1. International legal framework: Obligations and responsibilities under the IPPC
The IPPC Secretariat
With the financial support of the STDF project 401
Phytosanitary Capacity Evaluation (PCE) facilitators training

2. International regulatory framework for phytosanitary protection
SPS
ISPM
The main international obligations for states with regard to the protection of plants and the natural environment from the negative effects of pests derive from the WTO SPS Agreement and the IPPC.
The SPS Agreement aims to facilitate trade by preventing the use of sanitary and phytosanitary measures as disguised barriers to international trade. WTO members can apply phytosanitary measures to protect their desired level of phytosanitary protection as long as these measures are applied only to the extent necessary to protect plant and environmental health, and comply with a number of principles which will be explain in detail. The SPS Agreement refers to the standards approved in the framework of the IPPC as international reference standards for plant protection.
Together with the SPS Agreement and the IPPC, the Convention on Biological Diversity (CBD) is also relevant for the trade of plants and plant products. The CBD imposes obligations on member states with regard to invasive alien species. Article 8(h) of the CBD requires each contracting party to “prevent the introduction of, control or eradicate those alien species which threaten ecosystems, habitats or species.” Since most invasive species can be categorized as plant pests, the CBD reinforces governments’ responsibility to address these threats under phytosanitary legislation.

3. International Plant Protection Convention (IPPC)
Approved in 1951 (based on an earlier Convention of 1929). Revised in 1997 to align the text with the SPS Agreement.
It is an international agreement, binding to parties.
Obligations under the IPPC are consistent and complementary to the WTO-SPS Agreement.
The IPPC embraces the principles of sovereignty, tempered by the principles of necessity, proportionality and minimum impact, cooperation among countries and non-discrimination.
The IPPC was adopted in 1951 and revised twice, in 1979 and in The 1997 text (the “New Revised Text”) came into force in October The IPPC is a multilateral treaty whose main purpose is to secure “common and effective action to prevent the spread and introduction of pests of plants and plant products and to promote appropriate measures for their control”. The New Revised Text reflects the role of the IPPC as recognized by the SPS Agreement, which, as noted above, identifies the IPPC as the organization responsible for international phytosanitary standard-setting and promotes the harmonization of phytosanitary measures to facilitate trade.
The IPPC introduces a number of principles, some of which must be reflected in national legislation, such as the principle of state sovereignty, which recognized the right of countries to use phytosanitary measures, including emergency measures to protect from pests. This principle is tempered by other principles such as the principle of necessity, which require countries to adopt restrictive measures only when they are necessary for phytosanitary protection, proportionality and minimum impact, which requires restrictive measures to have the least possible impact on international trade. Other important principles are cooperation among countries to prevent the introduction and spread of pests, non-discrimination between countries with the same phytosanitary status and, in the case of regulated pests within a country, that measures should be applied without discrimination between domestic and imported consignments.

4. The SPS makes provision for phytosanitary protection in a trade agreement... The IPPC makes complementary provision for trade in a protection agreement.

5. Purpose and objectives (Preamble and article 1)
Objective: to foster international cooperation in controlling the spread of plant pests.
Phytosanitary measures should be technically justified, transparent and not applied in such a way as to constitute an arbitrary or disguised restriction to trade.
Contracting parties undertake to adopt the legislative, technical and administrative measures specified in this Convention and in supplementary agreements.

6. So….
What does this mean?
Do countries have (necessarily) to adopt new legislation when they become contracting parties?

7. Discussion: Scope (Article I (4))
What should be the scope of the Convention in order to prevent the entry and spread of plant pests?
(a) Only plants?
(b) also plant products?. Which type of plant products? (raw, processed…)
(c) other products? Which type of products?
(d) which type of activities? Only trade?
Discuss with the person next to you for 2 minutes and provide your feedback

8. Scope (Article I (4))
Where appropriate, the provisions of the Convention may be deemed by contracting parties to extend, in addition to plant and plant products, to storage places, packaging conveyances, containers, soil and any other organism, object or material capable of harboring or spreading plant pests, particularly when international transportation is involved.

