This document is an excerpt from the EUR-Lex website
Document 02021A0430(01)-20240101
Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
Consolidated text: Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
Trade and Cooperation Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
ELI: http://data.europa.eu/eli/agree_internation/2021/689(1)/2024-01-01
02021A0430(01) — EN — 01.01.2024 — 003.002
This text is meant purely as a documentation tool and has no legal effect. The Union's institutions do not assume any liability for its contents. The authentic versions of the relevant acts, including their preambles, are those published in the Official Journal of the European Union and available in EUR-Lex. Those official texts are directly accessible through the links embedded in this document
TRADE AND COOPERATION (OJ L 149 30.4.2021, p. 10) |
Amended by:
|
|
Official Journal |
||
No |
page |
date |
||
L 429 |
155 |
1.12.2021 |
||
L 199 |
103 |
9.8.2023 |
||
L |
1 |
5.12.2023 |
||
L |
1 |
28.12.2023 |
TRADE AND COOPERATION
Agreement between the European Union and the European Atomic Energy Community, of the one part, and the United Kingdom of Great Britain and Northern Ireland, of the other part
PREAMBLE
THE EUROPEAN UNION AND THE EUROPEAN ATOMIC ENERGY COMMUNITY
AND
THE UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND,
1. |
REAFFIRMING their commitment to democratic principles, to the rule of law, to human rights, to countering proliferation of weapons of mass destruction and to the fight against climate change, which constitute essential elements of this and supplementing agreements, |
2. |
RECOGNISING the importance of global cooperation to address issues of shared interest, |
3. |
RECOGNISING the importance of transparency in international trade and investment to the benefit of all stakeholders, |
4. |
SEEKING to establish clear and mutually advantageous rules governing trade and investment between the Parties, |
5. |
CONSIDERING that in order to guarantee the efficient management and correct interpretation and application of this Agreement and any supplementing agreement, as well as compliance with the obligations under those agreements, it is essential to establish provisions ensuring overall governance, in particular dispute settlement and enforcement rules that fully respect the autonomy of the respective legal orders of the Union and of the United Kingdom, as well as the United Kingdom's status as a country outside the European Union, |
6. |
BUILDING upon their respective rights and obligations under the Marrakesh Agreement Establishing the World Trade Organization, done on 15 April 1994, and other multilateral and bilateral instruments of cooperation, |
7. |
RECOGNISING the Parties' respective autonomy and rights to regulate within their territories in order to achieve legitimate public policy objectives such as the protection and promotion of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, animal welfare, privacy and data protection and the promotion and protection of cultural diversity, while striving to improve their respective high levels of protection, |
8. |
BELIEVING in the benefits of a predictable commercial environment that fosters trade and investment between the Parties and prevents the distortion of trade and unfair competitive advantages, in a manner conducive to sustainable development in its economic, social and environmental dimensions, |
9. |
RECOGNISING the need for an ambitious, wide-ranging and balanced economic partnership to be underpinned by a level playing field for open and fair competition and sustainable development, through effective and robust frameworks for subsidies and competition and a commitment to uphold their respective high levels of protection in the areas of labour and social standards, environment, the fight against climate change, and taxation, |
10. |
RECOGNISING the need to ensure an open and secure market for businesses, including small and medium-sized enterprises, and their goods and services through addressing unjustified barriers to trade and investment, |
11. |
NOTING the importance of facilitating new opportunities for businesses and consumers through digital trade, and addressing unjustified barriers to data flows and trade enabled by electronic means, whilst respecting the Parties' personal data protection rules, |
12. |
DESIRING that this Agreement contribute to consumer welfare through policies ensuring a high level of consumer protection and economic well-being, as well as encouraging cooperation between relevant authorities, |
13. |
CONSIDERING the importance of cross-border connectivity by air, by road and by sea, for passengers and for goods, and the need to ensure high standards in the provision of transportation services between the Parties, |
14. |
RECOGNISING the benefits of trade and investment in energy and raw materials and the importance of supporting the delivery of cost efficient, clean and secure energy supplies to the Union and the United Kingdom, |
15. |
NOTING the interest of the Parties in establishing a framework to facilitate technical cooperation and to develop new trading arrangements for interconnectors which deliver robust and efficient outcomes for all timeframes, |
16. |
NOTING that cooperation and trade between the Parties in these areas should be based on fair competition in energy markets and non-discriminatory access to networks, |
17. |
RECOGNISING the benefits of sustainable energy, renewable energy, in particular offshore generation in the North Sea, and energy efficiency, |
18. |
DESIRING to promote the peaceful use of the waters adjacent to their coasts and the optimum and equitable utilisation of the marine living resources in those waters including the continued sustainable management of shared stocks, |
19. |
NOTING that the United Kingdom withdrew from the European Union and that with effect from 1 January 2021, the United Kingdom is an independent coastal State with corresponding rights and obligations under international law, |
20. |
AFFIRMING that the sovereign rights of the coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea, done at Montego Bay on 10 December 1982 (United Nations Convention on the Law of the Sea), |
21. |
RECOGNISING the importance of the coordination of social security rights enjoyed by persons moving between the Parties to work, to stay or to reside, as well as the rights enjoyed by their family members and survivors, |
22. |
CONSIDERING that cooperation in areas of shared interest, such as science, research and innovation, nuclear research and space, in the form of the participation of the United Kingdom in the corresponding Union programmes under fair and appropriate conditions will benefit both Parties, |
23. |
CONSIDERING that cooperation between the United Kingdom and the Union relating to the prevention, investigation, detection or prosecution of criminal offences and to the execution of criminal penalties, including the safeguarding against and prevention of threats to public security, will enable the security of the United Kingdom and the Union to be strengthened, |
24. |
DESIRING that an agreement is concluded between the United Kingdom and the Union to provide a legal base for such cooperation, |
25. |
ACKNOWLEDGING that the Parties may supplement this Agreement with other agreements forming an integral part of their overall bilateral relations as governed by this Agreement and that the Agreement on Security Procedures for Exchanging and Protecting Classified Information is concluded as such a supplementing agreement and enables the exchange of classified information between the Parties under this Agreement or any other supplementing agreement, |
HAVE AGREED AS FOLLOWS:
PART ONE
COMMON AND INSTITUTIONAL PROVISIONS
TITLE I
GENERAL PROVISIONS
Article 1
Purpose
This Agreement establishes the basis for a broad relationship between the Parties, within an area of prosperity and good neighbourliness characterised by close and peaceful relations based on cooperation, respectful of the Parties' autonomy and sovereignty.
