要件 ：措施针对某一类产品

1
the measure applies to an identifiable product or
group of products

构成要件 要件2：措施确定了产品特征、生产过程和方法等
【Annex 1.1 TBT Agreement】 the measure lays down product characteristic or
their related process and production method

范围1：科技法规 要件3：要求必须符合措施规定
technical regulations compliance with the measure is mandatory

义务
'SPS measure' that directly and indirectly affect
international trade
【Art 2 &3 TBT Agreement】
限于针对本国内部的SPS 措施 要件 ：措施针对某一类产品
1
the measure applies to an identifiable product or
the protection and prevention are limited within the
group of products
territory of the Member
适用范围
旨在保护域外健康的不属于SPS的适用范围 要件2：措施确定了产品特征、生产过程和方法等
构成要件 the measure lays down product characteristic or
measure aiming at extraterritorial health protection
are expressly excluded from the scope pf application
【Annex 1.2 TBT Agreement】 their related process and production method

of SPS
要件3 不需要必须满足此标准
1）compliance is not mandatory
【case Australia-Apples】 范围 ：标准 2）but there may be strong incentives for compliance
确定目的的方式： 2
1）from the objectives of the measure as expressed
standards
by the responding party;
义务
国家对此的阐述 【Art 4 TBT Agreement】
2) from the text and structure of the relevant 重点：其定义重点在于措施的目的
measure focus on the purpose of the measure 适用范围 Code of Good Practive
措施本身的结构文字 【case Australia-Apples】 【 Annex 3 TBT Agreement 】
类型1：保证 食品和饲料安全 a procedure such as inspection sampling, or testing
used to verify compliance with requirements set out
aim at the protection of human or animal life or
in technical regulations or standards
health from risks in food or feed
构成要件 用于验证是否符合技术法规或标准中规定的要求的程序，
类型 ：预防疾病和害虫威胁
2 范围 ：评估程序
3
【Annex 1.3 TBT Agreement】 如检查抽样，或测试
aim at the protection of human, animal, or plant life conformity assessment procedure
义务要求
or health from risks from pests or diseases carried
by plants or animals
根据「措施目的」存在以下类型 【Art 5-9 TBT Agreement】
SPS measure 含义 是否适用于 process and production method which
类型3：预防害虫的其他危险 【 Annex A.1 SPS Agreement 】 does not affect characteristics of the product， 如最
aim at the prevention or limitation of 'other damage'
from pests
低劳动时长、二氧化碳排放量和动物保护要求等
形式多样且丰富，无限制，只要满足了purpose 要求： 与产品本身性质无关的PPM 【case EC-Seal products】
例如 laws, regulations, and requirement 表现形式 ：一般不涵盖 适用于TBT Agreement 的 PPMs shall have a sufficient
nexus to the characteristics of the product
TBT条约覆盖的措施应当和产品本身特点存在关联
政府组织+非政府组织 —— 因此，通常不涵盖
governmental bodies, regional bodies, and non- 特殊情况
governmental bodies
尽管也是non-products-related PPMs, 但是属于TBT
labeling and marking 商品标识 Agreement的适用范围
【 Art 13 SPS Agreement 】 规范主体 ：涵盖 【case US-COOL】【case US-Tuna II】
members shall adopt take such reasonable