9. Discussion: Scope (Article I (4))
So, would the IPPC apply to the internal movement of grain for feed?
And what about the trade of packaged seeds between neighbor countries?
And to handicraft? What about the trade of processed T-shirts made of cotton?
Discuss with the person next to you for 2 minutes and provide your feedback

10. Article II. Use of terms
It is important that all countries have a common understanding of some key terms relevant for plant protection (plant, pest, quarantine, PRA, etc.).
Some of these terms are further clarified in ISPM 5!!

11. Article III.
Nothing in this Convention shall affect the rights and obligations of the contracting parties under relevant international agreements
Which are these Agreements?
Which are these rights and obligations?

12. Discussion: Functions of national plant protection organizations (art
Discussion: Functions of national plant protection organizations (art. IV)
Each contracting party shall:
Make provision, to the best of its ability, for an official national plant protection organization, with the main responsibilities set out in this Article
What would this mean?
Does this mean that all countries must have an “independent” organization?
Could a country have different NPPOs for different territories?
Among the obligations included in the IPPC, by virtue of Article IV contracting parties are requested to designate a national entity as National Plant Protection Organization (NPPO) and to give this organization the legal mandate necessary to undertake a number of functions, including surveillance on growing plants, plant products and regulated articles; the issuance of phytosanitary certificates and assurance of the phytosanitary security of consignments after certification, the approval of import requirements and conduction of pest risk analysis, inspection and, when necessary, disinfestation of consignments in international trade, and the share of phytosanitary information with the IPPC and with other contracting parties.

13. Functions of national plant protection organizations (art. IV)
The NPPO should have the following responsibilities:
the issuance of certificates relating to the phytosanitary regulations of the importing contracting party for consignments of plants, plant products and other regulated articles;
the surveillance of growing plants, including both areas under cultivation (inter alia fields, plantations, nurseries, gardens, greenhouses and laboratories) and wild flora, and of plants and plant products in storage or in transportation, particularly with the object of reporting the occurrence, outbreak and spread of pests, and of controlling those pests, including the reporting referred to under Article VIII paragraph 1(a);
the inspection of consignments of plants and plant products moving in international traffic and, where appropriate, the inspection of other regulated articles, particularly with the object of preventing the introduction and/or spread of pests;
Phyto certificates
b) Internal surveillance (with a broad scope!!)
c) Inspections in international trade
Among the obligations included in the IPPC, by virtue of Article IV contracting parties are requested to designate a national entity as National Plant Protection Organization (NPPO) and to give this organization the legal mandate necessary to undertake a number of functions, including surveillance on growing plants, plant products and regulated articles; the issuance of phytosanitary certificates and assurance of the phytosanitary security of consignments after certification, the approval of import requirements and conduction of pest risk analysis, inspection and, when necessary, disinfestation of consignments in international trade, and the share of phytosanitary information with the IPPC and with other contracting parties.

14. Functions of national plant protection organizations (art. IV)
Phytosanitary action at the border
Designation of areas as free areas, areas of low pest prevalence and infected areas and phytosanitary action in these areas
PRA
Maintain phyto status of certified consignments up to delivery
Support the development of national phytosanitary capacities
The NPPO should have the following responsibilities:
the disinfestation or disinfection of consignments of plants, plant products and other regulated articles moving in international traffic, to meet phytosanitary requirements;
the protection of endangered areas and the designation, maintenance and surveillance of pest free areas and areas of low pest prevalence;
the conduct of pest risk analyses;
to ensure through appropriate procedures that the phytosanitary security of consignments after certification regarding composition, substitution and reinfestation is maintained prior to export; and
training and development of staff.
Among the obligations included in the IPPC, by virtue of Article IV contracting parties are requested to designate a national entity as National Plant Protection Organization (NPPO) and to give this organization the legal mandate necessary to undertake a number of functions, including surveillance on growing plants, plant products and regulated articles; the issuance of phytosanitary certificates and assurance of the phytosanitary security of consignments after certification, the approval of import requirements and conduction of pest risk analysis, inspection and, when necessary, disinfestation of consignments in international trade, and the share of phytosanitary information with the IPPC and with other contracting parties.

