Article contents
Science in the Process of Risk Regulation under the WTO Agreement on Sanitary and Phytosanitary Measures
Published online by Cambridge University Press: 06 March 2019
Abstract
This article attempts to present a comprehensive and coherent picture of the position occupied by science under the SPS Agreement and in the SPS case law. It claims that the approach adopted by the Appellate Body reflects the explicit language of the SPS Agreement and is predominantly based on a technical paradigm. In consequence, science plays a critical role in distinguishing between legal and illegal SPS measures.
The article argues that such an approach is generally compatible with the text of the SPS Agreement and provides a coherent SPS system. However, it also identifies certain areas, which lack coherence, as certain standards seem to violate the right of the Member States to establish an appropriate level of protection. These are: ascertainability of the risk as a precondition for valid risk assessment; strict specifity of the risk assessment in low-risk situations; the proportionality between the risk identified and the SPS measure; the notion of negligible risks; and the concept of likelihood in the quarantine risk assessments. The article claims that these standards cannot be generally applied in SPS disputes as, in certain situations, they will result in the violation of the right of the Member States to establish an appropriate level of SPS protection. Finally, a number of specific issues, which require resolution, are highlighted, namely the quality of minority scientific opinions, the relationship between the insufficiency of scientific evidence and scientific uncertainty. The article suggests that the ultimate role ascribed to science under the SPS Agreement can be assessed only after an interpretation of those issues is provided by future case law.
- Type
- Articles
- Information
- Copyright
- Copyright © 2006 by German Law Journal GbR
References
1 For an extensive discussion on the relationship between trade liberalization, economic growth and poverty reduction, see Peter Van den Bossche, The Law and Policy of the World Trade Organization. Text Cases and Materials 11-19 (Cambridge University Press 2005).Google Scholar
2 The operation of the Standard Code adopted during the Tokyo Round is generally perceived as a failure, see e.g. David Victor, The Sanitary and Phytosanitary Agreement of the WTO: An Assessment after five Years, 32 N.Y.U.J. Int'l L. & Pol. 865, 874 (2000).Google Scholar
3 Agreement on Sanitary and Phytosanitary Measures, 15 April 1994, Marrakesh Agreement Establishing the World Trade Organization, Annex 1A, available at http://www.wto.org [hereinafter SPS Agreement].Google Scholar
4 The SPS Agreement applies to measures, which may, directly or indirectly, affect international trade, intended for the protection, within the territory of the importing Member State, of the life and health of people, animals, and plants from certain specified SPS risks.Google Scholar
5 Appellate Body Report, European Communities – Measures Concerning Meat and Meat Products, WT/DS26/AB/R, WT/DS48/AB/R (adopted 13 February 1998) [hereinafter EC-Hormones], footnote 172, referring to the ordinary meaning of the word “scientific.”Google Scholar
6 Panel Report, Japan – Measures Affecting the Importation of Apples, WT/DS245/R (adopted 10 December 2003) [hereinafter Panel Japan-Apples], para. 8.92.Google Scholar
7 Jacqueline Peel, Risk Regulation under the WTO SPS Agreement: Science as an International Normative Yardstick? (Jean Monnet, Working Paper 2002/04) footnote 213.Google Scholar
8 Appellate Body Report, Japan–Measures Affecting Agriculture Products, WT/DS76/AB/R, (adopted 19 March 1999) [hereinafter Japan-Agriculture Products], para. 73-74.Google Scholar
9 Id.Google Scholar
10 Appellate Body Report, Japan – Measures Affecting the Importation of Apples, WT/DS245/AB/R (adopted 10 December 2003) [hereinafter Japan-Apples], para. 164.Google Scholar
11 Japan-Agriculture Products supra note 8, para. 84.Google Scholar
12 Japan-Apples supra note 10, para. 164.Google Scholar
13 EC-Hormones supra note 5, para. 124.Google Scholar
14 Id., para. 180.Google Scholar
15 Japan-Agriculture Products supra note 8, para. 82.Google Scholar
16 Panel Report, Australia – Measures Affecting Importing of Salmon, WT/DS18/R (adopted 6 November 1998) [hereinafter Panel Australia-Salmon], para. 8.52.Google Scholar
17 Appellate Body Report, Australia – Measures Affecting Importing of Salmon, WT/DS18/AB/R (adopted 6 November 1998) [hereinafter Australia-Salmon], para. 137.Google Scholar
