies, research and infrastructure, including in the establishment of national
regulatory bodies…to allow such countries to adjust to, and comply with measures necessary to
achieve the appropriate level of SPS protection in their export markets.
The Doha Ministerial Decision on Implementation-related Issues and Concerns, urges
Members to provide, to the extent possible, the financial and technical assistance necessary to
enable LDCs to respond adequately to the introduction of any new SPS measures which may
have significant negative effects on their trade; and to ensure that technical assistance is provided
to LDCs with a view to responding to the special problems faced by them in implementing the
Agreement on the Application of SPS (Paragraph 3.6).
2. SPS Agreement - Technical Assistance by WTO Secretariat
Legal basis: SPS Agr Art 9(Source:http://bit.ly/18Sd6Sf)
Details: The WTO secretariat provides technical assistance on SPS matters, including: eLearning courses, national SPS seminars, a thematic SPS workshop in Geneva, regional SPS
workshops and an advanced SPS course. These activities primarily focus on the provisions of the
SPS Agreement, implementation matters and the latest discussions taking place in the SPS
Committee. Preference is given to applications from LDCs and from developing country
Members and Observers that have not been sponsored to participate in a thematic workshop on
the SPS Agreement in the recent past.
3. SPS Agreement - Support from Standards and Trade Development Facility (STDF)
Legal basis: (Source:http://bit.ly/1iVj8tW)
Details: The Standards and Trade Development Facility (STDF) seeks to assist developing
countries in building their capacity to analyse and employ international SPS standards, guidelines
and recommendations and thus improve their ability to secure and retain access to markets. The
STDF work program focuses on the following strategic outcomes: Better collaboration on SPSrelated technical cooperation; Enhanced capacity of beneficiaries to distinguish and prioritize SPS
needs and devise proposals that are able to obtain funding from the STDF or external funding
sources; and improved performance of beneficiaries of STDF projects. The STDF aims to devote
at least 40% of its project resources to LDCs and other LICs.
4. SPS Agreement - Participation in International Standard Setting Organizations
Legal basis: SPS Agr Art 10.4; Doha (Source: http://bit.ly/1kr5QXU)
Details: Under Article 10.4, Members should encourage and facilitate the active participation of
developing country Members in all relevant international organizations, and in the creation of
policy measures that those organizations seek to implement. The relevant international
organizations with respect to the SPS Agreement (known as the "three sisters" of the SPS) are: i)
FAO/WHO Codex Alimentarius Commission; ii) World Organization for Animal Health; and, iii)
IPPC Secretariat.
The 2001 Doha Ministerial Decision on implementation-related issues and concerns
urged the WTO Director-General to continue his cooperative efforts with these organizations and
institutions in this regard, including with a view to according priority to the effective participation
20
of LDCs and facilitating the provision of technical and financial assistance for this purpose, (para.
3.5). After this Decision, trust funds have been established to increase participation of developing
countries in the "three sisters" of the SPS Agreement.
5. SPS Agreement - Making use of Equivalence in the preparations or applications of SPS
Measures
Legal basis: SPS Agr Art 4; Doha (Source: http://bit.ly/1bS7YOj).
Details: Members shall accept the SPS measures of other Members as equivalent, even if these
measures differ from their own or from those used by other Members trading in the same product,
if the exporting Member objectively demonstrates to the importing Member that its measures
achieve the importing Member's appropriate level of SPS protection.
In 2001, the SPS Committee adopted a Decision on the Implementation of Article 4 of
the SPS Agreement to make this article more concrete, taking into account the specific concerns
raised by developing country Members, and particularly the LDCs among them, regarding their
difficulties in having the equivalence of their SPS measures accepted by importing Members. The
Doha Ministerial Conference in 2001 took note of this decision, and requested the SPS
Committee to continue working on the issue. In March 2002, the SPS Committee adopted a work
programme for this purpose.
6. TBT Agreement - Technical Assistance in Preparing Technical Regulations
Legal basis: TBT Agr. Art. 11 & 12.7 (Source:http://bit.ly/1cH3s8O)
Details:Article 11.8: In providing advice and technical assistance to other Members in terms of
paragraphs 1 to 7, Members shall give priority to the needs of LDC Members. Article 12.7: In
determining the terms and conditions of the technical assistance, account shall be taken of the
stage of development of the requesting Members and in particular of the LDC Members.
