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ORGANIZATION OF AMERICAN STATES - TRADE UNIT

PROVISIONS ON STANDARDS AND CONFORMITY ASSESSMENT IN TRADE AND INTEGRATION ARRANGEMENTS OF THE WESTERN HEMISPHERE

SG/TU/WG.STBT/DOC.6/96/Rev.3
9 February 1998
Original: English
Limited Distribution


Part I

PROVISIONS ON STANDARDS AND TECHNICAL BARRIERS TO TRADE
IN SUBREGIONAL TRADE AND INTEGRATION ARRANGEMENTS


D. Mutual Recognition

WTO  
NAFTA Article 908.6: Each Party shall give sympathetic consideration to a request by another Party to negotiate agreements for the mutual recognition of the results of that other Party’s conformity assessment procedures.
Andean Community  
CACM  
Group of Three Articles 14-08.1 and 14-08.4, listed above under conformity assessment procedures, address the issue of mutual recognition.
MERCOSUR Resolution GMC 61/97: To make compatible the conformity assessment systems, structures, and activities, adjusting their procedures and ensuring mutual recognition in the region.

ALADI

Article 12. The signatory countries undertake to encourage participation by their official accreditation agencies in the Inter-American Accreditation Cooperation (IAAC), and to take part in drafting Multilateral Recognition Agreements (MRAs) in this forum with a view to achieving mutual recognition of their conformity assessment structures.
CARICOM  
CHILE & MERCOSUR Article 27: (...) The Parties also agree to undertake efforts in order to identify the product areas in which the compatibility of inspection, control and conformity evaluation procedures would be possible, and which would permit the mutual recognition of the results of such procedures. Progress in the area of Standards realized under MERCOSUR will be taken into account in the Chile and MERCOSUR agreement.
BOLIVIA & MERCOSUR Article 25: (... ) The Parties also agree to undertake efforts in order to identify the product areas in which the compatibility of inspection, control and conformity evaluation procedures would be possible, and which would permit the mutual recognition of the results of such procedures.

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III. RELATIONSHIP TO WTO TBT AGREEMENT

A. Reference to WTO TBT Disciplines

WTO  
NAFTA Article 903: Further to Article 103 (Relation to Other Agreements), the Parties affirm with respect to each other their existing rights and obligations relating to standards-related measures under the GATT Agreements on Technical Barriers to Trade and all other international agreements, including environmental and conservation agreements, to which those Parties are party.
Andean Community  
CACM  
Group of Three Article 14-04: The Parties mutually affirm their existing rights and obligations related to standards-related measures under the GATT and all other international agreements, including environmental and conservation agreements, to which those Parties are party.
MERCOSUR Resolution GMC 152/96 Item 4

General Guidelines

  • The preparation and review of technical regulations within Mercosur must be geared to eliminating technical barriers to intrazonal trade and to seeking integration of Mercosur into international trade, guaranteeing conditions of health, safety, environmental and consumer protection, and other conditions corresponding to the public sector.
  • In the process of preparing and reviewing technical regulations, Mercosur must use as a basis the general principles and guidelines established in the World Trade Organization Agreement on Technical Barriers to Trade particularly with respect to transparency, information, and notification.

In preparing and reviewing technical regulations, Mercosur, to the extent applicable, must consider the existence of international (ISO, etc.), Regional (COPANT, etc.), subregional (Mercosur standards, etc.) or national standards as well as internationally established technical regulations.

Requests for review or preparation of technical regulations of Mercosur, regardless of their origin, must be submitted to the GMC for approval.

_____________________________________

CHILE/MERCOSUR: Article 25 and BOLIVIA/MERCOSUR: Article 24

The Parties will attend the obligations contracted under the Technical Barriers to Trade Agreement of the WTO.

ALADI

Article 2. The signatory countries reaffirm their rights and obligations under the World Trade Organization (WTO) Agreement on Technical Barriers to Trade (TBT).
CARICOM  

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B. Provisions for National and/or MFN Treatment

WTO Article 2.1: Members shall ensure that in respect of technical regulations, products imported from the territory of any Member shall be accorded treatment no less favorable than that accorded to like products of national origin and to like products originating in any other country.