18 Japan-Agriculture Products supra note 8, para. 250.Google Scholar
19 See review of the panel analysis by the Appellate Body in Japan-Apples supra note 10, para. 164.Google Scholar
20 SPS Agreement, supra note 3, Article 3.3.Google Scholar
21 The appellant's (EC) submission in the EC-Hormones case, para. 88.Google Scholar
22 EC-Hormones supra note 5, para. 176.Google Scholar
23 Id., para. 175.Google Scholar
24 Japan–Agriculture Products supra note 8, para. 79.Google Scholar
25 See Appellate Body Report, United States – Standards for Reformulated and Conventional Gasoline, WT/DS2/AB/R (adopted 20 May 1996) para. 23.Google Scholar
26 The Presidential/Congressional Commission on Risk Assessment and Risk Management 1 Framework for Environmental, Health Risk Management 1 (1997).Google Scholar
27 Leiss, William, Three Phases in the Evolution of Risk Communication Practice, 545 Annals 85, 86 (1996).Google Scholar
28 Panel Report, EC - Measures Concerning Meat and Meat Products (Hormones) complaint by the United States, WT/DS26/R/USA (adopted 13 February 1998) [hereinafter Panel EC-Hormones (US)], para. 8.94.Google Scholar
29 Id.Google Scholar
30 Id., para. 8.160.Google Scholar
31 EC-Hormones supra note 5, para. 181.Google Scholar
32 Peel supra note 7, at 66; similarly Robert Howse, Democracy, Science and Free Trade - Risk Regulation on Trial at the WTO, 98 Mich. L. Rev. 2329, 2343 (1999-2000).Google Scholar
33 SPS Agreement supra note 3, Annex A, para. 4.Google Scholar
34 Id.Google Scholar
35 Australia-Salmon supra note 17, para. 12.Google Scholar
36 Id.Google Scholar
37 Panel Japan-Apples supra note 6, para. 8.283; that finding was subsequently upheld by the AB.Google Scholar
38 Panel EC-Hormones supra note 28, para. 8.98; although, the AB said that the “utility of a two-step analysis may be debated” it also admitted that “it does not appear … to be substantially wrong,” see EC-Hormones supra note 5, para. 184.Google Scholar
39 SPS Agreement supra note 3, Article 5.2.Google Scholar
40 EC-Hormones supra note 5, para. 187.Google Scholar
41 SPS Agreement supra note 3, Article 5.3Google Scholar
42 Australia-Salmon supra note 17, footnote 70.Google Scholar
43 The AB said in a different case that the ordinary meaning of “potential” relates to “possibility”; see EC-Hormones supra note 5, para. 184.Google Scholar
44 Australia-Salmon supra note 17, para. 123.Google Scholar
45 Id.Google Scholar
46 EC-Hormones supra note 5, para. 186; Australia-Salmon supra note 17, para. 124.Google Scholar
47 David R. Hurst, Hormones: European Communities – Measures Affecting Meat and Meat, 11 (available at http://www.ejil.org/journal/Vol9/No1/sr1g.rtf last visited 25 May 2005); see, however, discussion in the Section B.III.2.c) of this article.Google Scholar
48 EC-Hormones supra note 5, para. 186.Google Scholar
49 Japan-Apples supra note 10, para. 241.Google Scholar
50 A way out from this inconsistency is to simply disregard the distinction made by the AB between “potential” and “likelihood” and apply uniform standard of “potential” to both categories of risk assessment.Google Scholar
51 EC-Hormones supra note 5, para. 187.Google Scholar
52 Id.Google Scholar
53 Id.Google Scholar
54 Warren H. Maruyama, A New Pillar of the WTO: Sound Science, 32 Int'l Lawyer 651, 673 (1998).Google Scholar
55 Neugebauer, Regine, Fine-Tuning WTO Jurisprudence and the SPS Agreement: Lessons from the Beef Hormone Case, 31 Law & Pol'y Int'l Bus. 1255, 1267 (2000).Google Scholar
56 Bloche, M. Gregg, WTO Deference to National Health Policy: Toward and Interpretative Principle, 5 (4) J. Int'l Econ. L. 825, 836 (2002).Google Scholar
57 The AB upheld this finding.Google Scholar
58 Japan-Apples supra note 10, para. 200.Google Scholar
59 Neugebauer supra note 55, at 1267.Google Scholar
60 Sykes, Alan O., Domestic Regulation, Sovereignty and Scientific Evidence Requirements: A Pessimistic View, 3 Chi. J. Int'l L. 353, 356, at 364-65 (2002).Google Scholar
61 EC-Hormones supra note 5, para. 198.Google Scholar
62 According to the AB, a member state is not obliged to conduct its own risk assessment; an assessment may be carried out by another country or international organization and only used by the particular member; see EC-Hormones supra note 5, para. 190.Google Scholar
63 Id., para. 189.Google Scholar
64 Id.Google Scholar
65 Id., para. 192.Google Scholar
66 Id., para. 194; see also Japan–Agriculture Products supra note 8, para. 79 where the AB characterized in a similar way the relationship existing between the scientific information and the SPS measure under Article 3.3 of the SPS Agreement.Google Scholar