1）Agreement on Governmental Procurement

measures as may be available to the, to ensure
compliance with SPS Agreement
排除适用 2）SPS Agreement
1）排除TBT 管辖
【Art 1.4 & 1.5 TBT Agreement】 这两个会排除TBT 对该措施的适用
落入SPS范围的措施，排除TBT管辖，即便其实以科技法 与其他协议的
注意：如果一项措施包含 SPS objective + non-SPS 规，标准等形式 法律冲突 TBT Agreement 和 GATT 1994 可对某一措施共同适用
，对于
objective 的部分可以适用
non-SPS TBT TBT does not apply to measures falling within the
共同但优先 发生冲突，TBT Agreement 优先适用
【 case EC-Approval and Marketing of Biotech definition of an SPS measures in Annex A.1 , even if
【General Interpretative Note on Annex 1A of the
】
Products the measure takes the form of technical regulation....
WTO Agreement】
二者之间并非互相排除 法律冲突 应当建立这个协会
no relation of mutual exclusivity
【Art 13.1 TBT Agreement】
注意，但是不存在反向推定： 推定符合： 和GATT 1994的关系
即满足GATT 1994，不能推定其满足SPS 如果措施满足SPS，推定其满足GATT 1994 职责：
1) provide members with a forum for consultations
成员国对于实施SPS存在主权权利 TBT Committee regarding any matters pertaining to the operation or
objectives of the TBT Agreement
WTO Members have sovereign rights for SPS
2) annual and triennial reviews of the operation of
measures
【 】
Art 2.1 SPS Agreement
TBT
【 Art 15 TBT Agreement】
措施实施程度：达到保护的必要 ）
WTO Members may only apply SPS measures to the 成员国权利 ）
1 governmental measure
2 local governmental measure
extent of necessary for the protection of human,
animal or plant life or health 措施实施对象 ）3 non-governmental bodies

【 Art 2.2 & 5.6 SPS Agreement 】 针对措施 【Art 3.1 3.4 4.1 & 8 TBT Agreement】 注意：也包含非政府组织的措施，因为科技标准通常也由
应当建立 部分非政府组织设立
【Art 12】 含义：最惠国+国民
accord to MFN treatment and national treatment to
it provides a forum for members to discuss matters
imported products in respect of their technical
pertaining to the operation or objectives of the SPS
regulations, standards and conformity assessment
agreement including their specific trade concerns
procedures
regarding SPS measures of other members
职责 要求1：满足定义
mediation procedure
technical regulation within the meaning of Annex 1.1

特殊 ：1 SPS Committee
根据GATT 的规定看
the appointment and use made of scientific experts 要求2：类似产品
by panels
争议解决的特殊程序 like products
判断本质仍是 competitive relationship
特殊2： 【Art 11】 【case US-Clove Cigarette】
the standard of review to be applied by panels 具体要求 判断步骤1：是否损害竞争条件
）
1 scrutiny of the underlying scientific basis
a determination of the existence of a detrimental
impact on the competitive conditions

） 评估对于SPS 风险评估的执行
2 scrutiny of the reasoning of the risk assessor
判断步骤2：事实歧视下，看损害是否完全基于某种合法
based on such underlying science
Technical Regulation 要求 ：没有差别对待
3 监管需要，如果是的话，则不违反该原则
含义： 【 Art 2.1 TBT Agreement 】 treatment no less favorable 【case US-Clove Cigarette】 判断方法：措施的结构+是否公正实施
TBT Agreement 原则1：非歧视 - de facto discrimination： 1) examine the design, architecture, revealing
- MFN and National Treatment
non-discrimination - whether the detrimental impact on competitive structure, operation, and application of the technical
- it prohibits members from imposing SPS measures