Article 2
Supplementing agreements
Paragraph 1 also applies to:
agreements between the Union and its Member States, of the one part, and the United Kingdom, of the other part; and
agreements between the European Atomic Energy Community, of the one part, and the United Kingdom, of the other part.
Article 3
Good faith
TITLE II
PRINCIPLES OF INTERPRETATION AND DEFINITIONS
Article 4
Public international law
Article 5
Private rights
Article 6
Definitions
For the purposes of this Agreement and any supplementing agreement, and unless otherwise specified, the following definitions apply:
"data subject" means an identified or identifiable natural person; an identifiable person being a person who can be identified, directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data or an online identifier, or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person;
"day" means a calendar day;
"Member State" means a Member State of the European Union;
"personal data" means any information relating to a data subject;
"State" means a Member State or the United Kingdom, as the context requires;
"territory" of a Party means in respect of each Party the territories to which this Agreement applies in accordance with Article 774;
"the transition period" means the transition period provided for in Article 126 of the Withdrawal Agreement; and
"Withdrawal Agreement" means the Agreement on the withdrawal of the United Kingdom of Great Britain and Northern Ireland from the European Union and the European Atomic Energy Community, including its Protocols.
TITLE III
INSTITUTIONAL FRAMEWORK
Article 7
Partnership Council
The Partnership Council shall have the power to:
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
make recommendations to the Parties regarding the implementation and application of this Agreement or of any supplementing agreement;
adopt, by decision, amendments to this Agreement or to any supplementing agreement in the cases provided for in this Agreement or in any supplementing agreement;
except in relation to Title III of Part One, until the end of the fourth year following the entry into force of this Agreement, adopt decisions amending this Agreement or any supplementing agreement, provided that such amendments are necessary to correct errors, or to address omissions or other deficiencies;
discuss any matter related to the areas covered by this Agreement or by any supplementing agreement;
delegate certain of its powers to the Trade Partnership Committee or to a Specialised Committee, except those powers and responsibilities referred to in point (g) of this paragraph;
by decision, establish Trade Specialised Committees and Specialised Committees, other than those referred to in Article 8(1), dissolve any Trade Specialised Committee or Specialised Committee, or change the tasks assigned to them; and
make recommendations to the Parties regarding the transfer of personal data in specific areas covered by this Agreement or any supplementing agreement.
Article 8
Committees
The following Committees are hereby established:
the Trade Partnership Committee, which addresses matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two, and Annex 27;
the Trade Specialised Committee on Goods which addresses matters covered by Chapter 1 of Title I of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
the Trade Specialised Committee on Customs Cooperation and Rules of Origin, which addresses matters covered by Chapters 2 and 5 of Title I of Heading One of Part Two, the Protocol on mutual administrative assistance in customs matters and the provisions on customs enforcement of intellectual property rights, fees and charges, customs valuation and repaired goods;
the Trade Specialised Committee on Sanitary and Phytosanitary Measures, which addresses matters covered by Chapter 3 of Title I of Heading One of Part Two;
the Trade Specialised Committee on Technical Barriers to Trade, which addresses matters covered by Chapter 4 of Title I of Heading One of Part Two and Article 323;
the Trade Specialised Committee on Services, Investment and Digital Trade, which addresses matters covered by Titles II to IV of Heading One of Part Two and Chapter 4 of Title VIII of Heading One of Part Two;
the Trade Specialised Committee on Intellectual Property, which addresses matters covered by Title V of Heading One of Part Two;
the Trade Specialised Committee on Public Procurement, which addresses matters covered by Title VI of Heading One of Part Two;
the Trade Specialised Committee on Regulatory Cooperation, which addresses matters covered by Title X of Heading One of Part Two;
the Trade Specialised Committee on Level Playing Field for Open and Fair Competition and Sustainable Development, which addresses matters covered by Title XI of Heading One of Part Two and Annex 27;
the Trade Specialised Committee on Administrative Cooperation in VAT and Recovery of Taxes and Duties, which addresses matters covered by the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties;
the Specialised Committee on Energy,
which addresses matters covered by Title VIII of Heading One of Part Two, with the exception of Chapter 4, Article 323 and Annex 27, and
which can discuss and provide expertise to the relevant Trade Specialised Committee on matters pertaining to Chapter 4 and Article 323;
the Specialised Committee on Air Transport, which addresses matters covered by Title I of Heading Two of Part Two;
the Specialised Committee on Aviation Safety, which addresses matters covered by Title II of Heading Two of Part Two;
the Specialised Committee on Road Transport, which addresses matters covered by Heading Three of Part Two;
the Specialised Committee on Social Security Coordination, which addresses matters covered by Heading Four of Part Two and the Protocol on Social Security Coordination;
the Specialised Committee on Fisheries, which addresses matters covered by Heading Five of Part Two;
the Specialised Committee on Law Enforcement and Judicial Cooperation, which addresses matters covered by Part Three; and
the Specialised Committee on Participation in Union Programmes, which addresses matters covered by Part Five.