Article 5.1: Members shall ensure that, in cases where a positive assurance of conformity with technical regulation or standards is required, their central government bodies apply the following provisions to products originating in the territories of other Members:

  1. conformity assessment procedures are prepared, adopted and applied so as to grant access for suppliers of like products originating in the territories of other Members under conditions no less favorable than those accorded to suppliers of like products of national origin or originating in any other country, in a comparable situation; access entails suppliers' right to an assessment of conformity under the rules of procedure, including, when foreseen by this procedure, the possibility to have conformity assessment activities undertaken at the site of facilities and to receive the mark of the system; and
  2. conformity assessment procedures are not prepared, adopted or applied with a view to or with the effect of creating unnecessary obstacles to international trade. This means, inter alia, that conformity assessment procedures shall not be more strict or be applied more strictly than is necessary to give the importing Member adequate confidence that products conform with the applicable technical regulations or standards, taking account of the risks non-conformity would create.

Article 6.4: Members are encouraged to permit participation of conformity assessment bodies located in the territories of other Members in their conformity assessment procedures under conditions no less favorable than those accorded to bodies located within their territory or the territory of any other country.

NAFTA Article 904.3: Each Party shall, in respect of its standards-related measures, accord to goods and service providers of another Party:
  1. national treatment in accordance with Articles 301 (Market Access) and 1202 (Services); and
  2. treatment no less favorable than that it accords to like goods, or in like circumstances to service providers of any other country.
Andean Community Article 9: The Member Countries shall accord to those new products and services that originate from another Member Country, with respect to this Decision, treatment no less favorable than that conferred on similar products or services with national origin or from third countries (Decision 376).
CACM Article III.4: Goods originating in the territory of any of the Signatory States shall be accorded national treatment in all of them and shall be exempt from all quantitative or other restrictions or measures, except for such measures as may legally applicable in the territories of the Contracting States for reasons of health, security or police control.
Group of Three Article 14-05.3: With respect to its standards-related measures, each Party shall accord to goods and service providers of another Party national treatment and treatment no less favorable than that it accords to similar goods or to similar service providers of any other country.

Article 14-08.3: For the mutual benefit and in reciprocal fashion, each Party shall accredit, approve, grant licenses or recognition to conformity assessment bodies in the territory of another Party on terms no less favorable than accorded to those bodies in its own territory.

Article 14-04 (above) reaffirms the obligations of all members to respect GATT disciplines.

MERCOSUR Article 8: The States Parties undertake to abide by commitments made prior to the date of signing of this Treaty, including agreements signed in the framework of the Latin American Integration Association (ALADI), and to co-ordinate their positions in any external trade negotiations they may undertake during the transitional period. To that end
  1. They shall avoid affecting the interests of the States Parties in any trade negotiations they may conduct among themselves up to 31 December 1994;
  2. They shall avoid affecting the interests of the other States Parties or the aims of the common market in any agreements they may conclude with other countries members of the Latin American Integration Association during the transition period;
  3. They shall consult among themselves whenever negotiating comprehensive tariff reduction schemes for the formation of free trade areas with other countries members of the Latin American Integration Association;
  4. They shall extend automatically to the other States Parties any advantage, favor, exemption, immunity or privilege granted to a product originating in or destined for third countries which are not members of the Latin American Integration Association.

ALADI

 
CARICOM  

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C. Establishment of Enquiry Points

WTO Article 10.1: Each Member shall ensure that an enquiry point exists which is able to answer all reasonable enquiries from other Members and interested parties in other Members as well as to provide the relevant documents regarding:
  1. any technical regulations adopted or proposed within its territory by central or local government bodies, or by regional standardizing bodies of which such bodies are members or participants;
  2. any standards adopted or proposed within its territory by central or local government bodies, or by regional standardizing bodies are members or participants;
  3. any conformity assessment procedures, or proposed conformity assessment procedures, which are operated within its territory by central or local government bodies, or by non-governmental bodies which have legal power to enforce a technical regulation, or by regional bodies of which such bodies are members or participants;
  4. the membership and participation of the Member, or of relevant central or local government bodies within its territory, in international and regional standardizing bodies and conformity assessment systems, as well as in bilateral and multilateral arrangements within the scope of this Agreement; it shall also be able to provide reasonable information on the provisions of such systems and arrangements;
  5. the location of notices published pursuant to this Agreement, or the provision of information as to where such information can be obtained; and
  6. the location of the enquiry points mentioned in (3).