特殊 Goods Principle
conditions stems exclusively from a legitimate regulation at issue
that arbitrary or unjustifiably discriminate where
regulatory distinction 2) whether that technical regulation is even-handed
identical or similar conditions prevail or that
constitutes a disguised restriction for trade
de jure + de facto
步骤 ：存在歧视
1
歧视类型 【case US-Clove Cigarette】
注意1：不要求产品是 类似或者直接竞争 ：
1) MFN treatment the measure discriminates
SPS Agreement standards
includes discrimination between products that are between the territories of members other than the
not ‘like’ or ‘directly competitive or substitutable’ member imposing the measure or;
【 Annex 3.D TBT Agreement 】 和technical regulation 的测试方法大致类似
：
2) National treatment between the territory of the 原则1：non-discrimination 要求：类似情况下，满足条件设置的类似产品，准入
注意2： member imposing the Masher in another member 【Art 2.3 SPS Agreement】 requiring that such procedures grant access under
what is of relevance is the similarity of the relevant
conditions no less favorable to suppliers of like
health risks
products pf other members in a comparable
步骤 ：任意或无端的歧视
2
situation
the discrimination is arbitrary or unjustifiable
因素 ：准入条件
1
的范围：
'conditions' 判断步骤 conformity assessment procedures
the conditions for granting access to conformity
1）产品本身的性质 【Art 5.1.1 TBT Agreement】 assessment to suppliers of like products
not only those present in the traded products
2）和措施目的相关的所有条件（宽） 因素2：成员国保证法规遵守的能力
‘comparable situation’ the ability of the regulating Member to ensure
all conditions in the members compared that
relevant to the regulatory objective 步骤3：类似或相同的条件 是否存在的判断因素 compliance with the requirements in the underlying
如 environmental conditions and diseases statues identical or similar conditions prevail in the territory
【case Russia-Railway Equipment】 technical regulation
【 case Australia-Salmon 】 of the members compared
注意：判断是否存在 可比较情况 需要考虑独特元素
International Standards 的含义： needs to be based on factors specific to the
suppliers allegedly granted access to conformity
Standards set by international organization
assessment under less favorable conditions
选择1：基于 原则：
（
impose SPS measures that ‘based on’ built upon/
对贸易的限制不应超过 实现法定目的所需的程度，且需
supported by) International standard
【Art 3.1 SPS Agreement】 原则2：international standard 要考虑相关风险
not to be more trade-restrictive than necessary to
推定符合： 选择2：完全符合 提供三种自主选择
fulfill a legitimate objective, taking into account of
推定符合SPS协议和GATT 1994协议 impose SPS measures that ‘conform to’ completely（ provides members with three autonomous options
the risks non-fulfillment would create.
rebuttable presumption of consistency with SPS embody) International standard
Agreement and GATT 1994 【 Art 3.2 SPS Agreement 】 with regard to International standards
【 Art 3 SPS Agreement 】 法定目的
prevention of deceptive practices, national security,
and the protection of human health or safety, animal
选择3：高于 non-exhaustive list or plant life or health, or the environment
impose SPS measures that result in a higher level of
存在要求：需要存在科技证明 protection than would be achieved by the relevant
步骤1：行为本身是否是 科技法规
a technical regulation
a scientific justification for its measure on the form International standard technical regulation
of a risk assessment 【 Art 3.3 SPS Agreement 】 【Art 2.2 TBT Agreement】 步骤 ：是否限制了贸易
2
识别风险 trade-restrictive
identifying a risk and establishing the chance that it
will materialize 含义 步骤3：是否满足 法定目的
fulfill a legitimate objective
措施应当基于风险评估 【case US-Tuna II】
SPS measures shall be based on (have a rational
基本要求
relationship with) a risk assessment, as appropriate
分析方法一 Relational Analysis
to the circumstances 【Art 5.1 SPS Agreement】 考虑步骤 1）the degree of contribution made by the measure
to the legitimate objective ;
2）the trade-restrictiveness
less strict类型1：risks from pests and diseases 评估类型 3）the nature of the risks and the gravity of
【Annex A.4 SPS Agreement】 原则
类型2：risks from food and fees consequences that would arise from non-fulfillment
of the objective
风险可以定量或定性确定，不需要最低阈值或风险 步骤4：必要的 分析方法二 Comparative Analysis:
risk may be established quantitatively or qualitatively
and no minimum threshold or risk is required 不需要风险量化 quantification of risk not more trade-restrictive than necessary to fulfill
the legitimate objective, taking account of the risks
comparison analysis of the challenged measure and
possible alternative measure that are reasonably
风险调查不拘泥与实验室研究，而是现实因素 non-fulfillment would create available
a risk assessment is not limited to laboratory science 进行风险评估时的参考因素 风险评估的要求 Standards
but must take into account risk in the real world
where people live and work and die
non-exhaustive list of factors that member may take
into account in conducting a risk assessment
原则 ：避免不必要障碍
2 【 Annex 3.E TBT Agreement 】 类似
【 case EC-Hormones 】 【 】 Art 5.2 SPS Agreement
avoiding unnecessary obstacles to trade;
Conformity Assessment Procedures 类似
情况：有迹象表明可能发生，但缺少技术证据支撑 原则3：risk assessment 【Art 5.1.2 TBT Agreement】
situations may arise in which there is some
【case Russia-Railway Equipment】
【 case US/Canada-Continued Suspension 】 indication that the risk is this but a risk assessment is
起诉方承担初始证明责任：
when some evidence of risk exists but not enough to impossible due to the lack of sufficient scientific
Substantive Obligation the complainant bears the burden of proof to
complete a full risk assessment evidence
Precautionary Principle demonstrate the existence of an unnecessary
内容：members may consider that they need to act 预防原则 豁免 评估要求
- obstacle to trade
promptly and take measures to avoid possible harm
【 】
Art 5.7 SPS Agreement