15. Phytosanitary certification (art. V)
Official document that guarantees the phytosanitary status of the consignment to export.
The NPPO is responsible to issue Phytosanitary Certificates:
On the basis of inspection under the authority of the NPPO
Signed by a public officer (technically qualified and duly authorized by the NPPO)
Certificates, or their electronic equivalent, shall be in conformity with the IPPC model
Taking into account international standards (ISPM 7 Phytosanitary Certification System)
Any requirement for additional declarations shall be technically justified
The NPPO should verify that all exported plant, plant products and regulated articles comply with the import requirements of the country of destination and, to this purpose, they issue a phytosanitary certificate following the model approved by the IPPC. Phytosanitary certificates are official documents and must be signed by a public officer.

16. Regulated pests (art. VI)
Contracting parties may require phytosanitary measures for quarantine pests and regulated non-quarantine pests in compliance with the principles of:
Non discrimination
no more stringent than measures applied to the same pests, if present within the territory of the importing contacting party, and
Proportionality and Technical Justification
b) limited to what is necessary to protect plant health and/or safeguard the intended use and can be technically justified by the contracting party concerned.
Article VI on regulated pests recognizes the right of contracting parties to require phytosanitary measures for regulated pests (quarantine and non-quarantine pests), as long as these measures are not more stringent than the measures applied to the same pests if present within the territory of the importing contracting party (principle of non-discrimination) and they are limited to what is necessary to protect plant health and/or safeguard the intended use and can be technically justified by the contracting party concerned (principles of non-discrimination and technical justification).

17. Import requirements (art. VII)
Contracting parties have sovereign authority to:
regulate the entry of plants, plant products, and regulated articles, with the aim of preventing the introduction and/or spread of pests.
prescribe and enforce phytosanitary measures (inspection, restrictions to importation, treatment, destruction) for consignments for import or in transit.
prohibit or restrict the movement of regulated pests, biological control agents and other organisms of phytosanitary concern into their territories, on the basis of:
phytosanitary considerations
pest risk analysis
technical justification
notification (transparency)
Main Reference: ISPM 20 – Import regulatory system.
Import requirements are regulated in Article VII, which recognizes the sovereign right of contracting parties to regulate the entry of plant, plant products and regulated items, including prohibition of restriction of regulated pests and biological control agents. These measures must be based on phytosanitary considerations, pest risk analysis, sufficient technical justification and be notified.

18. Import requirements (art. VII)
Requirements of the phytosanitary measures:
Necessary and technically justified (a); not more strict than necessary, resulting in the minimum impediment to international trade and movement (g) and modified when the situation changes (h)
Notified to other parties upon adoption/publication (transparency)
Based on Pest Risk Analysis
Countries must report cases of non-compliance to the exporting country
Main Reference: ISPM 20 – Import regulatory system.
Import requirements are regulated in Article VII, which recognizes the sovereign right of contracting parties to regulate the entry of plant, plant products and regulated items, including prohibition of restriction of regulated pests and biological control agents. These measures must be based on phytosanitary considerations, pest risk analysis, sufficient technical justification and be notified.

19. Import requirements (art. VII)
Other obligations and functions of the NPPO under art. VII:
Approve list of ports of entry for products requiring a Phytosanitary Certificate (PC)
Establish and update a list of regulated pests and make it available to the IPPC Secretariat, the regional organization and, upon request, other contracting parties.
Approve a list of pests which are not regulated pests but that could cause economic damage (pests of potential economic damage)
Conduct surveillance, develop and maintain information on pest risk status
Regulate exceptions to import & transit restrictions for research, education or other purposes
Import requirements are regulated in Article VII, which recognizes the sovereign right of contracting parties to regulate the entry of plant, plant products and regulated items, including prohibition of restriction of regulated pests and biological control agents. These measures must be based on phytosanitary considerations, pest risk analysis, sufficient technical justification and be notified.

20. Exercise: Import requirements (art. VII)
Work on groups of 2/3 persons. Go to pages 26 to 28 of ISPM 5 and respond to the following questions:
What is a pest of economic importance?
What are the criteria used to determine as pest as a pest of economic importance?
How does the IPPC take into consideration environmental considerations?
Import requirements are regulated in Article VII, which recognizes the sovereign right of contracting parties to regulate the entry of plant, plant products and regulated items, including prohibition of restriction of regulated pests and biological control agents. These measures must be based on phytosanitary considerations, pest risk analysis, sufficient technical justification and be notified.