With respect to issues related to Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two, Heading Six of Part Two and Annex 27, the Trade Partnership Committee referred to in paragraph 1 of this Article shall have the power to:
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to it by the latter;
supervise the implementation of this Agreement or any supplementing agreement;
adopt decisions or make recommendations as provided for in this Agreement or any supplementing agreement or where such power has been delegated to it by the Partnership Council;
supervise the work of the Trade Specialised Committees referred to in paragraph 1 of this Article;
explore the most appropriate way to prevent or solve any difficulty that may arise in relation to the interpretation and application of this Agreement or any supplementing agreement, without prejudice to Title I of Part Six;
exercise the powers delegated to it by the Partnership Council pursuant to point (f) of Article 7(4);
establish, by decision, Trade Specialised Committees other than those referred to in paragraph 1 of this Article, dissolve any such Trade Specialised Committee, or change the tasks assigned to them; and
establish, supervise, coordinate and dissolve Working Groups, or delegate their supervision to a Trade Specialised Committee.
With respect to issues related to their area of competence, Trade Specialised Committees shall have the power to:
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
assist the Trade Partnership Committee in the performance of its tasks and, in particular, report to the Trade Partnership Committee and carry out any task assigned to them by it;
conduct the preparatory technical work necessary to support the functions of the Partnership Council and the Trade Partnership Committee, including when those bodies have to adopt decisions or recommendations;
adopt decisions in respect of all matters where this Agreement or any supplementing agreement so provides;
discuss technical issues arising from the implementation of this Agreement or of any supplementing agreement, without prejudice to Title I of Part Six; and
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience.
With respect to issues related to their area of competence, Specialised Committees shall have the power to:
monitor and review the implementation and ensure the proper functioning of this Agreement or any supplementing agreement;
assist the Partnership Council in the performance of its tasks and, in particular, report to the Partnership Council and carry out any task assigned to them by it;
adopt decisions, including amendments, and recommendations in respect of all matters where this Agreement or any supplementing agreement so provides or for which the Partnership Council has delegated its powers to a Specialised Committee in accordance with point (f) of Article 7(4);
discuss technical issues arising from the implementation of this Agreement or any supplementing agreement;
provide a forum for the Parties to exchange information, discuss best practices and share implementation experience;
establish, supervise, coordinate and dissolve Working Groups; and
provide a forum for consultation pursuant to Article 738(7).
Article 9
Working Groups
The following Working Groups are hereby established:
the Working Group on Organic Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Motor Vehicles and Parts, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Medicinal Products, under the supervision of the Trade Specialised Committee on Technical Barriers to Trade;
the Working Group on Social Security Coordination, under the supervision of the Specialised Committee on Social Security Coordination.
Article 10
Decisions and recommendations
Article 11
Parliamentary cooperation
Upon its establishment, the Parliamentary Partnership Assembly:
may request relevant information regarding the implementation of this Agreement and any supplementing agreement from the Partnership Council, which shall then supply that Assembly with the requested information;
shall be informed of the decisions and recommendations of the Partnership Council; and
may make recommendations to the Partnership Council.
Article 12
Participation of civil society
The Parties shall consult civil society on the implementation of this Agreement and any supplementing agreement, in particular through interaction with the domestic advisory groups and the Civil Society Forum referred to in Articles 13 and 14.
Article 13
Domestic advisory groups
Article 14
Civil Society Forum
PART TWO
TRADE, TRANSPORT, FISHERIES AND OTHER ARRANGEMENTS
HEADING ONE
TRADE
TITLE I
TRADE IN GOODS
CHAPTER 1
NATIONAL TREATMENT AND MARKET ACCESS FOR GOODS (INCLUDING TRADE REMEDIES)
Article 15
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties and to maintain liberalised trade in goods in accordance with the provisions of this Agreement.
Article 16
Scope
Except as otherwise provided, this Chapter applies to trade in goods of a Party.