Technical assistance may include: (i) advice on the preparation of technical regulations
(article 11.1 TBT); (ii) assistance for the establishment of national standardizing bodies (11.2
TBT); (iii) assistance to establish bodies for the assessment of conformity with nationally adopted
standards (Article 11.3 and 11.4 TBT); (iv) assistance/advice on the steps that should be taken by
domestic producers if they wish to have access to systems for conformity assessment operated by
governmental or non-governmental bodies within the territory of the Member receiving the
request (Article 11.5 TBT); (v) assistance to establish the institutions and legal framework to
enable the participation in international or regional systems for conformity assessment (Article
11.6 and 11.7 TBT).
7. TBT Agreement - Participation in International Standard Setting
Legal basis:TBT Agr. Art. 1.2; Doha 5.3 ii (Source:http://bit.ly/1cCjDEc)
Details:Article 11.2 of the TBT agreement stipulates that Members shall, if requested, advise
other Members, especially the developing country Members, and shall grant them technical
assistance on mutually agreed terms and conditions regarding the establishment of national
standardizing bodies, and participation in the international standardizing bodies, and shall
encourage their national standardizing bodies to do likewise. In 2000, the TBT Committee
decided that tangible ways of facilitating developing countries' participation in international
standards development should be sought. In contrast with the SPS Agreement, the TBT
Agreement does not designate international standard setting bodies. The Codex Alimentarius is
relevant with respect to food labelling. The Codex Trust Fund is specifically aimed at helping
developing countries and countries in transition to participate in its meetings. LDCs and SIDS are
eligible for special support under the Trust Fund. Other relevant organisations are the
International Organization for Standardization (ISO); International Telecommunications Union
(ITU); International Electrotechnical Commission (IEC). The 2001 Doha Ministerial Decision on
Implementation-related Issues & Concerns (paragraph 5.3 ii) urges the WTO's Director-General
21
to continue his cooperative efforts with these organizations and institutions, including with a view
to according priority to the effective participation of LDCs and facilitating the provision of
technical and financial assistance for this purpose.
8. TBT Agreement - Time-limited exemptions from the obligations of the TBT Agreement
Legal basis:TBT Agr. Art. 12.8(Source:http://bit.ly/1cPFlBk)
Details: The TBT Agreement recognizes that developing countries are not able to fully
implement the Agreement because of their special development and trade needs and the stage of
their technological development (Article 12.8). Pursuant to Article 12.8, the TBT Committee can
grant, upon request, specified, time-limited exceptions in whole or in part from obligations under
the TBT Agreement. When considering such requests the Committee shall, in particular, take into
account the special problems of the LDC Members.
9. Other TBT related assistance from WTO Members
Legal basis: Doha 5.4(Source:http://bit.ly/1cH3s8O)
Details: The 2001 Doha Ministerial Decision on Implementation-related Issues and Concerns
(paragraph 5.4). Para 5.4 urges members to provide, to the extent possible, the financial and
technical assistance necessary to enable LDCs to respond adequately to the introduction of any
new TBT measures which may have significant negative effects on their trade. It also urges
members to ensure that technical assistance is provided to LDCs with a view to responding to the
special problems faced by them in implementing the Agreement on TBT.
10. EIF - TIER II
Legal basis: (Source:http://bit.ly/K8fxK2)
Details: Funding for TIER II Action Matrix priority projects to build up trade related and supply
side capacities
Uganda's DTIS (2006) prioritized Building capacity of Trade Policy Institutions, Sanitary
and Phytosanitary issues, Transport and Trade Facilitation and Customs. The DTIS also
highlights the following export sectors: Agricultural export crops, Fish, Horticulture, Floriculture,
Tourism and ICT exports. The DTIS Update (2013) went further by prioritizing Maize (for
regional export), Professional Services and Trade Facilitation. EIF Tier II proposals can also go
beyond DTIS recommendations if a strong case is made, if the DTIS is outdated and if the
proposed need/assistance has been prioritized in national strategies. For more details information
please refer to:
DTIS (2006): http://frpt.enhancedif.org/documents/DTIS%20english%20documents/english/Uganda_DTIS_vol1.pdf
DTIS Update (2013):http://wwwwds.worldbank.org/external/default/WDSContentServer/WDSP/IB/2013/07/09/000442464_2013
0709111458/Rendered/PDF/770790ESW0P12900PUBLIC00Box0377368B.pdf
11. DFQF - preferential market access for products
Legal basis: Enabling Clause 1979, Hong Kong Ministerial 2005(Source:http://bit.ly/KJ3Hap)
Details: Preferential market access schemes for LDCs have a multilateral basis in the Enabling
Clause negotiated in 1979. The Enabling Clause aims to enhance trade of developing countries.