without waiting for collection of sufficient scientific 措施：Acting in accordance with Precautionary 证明责任 应诉方
respondent may bring evidence to rebut the case
information to assess the risk conclusively Principle
made by the complainant
条件 ：科学证据不足以进行风险评估
1
【case Japan-Apples】 imposed in respect of a situation where relevant
1) those adopted by international standardizing
bodies.
it is designed to be invoked in situations where little scientific evidence is insufficient to allow a risk
2) the international standardizing bodies is the
or no reliable evidence was available assessment to be conducted
bodies with recognized activities in standardization
条件 ：根据现有信息，可能存在风险
2
that are open on a non-discriminatory basis to
relevant bodies of at least all WTO member
adopted on the basis of available pertinent
information, indicating the possible existence of a
international standard 含义
注意：not have to be adopted by consensus
risk
临时措施
条件 ：找到额外信息之后，不会再继续维持临时措施
3
适用条件 【Art 5.7 SPS Agreement】 步骤一：是否存在该国际标准
the relevant international standard exist
the measures will not be maintained unless the
member seeks to obtain the additional information
necessary for a more objective assessment of risk
步骤二：该标准是否是法规的建立基础
it is used as a basis
条件4：按时审查 考虑步骤
reviewed within a reasonable period of time
步骤三：该标准是否是实现法律目的的有效且合适的方法 Effective:
an effective and appropriate means for the
have the capacity to accomplish the objectives
确定保护程度和措施 原则3：国际标准适用 fulfillment of the legitimate objectives
the choice 成员国义务 the use of international standard; Technical Regulation 【 case EC-Sardines 】 Appropriate:
1) of an appropriate level of protection against the （原则） 【Art 2.4 TBT Agreement】 suitable for the fulfillment of the objectves
identified risks and
2) of an SPS measure to achieve this level of 依据国际标准 其追求 + Art2.2 中明确列出的合法目的
protection 含义 1) in accordance with relevant international standard
推定不妨碍贸易 2) pursue one of the legitimate objectives expressly
【Annex A.5 SPS Agreement】 【Art 2.5 TBT Agreement】 listed in Art 2.2
成员国对此存在决定权
Standards
原则 ：减少对贸易的影响
1 【 Annex 3.F TBT Agreement 】 类似
take into account the objective of minimizing
negative trait affect Conformity Assessment Procedures 类似
【 】
Art 5.4 SPS Agreement 【 Art 5.4 TBT Agreement 】
【case Russia-Railway Equipment】
原则2：避免歧视 或 变相限制贸易
avoid arbitrary or unjustifiable distinctions in the
基本原则 含义：
注意1：不要求完全相同 levels of protection deemed appropriate in different
situation, if these distinctions lead to discrimination
give positive consideration to accepting as equivalent
the different technical regulations and conformity
does not require absolute consistency
or disguised restrictions on trade 原则4：等价承认 assessment procedures of other WTO Members if 积极考虑接受其他世贸组织成员的不同技术法规和合格评
注意 ：不要求是类似产品，而要求是类似风险
2
【 Art 5.5 SPS Agreement 】 类型 ：确定保护程度
1 the recognition of equivalence; these measures adequately fulfill the objectives of 定程序，如果这些措施能充分实现其自身措施的目标，则
“like product” XXX
appropriate level of protection 【Art 2.7 & 6.1 TBT Agreement】 their own measures 可将其视为等同措施
情形 ：不同但可比的情况下设定了不同的保护级别
1
【Art 2.9 & 2.10 TBT Agreement】
1) advance notification of draft technical regulation
the member concerned has set different levels of
2) comment period
protection in different but comparable situations
3) except in case of urgent safety, health,
environmental protection, or national security
i.e situations with common elements, such as
problems
involving the same disease