21. Import requirements (art. VII)
Emergency action
“Nothing in this Article shall prevent any contracting party from taking appropriate emergency action on the detection of a pest posing a potential threat to its territories or the report of such a detection”.
Requirements for emergency action:
Be evaluated as soon as possible to justify continuance.
Report the measure to the parties concerned.
Import requirements are regulated in Article VII, which recognizes the sovereign right of contracting parties to regulate the entry of plant, plant products and regulated items, including prohibition of restriction of regulated pests and biological control agents. These measures must be based on phytosanitary considerations, pest risk analysis, sufficient technical justification and be notified.

22. International Cooperation (art. VIII)
1) Contracting parties shall:
cooperate in the exchange of information, including reporting of the occurrence, outbreak or spread of pests that may be of immediate or potential danger;
participate, in so far as is practicable, in any special campaigns for combatting pests; and
cooperate, to the extent practicable, in providing technical and biological information necessary for pest risk analysis.
2) Each contracting party shall designate a contact point for the exchange of information.
The IPPC further recognizes the duty of contracting parties to cooperate by exchanging information on phytosanitary threats and by providing technical and biological support and participating in campaigns to combat pests that need action at the international level.

23. Regional plant protection organizations (Art. IX)
Contracting parties can cooperate in establishing regional plant protection organizations to function as coordinating bodies for achieving the objectives of the Convention.
Regional organizations shall cooperate with the Secretary and the Commission in the development of standards.
The IPPC further recognizes the duty of contracting parties to cooperate by exchanging information on phytosanitary threats and by providing technical and biological support and participating in campaigns to combat pests that need action at the international level.

24. International Standards for Phytosanitary Measures (ISPMs) (art. X)
WTO members are required to base their phytosanitary measures on reference international standards (IPPC standards (ISPMs) are mentioned in Annex A of the SPS Agreement).
ISPMs are presumed to be consistent with the SPS Agreement.
Parties to the IPPC agree to cooperate in the development of international standards and to take them into account, as appropriate when undertaking activities related to the Convention (art. X).
Contracting parties should also cooperate in the development and implementation of International Standards for Phytosanitary Measures (ISPMs) to be approved by the Commission on Phytosanitary Measures (Article X). As we mentioned, the IPSMs are recognized by the SPS agreement as the international reference standards for plant protection, and contracting parties find in Article X of the IPPC a new responsibility for implementing ISPMs.

25. Governance The Secretary to be appointed by the DG FAO.
Art. XI: Commission on Phytosanitary measures, established within the framework of FAO to promote the implementation of the Convention.
Art. XII: Secretariat
The Secretary to be appointed by the DG FAO.
Among its functions, the dissemination of standards, lists of points of entry, lists of regulated pests, information of phytosanitary requirements, restrictions and prohibitions.

26. Other provisions Dispute Settlement (Art.XIII)
consultations between parties.
should this fail, request to the Director General to appoint a Committee of experts.
the Committee shall be composed by representatives from each concerned party and consider the question in dispute. The report shall be sent to the DG FAO and may also be sent to the international organization responsible for trade disputes.
the recommendations, while not binding in character, will become the basis for renewed considerations by the contracting parties.

27. Discussion: International Standards for Phytosanitary Measures (ISPMs)
In view of the SPS Agreement and article X.4 of the IPPC, are IPPC standards (ISPM) binding?
What would happen if a country deviates from an ISPM?

28. International Standards for Phytosanitary Measures (ISPMs)
Not legally binding (standards).
WTO members are required to base their phytosanitary measures on reference international standards and mentions the IPPC standards (ISPMs) in Annex A of the SPS Agreement.
ISPMs are presumed to be consistent with relevant provisions of the SPS Agreement.
Alternative measures are to be based on assessment of risk to plant health and scientific principles.