Paragraph 3(d) allows all WTO to provide ‘special treatment on the least developed among the
developing countries in the context of any general or specific measures in favour of developing
countries' without giving such special treatment to other countries. Hence, the enabling clause
allows a departure from the Most Favored Nations principle (MFN) of the WTO, which obliges
its members to provide equal tariff treatment to all partners.
At the Hong Kong Ministerial Declaration of 2005, developed countries and developing
countries that declare themselves in a position to do so would provide ‘duty-free and quota-free
22
(DFQF) market access for at least 97 per cent of products originating from LDCs, defined at the
tariff line level, by 2008 or no later than the start of the implementation period'. WTO members
are required to notify the WTO Committee on Trade and Development (CTD) on the
implementation of DFQF market access schemes.
12. Fishery Stock Agreement - Forms of cooperation with developing States
Legal basis: Part VII on Requirements of Developing States, Art 25 (Source:
http://bit.ly/1cFOekq)
Details: States shall cooperate, either directly or through subregional, regional or global
organizations:
(a) to enhance the ability of developing States, in particular the least-developed among them and
small island developing States, to conserve and manage straddling fish stocks and highly
migratory fish stocks and to develop their own fisheries for such stocks;
(b) to assist developing States, in particular the least-developed among them and small island
developing States, to enable them to participate in high seas fisheries for such stocks, including
facilitating access to such fisheries subject to articles 5 and 11; and
13. Fishery Stock Agreement - Special assistance in the implementation of the Fish Stocks
Agreement
Legal basis: Part VII on Requirements of Developing States, Art 26 a,b & f (Source:
http://bit.ly/1cFOekq)
Details: An Assistance Fund under Part VII was established by Resolution 58/14 at the 58th
Session of the UNGA in 2003 to assist developing States Parties in the implementation of the
Agreement. The FAO administers the Fund in collaboration with the Division for Ocean Affairs
and the Law of the Sea, Office of Legal Affairs of the United Nations, and invites States,
intergovernmental organizations, international financial institutions, national institutions, NGOs
as well as natural and juridical persons, to make voluntary financial contributions to the Fund.
Paragraph 14 of the Terms of Reference of the Fund provides that financial assistance from the
Fund can be sought for the following purposes:
a) Facilitating the participation of representatives from developing States Parties, in
particular the least-developed among them and Small Island developing States Parties to the
Agreement, in the meetings and activities of relevant regional and subregional fisheries
management organizations and arrangements. Such assistance may include such costs as travel
costs and, if appropriate, daily subsistence allowances for delegations participating in relevant
regional and subregional fisheries management organisations or arrangements, including
technical experts.
b) Assisting with travel costs, and if appropriate daily subsistence allowances, associated
with the participation of developing States Parties, in particular the least-developed among them
and small island developing States Parties to the Agreement, in relevant meetings concerning
high seas fisheries of relevant global organizations, such as the United Nations Development
Programme, the Food and Agriculture Organization and other specialised agencies, the Global
Environment Facility, the Commission on Sustainable Development and other appropriate
international and regional organizations and bodies. Applications for this purpose shall include
details of how the meeting in question relates to implementation of the Agreement.
f) Assisting developing States Parties to the Agreement, in particular the least-developed
among them and small island developing States, with human resources development, technical
training, and technical assistance in relation to conservation and management of straddling and
highly migratory fish stocks and development of fisheries for such stocks, consistent with the
duty to ensure the proper conservation and management of such stocks.
23
VII. Relevant product/ISMs combinations for Uganda
Product
Coffee
Tea
Fish
Vanilla
Cocoa
Floriculture
Leather products
Apple Bananas
Pineapples
Hot Pepper
SPS
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TBT
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

EIF
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








DFQF
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Fish stock
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