Article 17
Definitions
For the purposes of this Chapter, the following definitions apply:
"consular transactions" means the procedure of obtaining from a consul of the importing Party in the territory of the exporting Party, or in the territory of a third party, a consular invoice or a consular visa for a commercial invoice, certificate of origin, manifest, shipper's export declaration or any other customs documentation in connection with the importation of the good;
"Customs Valuation Agreement" means the Agreement on Implementation of Article VII of GATT 1994;
"export licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of export licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body as a prior condition for exportation from that Party;
"import licensing procedure" means an administrative procedure, whether or not referred to as licensing, used by a Party for the operation of import licensing regimes, requiring the submission of an application or other documentation, other than that generally required for customs clearance purposes, to the relevant administrative body or bodies as a prior condition for importation into the territory of the importing Party;
"originating goods" means, unless otherwise provided, a good qualifying under the rules of origin set out in Chapter 2 of this Title;
"performance requirement" means a requirement that:
a given quantity, value or percentage of goods be exported;
goods of the Party granting an import licence be substituted for imported goods;
a person benefiting from an import licence purchase other goods in the territory of the Party granting the import licence, or accord a preference to domestically produced goods;
a person benefiting from an import licence produce goods in the territory of the Party granting the import licence, with a given quantity, value or percentage of domestic content; or
relates in whatever form to the volume or value of imports, to the volume or value of exports or to the amount of foreign exchange flows;
"remanufactured good" means a good classified under HS Chapters 32, 40, 84 to 90, 94 or 95 that:
is entirely or partially composed of parts obtained from used goods;
has similar life expectancy and performance compared with such goods, when new; and
is given an equivalent warranty to as that applicable to such goods when new; and
"repair" means any processing operation undertaken on a good to remedy operating defects or material damage and entailing the re-establishment of the good to its original function or to ensure compliance with technical requirements for its use. Repair of a good includes restoration and maintenance, with a possible increase in the value of the good from restoring the original functionality of that good, but does not include an operation or process that:
destroys the essential characteristics of a good, or creates a new or commercially different good;
transforms an unfinished good into a finished good; or
is used to improve or upgrade the technical performance of a good.
Article 18
Classification of goods
The classification of goods in trade between the Parties under this Agreement is set out in each Party's respective tariff nomenclature in conformity with the Harmonised System.
Article 19
National treatment on internal taxation and regulation
Each Party shall accord national treatment to the goods of the other Party in accordance with Article III of GATT 1994 including its Notes and Supplementary Provisions. To that end, Article III of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, mutatis mutandis.
Article 20
Freedom of transit
Each Party shall accord freedom of transit through its territory, via the routes most convenient for international transit, for traffic in transit to or from the territory of the other Party or of any other third country. To that end, Article V of GATT 1994 and its Notes and Supplementary Provisions are incorporated into and made part of this Agreement, mutatis mutandis. The Parties understand that Article V of GATT 1994 includes the movement of energy goods via inter alia pipelines or electricity grids.
Article 21
Prohibition of customs duties
Except as otherwise provided for in this Agreement, customs duties on all goods originating in the other Party shall be prohibited.
Article 22
Export duties, taxes or other charges
Article 23
Fees and formalities
Each Party may impose charges or recover costs only where specific services are rendered, in particular, but not limited to, the following:
attendance, where requested, by customs staff outside official office hours or at premises other than customs premises;
analyses or expert reports on goods and postal fees for the return of goods to an applicant, particularly in respect of decisions relating to binding information or the provision of information concerning the application of the customs laws and regulations;
the examination or sampling of goods for verification purposes, or the destruction of goods, where costs other than the cost of using customs staff are involved; and
exceptional control measures, if these are necessary due to the nature of the goods or to a potential risk.
Article 24
Repaired goods
Article 25
Remanufactured goods
Article 26
Import and export restrictions
A Party shall not adopt or maintain:
export and import price requirements, except as permitted in enforcement of countervailing and anti-dumping duty orders and undertakings; or
import licensing conditioned on the fulfilment of a performance requirement.
Article 27
Import and export monopolies
A Party shall not designate or maintain an import or export monopoly. For the purposes of this Article, import or export monopoly means the exclusive right or grant of authority by a Party to an entity to import a good from, or export a good to, the other Party.
Article 28
Import licensing procedures
Article 29
Export licensing procedures
The publication of export licensing procedures shall include the following information:
the texts of the Party's export licensing procedures, or of any modifications the Party makes to those procedures;
the goods subject to each licensing procedure;
for each procedure, a description of the process for applying for a licence and any criteria an applicant must meet to be eligible to apply for a licence, such as possessing an activity licence, establishing or maintaining an investment, or operating through a particular form of establishment in a Party's territory;
a contact point or points from which interested persons can obtain further information on the conditions for obtaining an export licence;
the administrative body or bodies to which an application or other relevant documentation are to be submitted;
a description of any measure or measures being implemented through the export licensing procedure;
the period during which each export licensing procedure will be in effect, unless the procedure remains in effect until withdrawn or revised in a new publication;
if the Party intends to use a licensing procedure to administer an export quota, the overall quantity and, if applicable, the value of the quota and the opening and closing dates of the quota; and
any exemptions or exceptions that replace the requirement to obtain an export licence, how to request or use those exemptions or exceptions, and the criteria for granting them.
Article 30
Customs valuation
Each Party shall determine the customs value of goods of the other Party imported into its territory in accordance with Article VII of GATT 1994 and the Customs Valuation Agreement. To that end, Article VII of GATT 1994 including its Notes and Supplementary Provisions, and Articles 1 to 17 of the Customs Valuation Agreement including its Interpretative Notes, are incorporated into and made part of this Agreement, mutatis mutandis.