67 Panel Australia-Salmon supra note 16, para. 8.98.Google Scholar
68 For a more detailed discussion, see Section B.I. of this article.Google Scholar
69 See Section B.V. for the discussion on the implication of those findings for the right of a Member State to adopt an appropriate level of protection.Google Scholar
70 Hurst supra note 47, at 16; same Bloche supra note 56, at 837.Google Scholar
71 Thomas, Ryan D., Where's the Beef? Mad Cows and the Blight of the SPS Agreement, 32 Vand. J. Transnat'l L. 487, 507 (1999).Google Scholar
72 Scott, Joanne, European Regulation of GMOs: Thinking about ‘Judicial Review’ in the WTO 20 (Jean Monnet, Working Paper 4/04).Google Scholar
73 EC-Hormones supra note 5, para. 194.Google Scholar
74 Id.Google Scholar
75 Id., para. 198, rejecting the opinion of Dr. Lucier.Google Scholar
76 Bloche supra note 56, at 83.Google Scholar
77 McNiel, Dale E., The First Case Under the WTO's Sanitary and Phytosanitary Agreement: The European Union's Hormone Ban, 39 Va. J. Int'l L 89, 125, at 119 (1998).Google Scholar
78 Hurst supra note 47, at 12 basing his argument on the AB statement that by itself reliance on a minority viewpoint does not necessary signal the absence of reasonable relationship.Google Scholar
79 Peel supra note 7, at 71.Google Scholar
80 Sykes supra note 60, at 366.Google Scholar
81 Japan-Agriculture Products supra note 8, para. 80.Google Scholar
82 Panel Report, Japan – Measures Affecting Agriculture Products, WT/DS76/R (adopted 19 March 1999), paras. 4.187, 8.48.Google Scholar
83 Id., para. 8.58, the panel particularly said that “we consider, therefore, that the United States has established a presumption that Japan did not comply with the requirements in the second sentence of Article 5.7. We also consider that Japan has not been able to rebut this presumption.”Google Scholar
84 Japan-Apples supra note 10, para. 175.Google Scholar
85 See Japan-Agriculture Products supra note 8, para. 89; Japan-Apples supra note 10, para. 176.Google Scholar
86 Japan-Apples supra note 10, para. 179.Google Scholar
87 Id., para. 185.Google Scholar
88 Id., para. 184.Google Scholar
89 Australia-Salmon supra note 17, para. 130.Google Scholar
90 Wagner, J. Martin, The WTO's Interpretation of the SPS Agreement has Undermined the Right of Governments to Establish Appropriate Level of Protection Against Risk, 31 Law & Pol'y Int'l Bus. 855, 859 (2000).Google Scholar
91 Winickoff, David, Jasanoff, Sheila, Busch, Lawrence, Grove-White, Robin, Wynn, Brian, Adjudicating the GM Food Wars: Science, Risk, and Democracy in World Trade Law, 30 Yale J. Int'l L. 81, 115 (2005).Google Scholar
92 SPS Agreement supra note 3, Article 5.7.Google Scholar
93 Japan-Agriculture Products supra note 8, para. 92.Google Scholar
94 Id., para. 93.Google Scholar
95 Id.Google Scholar
96 Winickoff, Jasanoff, Busch, Grove-White & Wynn, supra note 91, at 115-16.Google Scholar
97 EC-Hormones supra note 5, para. 124.Google Scholar
98 Australia-Salmon supra note 17, para. 125.CrossRefGoogle Scholar
99 Peel supra note 7, at 14.Google Scholar
100 The negligible risk was defined by one of the experts in the Japan-Apple case as the “likelihood of between zero and one in a million,” see Panel Japan-Apples supra note 6, Annex 3, para. 332.Google Scholar
101 But see Panel Japan-Apples supra note 6, para. 4.64, where the U.S. observed that “in describing the risk of transmission as ‘negligible’ rather than ‘zero’, the scientific reports merely reflected ‘the uncertainty that theoretically always remains [that an event may occur] since science can never provide absolute certainty’ that an event may never occur.”Google Scholar
102 Atik supra note 17, at 753.Google Scholar
103 Fraiberg, Jeremy & Trebilcock, Michael J., Risk Regulation: Technocratic and Democratic Tools for Regulatory Reform, 43 McGill L.J. 835, 863 (1998).Google Scholar
104 EC-Hormones supra note 5, para. 186.Google Scholar
105 Atik supra note 17, at 749.Google Scholar
106 EC-Hormones supra note 5, para 187.Google Scholar
107 Id., para 124.Google Scholar
108 Note, however, that the introduction of a proportionality test regarding risk and an SPS measure may indicate that the case law tends to require a more substantial relationship.Google Scholar
109 Article 19.2 of the Understanding and Procedures Governing the Settlement of Disputes as incorporated by the Marrakesh Agreement Establishing the World Trade Organization, 15 April 1994 available at http://www.wto.org [hereinafter DSU].Google Scholar
- 7
- Cited by