Article 10.2: If, however, for legal or administrative reasons more than one enquiry point is established by a Member, that Member shall provide to the other Members complete and unambiguous information on the scope of responsibility of each of these enquiry points. In addition, that Member shall ensure that any enquiries addressed to an incorrect enquiry point shall promptly be conveyed to the correct enquiry point.

Article 10.3: Each Member shall take such reasonable measures as may be available to it to ensure that one or more enquiry points exist which are able to answer all reasonable enquiries from other Members and interested parties in other Members as well as to provide the relevant documents or information as to where they can be obtained on questions pertaining to those set out in Article 10.1.

Article 10.4: Members shall take such reasonable measures as may be available to them to ensure that where copies of documents are requested by other Members or by interested parties in other Members, in accordance with the provisions of this Agreement, they are supplied at an equitable price (if any) which shall, apart from the real cost of delivery, be the same for the nationals of the Member concerned or of any other Member.

Article 10.5: Developed country Members shall, if requested by other Members, provide, in English, French or Spanish, translations of the documents covered by a specific notification or, in case of voluminous documents, of summaries of such documents.

See also Articles 10.6-10.11 under "Notification".

NAFTA Article 910.1: Each Party shall ensure that there is an inquiry point that is able to answer all reasonable inquiries from other Parties and interested persons, and to provide relevant documents regarding:
  1. any standards-related measure proposed, adopted or maintained in its territory at the federal, state or provincial government level;
  2. the membership and participation of the Party, or its relevant federal, state or provincial government authorities, in international and regional standardizing bodies and conformity assessment systems, and in bilateral and multilateral arrangements regarding standards-related measures, and the provisions of those systems and arrangements;
  3. the location of notices published pursuant to Article 909, or where the information can be obtained;
  4. the location of the inquiry points referred to in 910.3, and
  5. the Party's procedures for assessment of risk, and factors it considers in conducting the assessment and in establishing, pursuant to Article 904.2, the levels of protection that it considers appropriate.

Article 910.2: Where a Party designates more than one inquiry point, it shall:

  1. provide to the other Parties complete and unambiguous information on the scope of responsibility of each inquiry point; and
  2. ensure that any inquiry addressed to an incorrect inquiry point is promptly conveyed to the correct inquiry point.

Article 910.3: Each Party shall take such reasonable measures as may be available to it to ensure that there is at least one inquiry point that is able to answer all reasonable inquiries from other Parties and interested persons and to provide relevant documents or information as to where they can be obtained regarding:

  1. any standard or conformity assessment procedure proposed, adopted or maintained by non-governmental standardizing bodies in its territory; and
  2. the membership and participation of relevant non-governmental bodies in its territory in international and regional standardizing bodies and conformity assessment systems.

Article 910.4: Each Party shall ensure that where copies of documents are requested by another Party or by interested persons in accordance with this Chapter, they are supplied at the same, apart from the actual cost of delivery, as the price for domestic purchase.

Article 912: Nothing in this Chapter shall be construed to require a Party to:

  1. communicate, publish texts, or provide particulars or copies of documents other than in an official language of the Party; or
  2. furnish any information the disclosure of which would impede law enforcement or otherwise be contrary to the public interest, or would prejudice the legitimate commercial interests of particular enterprises.
Andean Community Article 35: The Center for Information and Registry is hereby created for standards, technical regulations, conformity assessment, concerns of the System and any other legal dispositions and information in general that is relevant to the objectives of the System. (Decision 376)
CACM  
Group of Three Article 14-10.1: Each Party will ensure that there is at least one enquiry point within its territory that is able to answer all questions and reasonable requests of another Party and interested persons and can provide relevant documentation regarding
  1. any standards-related measure proposed or adopted in its territory at the federal or central, state or department, or municipal government level;
  2. the participation and membership of the Party, and its relevant federal or central, state or department, or municipal authorities, in international or regional standardization bodies and conformity assessment systems, in bilateral or multilateral arrangements within the scope of application of this chapter, and in the provision of those systems and arrangements;
  3. the location of notices published pursuant to this chapter, or the place where the information can be obtained;
  4. the location of the enquiry points; and
  5. the Party's procedures for assessment of risk, the factors it takes into consideration when conducting the assessment and in establishing of the levels of protection that it considers adequate pursuant to Article 14-05.2.