情形2：这种不同的保护级别 针对 不同但可比的情况 原则4：risk management 【Art 2.11 TBT Agreement】

1）promptly publish all adopted technical regulations
时，存在任意或者歧视 Technical Regulation
2）must allow reasonable interval between the reasonable interval
these different levels of protection show arbitrary or
unjustifiable differences in their treatment of
违反原则2的条件 publication of a technical regulation and its entry 【Doha Minister decisions】
different but comparable situation
non discrimination into force in order to permit foreign producers to normally no less than 6 months ， except when it will
原则5：透明 adapt to the new requirements be ineffective
条件3：这种任意或者不公歧视导致歧视或者变相贸易限 transparency;
制 Standards
【 Annex 3.L-3.O TBT Agreement 】
these arbitrary or unjustifiable differences lead to
discrimination or disguised restrictions on trade
Conformity Assessment Procedures
原则 ：考虑经济因素
1
【 Art 5.6-5.9 TBT Agreement 】
members must consider, in choosing an SPS
measure to address the risks to plant/animal health, 原则6：发展中国家的特殊对待 【Art 11 & 12 TBT Agreement】
certain economic factors such as damage in terms of -- S&D
take account of the special development, financial,
loss of production and cost of control or eradication -- special and differential treatment
and trade needs of developing country
原则2：保证措施的贸易限制程度不超过 必要保护所需要
for developing country
含义：
的程度 遵守原则 giving active and meaningful consideration to such
needs
members must ensure that their SPS measures are
not more trade-restrictive than required to achieve
【 case US-COOL 】
necessity the appropriate level of protection

条件 技术和经济均可行
1:
is reasonably available taking into account technical 类型2：确定选择的措施
and economic feasibility an SPS measure to achieve this level

判断方式：确定两个分别的保护程度，然后比较
identification of both the appropriate level of
protection of importing members and the level of 违反原则2的条件:
protection that would be achieved by the alternative 存在适当的不那么限制贸易的替代措施
measure proposed by the complainant in order to
permit a comparison between the two
条件 ：达到了卫生防疫水平
2
a measure is more trade-restrictive than required if
there is an alternative measure that
achieve the regulating members appropriate level of

达到的标准：meets or exceed sanitary or phytosanitary production

那么就证明替代方案可
条件 ：比现有措施 大大减少对贸易的限制
3
is significantly less restrictive to trade than the
obvious measure being applied

要求1：进口国确定低疾病或虫害地区
requiring importing members to recognize the
concept of pest- and disease-free regions and
regions of low pest- and disease prevalence 主要规定1：
【 Art 6.2 SPS Agreement 】 根据产品原产地或者目的地的特殊性质，采取SPS 措施
the overarching obligation on members to adopt
出口国存在提供证据的义务 their SPS measures to the SPS characteristic of the
要求2：出口国 相同
provide necessary evidence in support of a claim region where the products at issue originate or are
that certain areas are ... 【Art 6.3 SPS Agreement】 destined for 原则5：recognition of equivalence
【 Art 6.1 SPS Agreement 】 【Art 4 SPS Agreement】
违反情形： 在全国范围内实施禁令
by imposing a Prohibition on a country-wide basis,
the measure at issue contradicted the requirements
to recognize these Concepts
【 case India-Agricultural Products 】
原则6：transparency
advance notification and publication requirements 【Art 7 & Annex B SPS Agreement】
technical assistance 原则7：special and different treatment
【Art 9 SPS Agreement】 【Art 10 SPS Agreement】