Article 31
Preference utilisation
Article 32
Trade remedies
A Party shall not apply or maintain, with respect to the same good, at the same time:
a measure pursuant to Article 5 of the Agreement on Agriculture; and
a measure pursuant to Article XIX of GATT 1994 and the Safeguards Agreement.
Article 33
Use of existing WTO tariff rate quotas
Article 34
Measures in case of breaches or circumventions of customs legislation
Subject to the possibility of exemption for compliant traders under paragraph 7, a Party may temporarily suspend the relevant preferential treatment of the product or products concerned in accordance with the procedure laid down in paragraphs 3 and 4 if:
that Party has made a finding, based on objective, compelling and verifiable information, that systematic and large-scale breaches or circumventions of customs legislation have been committed, and;
the other Party repeatedly and unjustifiably refuses or otherwise fails to comply with the obligations referred to in paragraph 1.
Article 35
Management of administrative errors
In case of systematic errors by the competent authorities or issues concerning the proper management of the preferential system at export, concerning notably the application of the provisions of Chapter 2 of this Title or the application of the Protocol on Mutual Administrative Assistance in Customs Matters, and if these errors or issues lead to consequences in terms of import duties, the Party facing such consequences may request the Trade Partnership Committee to examine the possibility of adopting decisions, as appropriate, to resolve the situation.
Article 36
Cultural property
For the purposes of this Article, the following definitions apply:
"cultural property" means property classified or defined as being among the national treasures possessing artistic, historic or archaeological value under the respective rules and procedures of each Party; and
"illicitly removed from the territory of a Party" means:
removed from the territory of a Party on or after 1 January 1993 in breach of that Party's rules on the protection of national treasures or in breach of its rules on the export of cultural property; or
not returned at the end of a period of lawful temporary removal or any breach of another condition governing such temporary removal, on or after 1 January 1993.
The competent authorities of the Parties shall cooperate with each other in particular by:
notifying the other Party where cultural property is found in their territory and there are reasonable grounds for believing that the cultural property has been illicitly removed from the territory of the other Party;
addressing requests of the other Party for the return of cultural property which has been illicitly removed from the territory of that Party;
preventing any actions to evade the return of such cultural property, by means of any necessary interim measures; and
taking any necessary measures for the physical preservation of cultural property which has been illicitly removed from the territory of the other Party.
CHAPTER 2
RULES OF ORIGIN
SECTION 1
RULES OF ORIGIN
Article 37
Objective
The objective of this Chapter is to lay down the provisions determining the origin of goods for the purpose of application of preferential tariff treatment under this Agreement, and setting out related origin procedures.
Article 38
Definitions
For the purposes of this Chapter, the following definitions apply:
"classification" means the classification of a product or material under a particular chapter, heading, or sub-heading of the Harmonised System;
"consignment" means products which are either sent simultaneously from one exporter to one consignee or covered by a single transport document covering their shipment from the exporter to the consignee or, in the absence of such a document, by a single invoice;
"exporter" means a person, located in a Party, who, in accordance with the requirements laid down in the laws and regulations of that Party, exports or produces the originating product and makes out a statement on origin;
"importer" means a person who imports the originating product and claims preferential tariff treatment for it;
"material" means any substance used in the production of a product, including any components, ingredients, raw materials, or parts;
"non-originating material" means a material which does not qualify as originating under this Chapter, including a material whose originating status cannot be determined;
"product" means the product resulting from the production, even if it is intended for use as a material in the production of another product;
"production" means any kind of working or processing including assembly.
Article 39
General requirements
For the purposes of applying the preferential tariff treatment by a Party to the originating good of the other Party in accordance with this Agreement, provided that the products satisfy all other applicable requirements of this Chapter, the following products shall be considered as originating in the other Party:
products wholly obtained in that Party within the meaning of Article 41;
products produced in that Party exclusively from originating materials in that Party; and
products produced in that Party incorporating non-originating materials provided they satisfy the requirements set out in Annex 3.
Article 40
Cumulation of origin
Article 41
Wholly obtained products
The following products shall be considered as wholly obtained in a Party:
mineral products extracted or taken from its soil or from its seabed;
plants and vegetable products grown or harvested there;
live animals born and raised there;
products obtained from live animals raised there;
products obtained from slaughtered animals born and raised there;
products obtained by hunting or fishing conducted there;
products obtained from aquaculture there if aquatic organisms, including fish, molluscs, crustaceans, other aquatic invertebrates and aquatic plants are born or raised from seed stock such as eggs, roes, fry, fingerlings, larvae, parr, smolts or other immature fish at a post-larval stage by intervention in the rearing or growth processes to enhance production such as regular stocking, feeding or protection from predators;
products of sea fishing and other products taken from the sea outside any territorial sea by a vessel of a Party;
products made aboard of a factory ship of a Party exclusively from products referred to in point (h);
products extracted from the seabed or subsoil outside any territorial sea provided that they have rights to exploit or work such seabed or subsoil;
waste and scrap resulting from production operations conducted there;
waste and scrap derived from used products collected there, provided that those products are fit only for the recovery of raw materials;
products produced there exclusively from the products specified in points (a) to (l).