Article 14-10.2: When a Party designates more than one enquiry point, it shall

  1. inform the other Parties of the scope of responsibilities of each enquiry point; and
  2. ensure that any enquiry sent to the wrong enquiry point be promptly forwarded to the current enquiry point.

Article 14-10.3: Each Party shall take such reasonable measures as may be available to it to ensure that at least one enquiry point exists within its territory that is capable of answering all questions and enquiries from another Party and interested persons and to provide relevant documentation or information as to where this documentation can be obtained regarding

  1. any standard or conformity assessment procedure proposed or adopted by non-government standardizing bodies in its territory; and
  2. the membership and participation in international and regional standardizing bodies and conformity assessment systems of relevant non-governmental bodies in its territory.

Article 14-10.4: Each Party shall ensure that when another Party or interested persons, in accordance with the provisions of this Chapter, request copies of documents referred to in paragraph 14-10.1, these documents are supplied at the same price as the price for domestic purchase, apart from the actual cost of delivery. Copies of technical regulations and required conformity assessment procedures shall be supplied free of charge.

MERCOSUR Resolution GMC 61/97

To propose procedures for organizing information relating to technical regulations, technical standards, and conformity assessment to permit the desired transparency in the intra-Mercosur and international notification process.

ALADI

Article 15. The signatory countries, with the participation of the General Secretariat, the collaboration of the Pan American Commission on Technical Standards (COPANT) and other regional agencies concerned shall make every effort to develop and integrate information systems on proposals for technical regulations, technical standards, and conformity assessment systems to permit their harmonization, to the extent possible, prior to approval or enactment of such proposals.

This systems shall be capable of responding in a timely manner to requests for:

  1. Technical Regulations,
  2. Technical Standards adopted,
  3. conformity assessment procedures in force.

When changes to Technical Regulations, Technical Standards, or Conformity Assessment Procedures are planned, the established WTO procedures for notification and consultation shall apply.

The terms of this article do not diminish the rights of signatory countries to approve, enact, or introduce a technical standard, technical regulation, or conformity assessment procedure to achieve a legitimate aim, in accordance with the WTO Agreement on Technical Barriers to Trade.

CARICOM  

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IV. USE OF INTERNATIONAL STANDARDS

WTO Article 2.4: Where technical regulations are required and relevant international standards exist or their completion is imminent, Members shall use them, or the relevant parts of them, as a basis for their technical regulations except when such international standards or relevant parts would be an ineffective or inappropriate means for the fulfilment of the legitimate objectives pursued, for instance because of fundamental climatic or geographical factors or fundamental technological problems.

Article 2.5: A Member preparing, adopting or applying a technical regulation which may have a significant effect on trade of other Members shall, upon the request of another Member, explain the justification for that technical regulation in terms of the provisions of paragraphs 2 to 4. Whenever a technical regulation is prepared, adopted or applied for one of the legitimate objectives explicitly mentioned in paragraph 2, and is in accordance with relevant international standards, it shall be refutably presumed not to create an unnecessary obstacle to international trade.

Article 2.6: With a view to harmonizing technical regulations on as wide a basis as possible, Members shall play a full part, within the limits of their resources, in the preparation by appropriate international standardizing bodies of international standards for products for which they either have adopted, or expect to adopt, technical regulations.