29. International Standards for Phytosanitary Measures (ISPMs)
TYPES OF ISPMs:
Reference Standards
Glossary of Phytosanitary Terms (ISPM 5)
Concept Standards
Guidelines for Pest Risk Analysis (ISPM 2)
Specific Standards
Thrips palmi Karny (ISPM 27- Annex 01)

30. Obligations resulting from ISPMs relevant for the regulatory framework
General principles (ISPM 1)
Clarification of concepts (ISPM 5)
Certification (ISPM 1, 7, 32)
Reporting duties (ISPM 8,13, 16, 17)

31. ISPM 1 - Basic principles
Aim: reduce or eliminate use of unjustifiable phytosanitary measures as barriers to trade
Sovereignty
Necessity
Managed risk
Minimal impact
Transparency
Harmonization
Non-discrimination
Technical justification
Cooperation
Equivalence
Discussion:
To which extent these principles are aligned with the SPS Agreement?
Is there some difference in scope?

32. ISPM 5: Clarification of concepts
ISPM 5: Definitions
Phytosanitary measure, regulated product, emergency measure, official control, pest, quarantine pest, non-regulated quarantine pest, technically justified
Group Exercise
In groups, verify in ISPM 5 the concept of
“Potential economic importance”
Invasive Alien Species (in CBD and the IPPC)

33. ISPM 5: Clarification of concepts
ISPM 16: Regulated non-quarantine pests: concept and application
Definition of regulated non-quarantine pest versus definition of quarantine pest

34. Phytosanitary certification ISPM 7 Phytosanitary certification System ISPM 12 revised version 2011
Issuance of the phytosanitary certificates for export and re-export
What for?
To attest that consignments meet phytosanitary import requirements
Only for regulated articles
Who?
NPPO should have the legal authority
Only public officer can issue certificates
How?
electronic, paper
Validity?
Original, certified copy, electronic version
NPPO
Other
Record keeping
Communication/notification requirements

35. Import Regulatory System, ISPM 20
Elements of an import regulatory system:
A regulatory framework and an official service
Elements of the legal framework
Authority to carry out the duties, phytosanitary measures;
Action to be taken when incidents of non-compliance or requiring emergency action are detected.
Details the responsibilities of the NPPO in art. IV.2
Surveillance, inspection, disinfestation, PRA, training.
Others
Administration, audit, conformity assessment – at import points -, import authorization - general or specific -, regulatory development
Legal authority (powers of inspectors)
enter premises, inspect or test consignment, take samples, detain consignments, treat or require treatment, refuse the entry of consignments; take emergency action; set and collect fees/penalties

36. Reporting duties (ex. ISPM 8, 13, 16 and 17)
ISPM 8: Determination of pest status in an area
NPPOs have responsibility to provide accurate information on pest records upon request.
ISPM 13: Notification of non-compliance and emergency action
Notifications from importing country to the exporting country, to identify significant failures or to report emergency action .

37. Reporting duties (ex. ISPM 8, 13, 16 AND 17)
ISPM 8: Determination of pest status in an area
NPPOs have responsibility to provide accurate information on pest records upon request:
Based on the most reliable and timely information available.
Inform the NPPO of trading partners as soon as possible, and their Regional Plant Protection Organization (RPPO) where appropriate, of relevant changes in pest status and especially reports of newly established pests.
Report interceptions of regulated pests exchange pest status information in conformity with Articles VII (2j) and VIII (1a and 1c) of the IPPC to the extent practicable, and in a medium and language acceptable to both parties.

38. Reporting duties (ex. ISPM 8, 13, 16 AND 17)
ISPM 13: Notification of non-compliance and emergency action
Notifications
From importing country to the exporting country.
To identify significant failures or to report emergency action.
Can voluntary be used for other purposes.
Intended to help in investigating the cause of the non-compliance.

39. Reporting duties (ex. ISPM 8, 13, 16 AND 17)
ISPM 13: Notification of non-compliance and emergency action
Emergency action -on the detection in an imported consignment of:
regulated pests not listed as associated with the commodity from the exporting country
organisms posing a potential phytosanitary threat.

40. Thank you very much Legal Officers -FAO Development Law Service
Carmen Bullon -
Lalaina Ravelomanantsoa –
Legal Officers -FAO Development Law Service
FAO Legal Office