The terms "vessel of a Party" and "factory ship of a Party" in points (h) and (i) of paragraph 1 mean a vessel and factory ship which:
is registered in a Member State or in the United Kingdom;
sails under the flag of a Member State or of the United Kingdom; and
meets one of the following conditions:
it is at least 50 % owned by nationals of a Member State or of the United Kingdom; or
it is owned by legal persons which each:
have their head office and main place of business in the Union or the United Kingdom; and
are at least 50 % owned by public entities, nationals or legal persons of a Member State or the United Kingdom.
Article 42
Tolerances
If a product does not satisfy the requirements set out in Annex 3 due to the use of a non-originating material in its production, that product shall nevertheless be considered as originating in a Party, provided that:
the total weight of non-originating materials used in the production of products classified under Chapters 2 and 4 to 24 of the Harmonised System, other than processed fishery products classified under Chapter 16, does not exceed 15 % of the weight of the product;
the total value of non-originating materials for all other products, except for products classified under Chapters 50 to 63 of the Harmonised System, does not exceed 10 % of the ex-works price of the product; or
for a product classified under Chapters 50 to 63 of the Harmonised System, the tolerances set out in Notes 7 and 8 of Annex 2 apply.
Article 43
Insufficient production
Notwithstanding point (c) of Article 39(1), a product shall not be considered as originating in a Party if the production of the product in a Party consists only of one or more of the following operations conducted on non-originating materials:
preserving operations such as drying, freezing, keeping in brine and other similar operations where their sole purpose is to ensure that the products remain in good condition during transport and storage; ( 2 )
breaking-up or assembly of packages;
washing, cleaning; removal of dust, oxide, oil, paint or other coverings;
ironing or pressing of textiles and textile articles;
simple painting and polishing operations;
husking and partial or total milling of rice; polishing and glazing of cereals and rice; bleaching of rice;
operations to colour or flavour sugar or form sugar lumps; partial or total milling of sugar in solid form;
peeling, stoning and shelling, of fruits, nuts and vegetables;
sharpening, simple grinding or simple cutting;
sifting, screening, sorting, classifying, grading, matching including the making-up of sets of articles;
simple placing in bottles, cans, flasks, bags, cases, boxes, fixing on cards or boards and all other simple packaging operations;
affixing or printing marks, labels, logos and other like distinguishing signs on products or their packaging;
simple mixing of products, whether or not of different kinds; mixing of sugar with any material;
simple addition of water or dilution with water or another substance that does not materially alter the characteristics of the product, or dehydration or denaturation of products;
simple assembly of parts of articles to constitute a complete article or disassembly of products into parts;
slaughter of animals.
Article 44
Unit of qualification
Article 45
Packing materials and containers for shipment
Packing materials and containers for shipment that are used to protect a product during transportation shall be disregarded in determining whether a product is originating.
Article 46
Packaging materials and containers for retail sale
Packaging materials and containers in which the product is packaged for retail sale, if classified with the product, shall be disregarded in determining the origin of the product, except for the purposes of calculating the value of non-originating materials if the product is subject to a maximum value of non-originating materials in accordance with Annex 3.
Article 47
Accessories, spare parts and tools
Accessories, spare parts, tools and instructional or other information materials shall be regarded as one product with the piece of equipment, machine, apparatus or vehicle in question if they:
are classified and delivered with, but not invoiced separately from, the product; and
are of the types, quantities and value which are customary for that product.
Article 48
Sets
Sets, as defined in General Rule 3 for the Interpretation of the Harmonised System, shall be considered as originating in a Party if all of their components are originating. If a set is composed of originating and non-originating components, the set as a whole shall be considered as originating in a Party if the value of the non-originating components does not exceed 15 % of the ex-works price of the set.
Article 49
Neutral elements
In order to determine whether a product is originating in a Party, it shall not be necessary to determine the origin of the following elements, which might be used in its production:
fuel, energy, catalysts and solvents;
plant, equipment, spare parts and materials used in the maintenance of equipment and buildings;
machines, tools, dies and moulds;
lubricants, greases, compounding materials and other materials used in production or used to operate equipment and buildings;
gloves, glasses, footwear, clothing, safety equipment and supplies;
equipment, devices and supplies used for testing or inspecting the product; and
other materials used in the production which are not incorporated into the product nor intended to be incorporated into the final composition of the product.
Article 50
Accounting segregation
Article 51
Returned products
If a product originating in a Party exported from that Party to a third country returns to that Party, it shall be considered as a non-originating product unless it can be demonstrated to the satisfaction of the customs authority of that Party that the returning product:
is the same as that exported; and
has not undergone any operation other than what was necessary to preserve it in good condition while in that third country or while being exported.
Article 52
Non-alteration
Article 53
Review of drawback of, or exemption from, customs duties
Not earlier than two years from the entry into force of this Agreement, at the request of either Party, the Trade Specialised Committee on Customs Cooperation and Rules of Origin shall review the Parties' respective duty drawback and inward-processing schemes. For that purpose, at the request of a Party, no later than 60 days from that request, the other Party shall provide the requesting Party with available information and detailed statistics covering the period from the entry into force of this Agreement, or the previous five years if that period is shorter, on the operation of its duty-drawback and inward-processing scheme. In the light of this review, the Trade Specialised Committee on Customs Cooperation and Rules of Origin may make recommendations to the Partnership Council for the amendment of the provisions of this Chapter and its Annexes, with a view to introducing limitations or restrictions with respect to drawback of or exemption from customs duties.