Article 5.4: In cases where a positive assurance is required that products conform with technical regulations or standards, and relevant guides or recommendations issued by international standardizing bodies exist or their completion is imminent, Members shall ensure that central government bodies use them, or the relevant parts of them, as a basis for their conformity assessment procedures, except where, as duly explained upon request, such guides or recommendations or relevant parts are inappropriate for the Members concerned, for, inter alia, such reasons as:

national security requirements; the prevention of deceptive practices; protection of human health or safety, animal or plant life or health, or the environment; fundamental climatic or other geographical factors; fundamental technological or infrastructural problems.

Article 5.5: With a view to harmonizing conformity assessment procedures on as wide a basis as possible, Members shall play a full part, within the limits of their resources, in the preparation by appropriate international standardizing bodies of guides and recommendations for conformity assessment procedures.

Article 9.1: Where a positive assurance of conformity with a technical regulation or standard is required, Members shall, wherever practicable, formulate and adopt international systems for conformity assessment and become members thereof or participate therein.

Article 9.2: Members shall take such reasonable measures as may be available to them to ensure that international and regional systems for conformity assessment in which relevant bodies within their territories are members or participants comply with the provisions of Articles 5 and 6. In addition, Members shall not take any measures which have the effect of, directly or indirectly, requiring or encouraging such systems to act in a manner inconsistent with any of the provisions of Articles 5 and 6.

Article 9.3: Members shall ensure that their central government bodies rely on international or regional conformity assessment systems only to the extent that these systems comply with the provisions of Arts. 5 and 6, as applicable.

NAFTA Article 905.1: Each Party shall use, as a basis for its standards-related measures, relevant international standards or international standards whose completion is imminent, except where such standards would be an ineffective or inappropriate means to fulfill its legitimate objectives, for example because of fundamental climatic, geographical, technological or infrastructural factors, scientific justification or the level of protection that the Party considers appropriate.

Article 905.2: A Party’s standards-related measure that conforms to an international standard shall be presumed to be consistent with Article 904.3 (Non-Discriminatory Treatment) and 904.4 (Unnecessary Obstacles).

Article 905.3: Nothing in paragraph 905.1 shall be construed to prevent a Party, in pursuing its legitimate objectives, from adopting, maintaining or applying any standards-related measure that results in a higher level of protection than would be achieved if the measure were based on the relevant international standard.

Article 906.2: Without reducing the level of safety or of protection of human, animal or plant life or health, the environment or consumers, without prejudice to the rights of any Party under this Chapter, and taking into account international standardization activities, the Parties shall, to the greatest extent practicable, make compatible their respective standards-related measures, so as to facilitate trade in a good or service between Parties.

Andean Community Article 12: The Member Countries shall use as a reference, in their process of adoption of standards, international, regional, or national standards from other countries. Without interfering with the above, Member Countries may elaborate standards of national interest.

Article 32: The Member Countries shall adopt the International System of Units as the official units of measure for the Andean subregion. In coordination with the Board, the Member Countries shall sponsor activities for the dissemination and full application of this system in all sectors of activity, public and private (Decision 376).

CACM  
Group of Three Article 14-06.1: Each Party shall use, as a basis for its standards-related measures, relevant international standards or international standards whose completion is imminent, except where such standards would not be an effective or adequate means to fulfill its legitimate objectives; for example, because of fundamental climatic, geographical, technological or infrastructural factors, in accordance with that already established in this chapter.

Article 14-06.2: A Party's standards-related measures that conform to an international standard shall be presumed to be consistent with Article 14-05, paragraphs 1 and 3.

Article 14-06.3: In pursuing its legitimate objectives, each Party shall be allowed to adopt, maintain or apply any standards-related measure that results in a higher level of protection than would have been achieved if the measure were based on the relevant international standard because of fundamental climatic, geographical, technological or infrastructural factors, among others.

MERCOSUR Resolution GMC 152/96: Item 4.3

ALADI

Article 20. The signatory countries undertake to structure a conceptual framework for technical regulation and standardization as well as conformity assessment, on the basis of international developments and existing subregional initiatives to provide a common ground for understanding that makes viable the harmonization required for promoting regional trade, in accordance with the objectives of the Association.
CARICOM  

Continue to: V. ADMINISTRATIVE STRUCTURES


 
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