SECTION 2
ORIGIN PROCEDURES
Article 54
Claim for preferential tariff treatment
A claim for preferential tariff treatment shall be based on:
a statement on origin that the product is originating made out by the exporter; or
the importer's knowledge that the product is originating.
Article 55
Time of the claim for preferential tariff treatment
By way of derogation from paragraph 1 of this Article, if the importer did not make a claim for preferential tariff treatment at the time of importation, the importing Party shall grant preferential tariff treatment and repay or remit any excess customs duty paid provided that:
the claim for preferential tariff treatment is made no later than three years after the date of importation, or such longer time period as specified in the laws and regulations of the importing Party;
the importer provides the basis for the claim as referred to in Article 54(2); and
the product would have been considered originating and would have satisfied all other applicable requirements within the meaning of Section 1 of this Chapter if it had been claimed by the importer at the time of importation.
The other obligations applicable to the importer under Article 54 remain unchanged.
Article 56
Statement on origin
A statement on origin may apply to:
a single shipment of one or more products imported into a Party; or
multiple shipments of identical products imported into a Party within the period specified in the statement on origin, which shall not exceed 12 months.
Article 57
Discrepancies
The customs authority of the importing Party shall not reject a claim for preferential tariff treatment due to minor errors or discrepancies in the statement on origin, or for the sole reason that an invoice was issued in a third country.
Article 58
Importer's knowledge
Article 59
Record-keeping requirements
For a minimum of three years after the date of importation of the product, an importer making a claim for preferential tariff treatment for a product imported into the importing Party shall keep:
if the claim was based on a statement on origin, the statement on origin made out by the exporter; or
if the claim was based on the importer's knowledge, all records demonstrating that the product satisfies the requirements for obtaining originating status.
Article 60
Small consignments
By way of derogation from Articles 54 to 58, provided that the product has been declared as meeting the requirements of this Chapter and the customs authority of the importing Party has no doubts as to the veracity of that declaration, the importing Party shall grant preferential tariff treatment to:
a product sent in a small package from private persons to private persons;
a product forming part of a traveller's personal luggage; and
for the United Kingdom, in addition to points (a) and (b) of this Article, other low value consignments.
The following products are excluded from the application of paragraph 1 of this Article:
products, the importation of which forms part of a series of importations that may reasonably be considered to have been made separately for the purpose of avoiding the requirements of Article 54;
for the Union:
a product imported by way of trade; the imports which are occasional and consist solely of products for the personal use of the recipients or travellers or their families are not be considered as imports by way of trade if it is evident from the nature and quantity of the products that no commercial purpose is intended; and
products, the total value of which exceeds EUR 500 in the case of products sent in small packages, or EUR 1 200 in the case of products forming part of a traveller's personal luggage. The amounts to be used in a given national currency shall be the equivalent in that currency of the amounts expressed in euro as at the first working day of October. The exchange rate amounts shall be those published for that day by the European Central Bank, unless a different amount is communicated to the European Commission by 15 October, and shall apply from 1 January the following year. The European Commission shall notify the United Kingdom of the relevant amounts. The Union may establish other limits which it will communicate to the United Kingdom; and
for the United Kingdom, products whose total value exceeds the limits set under the domestic law of the United Kingdom. The United Kingdom will communicate these limits to the Union.
Article 61
Verification
The information requested pursuant to paragraph 1 shall cover no more than the following elements:
if the claim was based on a statement on origin, that statement on origin; and
information pertaining to the fulfilment of origin criteria, which is:
where the origin criterion is "wholly obtained", the applicable category (such as harvesting, mining, fishing) and the place of production;
where the origin criterion is based on change in tariff classification, a list of all the non-originating materials, including their tariff classification (in 2, 4 or 6-digit format, depending on the origin criterion);
where the origin criterion is based on a value method, the value of the final product as well as the value of all the non-originating materials used in the production of that product;
where the origin criterion is based on weight, the weight of the final product as well as the weight of the relevant non-originating materials used in the final product;
where the origin criterion is based on a specific production process, a description of that specific process.
Article 62
Administrative cooperation
If the claim for preferential tariff treatment was based on a statement on origin, as appropriate after having first requested information in accordance with Article 61(1) and based on the reply from the importer, the customs authority of the importing Party conducting the verification may also request information from the customs authority of the exporting Party within a period of two years after the importation of the products, or from the moment the claim is made pursuant to point (a) of Article 55(2) if the customs authority of the importing Party conducting the verification considers that additional information is necessary in order to verify the originating status of the product or to verify that the other requirements provided for in this Chapter have been met. The request for information shall include the following elements:
the statement on origin;
the identity of the customs authority issuing the request;
the name of the exporter;
the subject and scope of the verification; and
any relevant documentation.
In addition, the customs authority of the importing Party may request the customs authority of the exporting Party to provide specific documentation and information, where appropriate.
Without prejudice to paragraph 5, the customs authority of the exporting Party receiving the request referred to in paragraph 2 shall provide the customs authority of the importing Party with the following information:
the requested documentation, where available;
an opinion on the originating status of the product;
the description of the product that is subject to examination and the tariff classification relevant to the application of this Chapter;
a description and explanation of the production process that is sufficient to support the originating status of the product;
information on the manner in which the examination of the product was conducted; and
supporting documentation, where appropriate.
Article 63
Denial of preferential tariff treatment
Without prejudice to paragraph 3, the customs authority of the importing Party may deny preferential tariff treatment, if:
within three months after the date of a request for information pursuant to Article 61(1):
no reply has been provided by the importer;
where the claim for preferential tariff treatment was based on a statement on origin, no statement on origin has been provided; or
where the claim for preferential tariff treatment was based on the importer's knowledge, the information provided by the importer is inadequate to confirm that the product is originating;
within three months after the date of a request for additional information pursuant to Article 61(5):
no reply has been provided by the importer; or
the information provided by the importer is inadequate to confirm that the product is originating;
within 10 months ( 3 ) after the date of a request for information pursuant to Article 62(2):
no reply has been provided by the customs authority of the exporting Party; or
the information provided by the customs authority of the exporting Party is inadequate to confirm that the product is originating.
If such notification is made, consultations shall be held at the request of either Party, within three months after the date of the notification. The period for consultation may be extended on a case-by-case basis by mutual agreement between the customs authorities of the Parties. The consultation may take place in accordance with the procedure set by the Trade Specialised Committee on Customs Cooperation and Rules of Origin.
Upon the expiry of the period for consultation, if the customs authority of the importing Party cannot confirm that the product is originating, it may deny the preferential tariff treatment if it has a sufficient justification for doing so and after having granted the importer the right to be heard. However, when the customs authority of the exporting Party confirms the originating status of the products and provides justification for such conclusion, the customs authority of the importing Party shall not deny preferential tariff treatment to a product on the sole ground that Article 62(5) has been applied.
Article 64
Confidentiality
Article 65
Administrative measures and sanctions
Each Party shall ensure the effective enforcement of this Chapter. Each Party shall ensure that the competent authorities are able to impose administrative measures, and, where appropriate, sanctions, in accordance with its laws and regulations, on any person who draws up a document, or causes a document to be drawn up, which contains incorrect information that was provided for the purpose of obtaining a preferential tariff treatment for a product, who does not comply with the requirements set out in Article 59, or who does not provide the evidence, or refuses to submit to a visit, as referred to in Article 62(3).
SECTION 3
OTHER PROVISIONS
Article 66
Ceuta and Melilla
Article 67
Transitional provisions for products in transit or storage
The provisions of this Agreement may be applied to products which comply with the provisions of this Chapter and which on the date of entry into force of this Agreement are either in transit from the exporting Party to the importing Party or under customs control in the importing Party without payment of import duties and taxes, subject to the making of a claim for preferential tariff treatment referred to in Article 54 to the customs authority of the importing Party, within 12 months of that date.
Article 68
Amendment to this Chapter and its Annexes
Paragraph 1 shall not apply to:
Annex 5 to this Agreement;
the product-specific rules of origin set out in Annex 3 for products listed in Annex 5, until 1 January 2032; and
this Article, insofar as it relates to Annex 3 for products listed in Annex 5, and Annex 5, until 1 January 2032;
However, paragraph 1 shall apply where the product-specific rules of origin set out in Annex 3 for products listed in Annex 5, or in Annex 5 are amended due to updates of the Harmonised System.
CHAPTER 3
SANITARY AND PHYTOSANITARY MEASURES
Article 69
Objectives
The objectives of this Chapter are to:
protect human, animal and plant life or health in the territories of the Parties while facilitating trade between the Parties;
further the implementation of the SPS Agreement;
ensure that the Parties' sanitary and phytosanitary ("SPS") measures do not create unnecessary barriers to trade;
promote greater transparency and understanding on the application of each Party's SPS measures;
enhance cooperation between the Parties in the fight against antimicrobial resistance, promotion of sustainable food systems, protection of animal welfare, and on electronic certification;
enhance cooperation in the relevant international organisations to develop international standards, guidelines and recommendations on animal health, food safety and plant health; and
promote implementation by each Party of international standards, guidelines and recommendations.
Article 70
Scope
Article 71
Definitions
For the purposes of this Chapter, the following definitions apply:
the definitions contained in Annex A of the SPS Agreement;
the definitions adopted under the auspices of the Codex Alimentarius Commission (the "Codex");
the definitions adopted under the auspices of the World Organisation for Animal Health (the "OIE"); and
the definitions adopted under the auspices of the International Plant Protection Convention (the "IPPC").
For the purposes of this Chapter, the following definitions apply:
"import conditions" means any SPS measures that are required to be fulfilled for the import of products; and
"protected zone" for a specified regulated plant pest means an officially defined geographical area in which that pest is not established in spite of favourable conditions and its presence in other parts of the territory of the Party, and into which that pest is not allowed to be introduced.
Article 72
Rights and obligations
The Parties reaffirm their rights and obligations under the SPS Agreement. This includes the right to adopt measures in accordance with Article 5(7) of the SPS Agreement.
Article 73
General principles
Regarding trade-related SPS procedures and approvals established under this Chapter, each Party shall ensure that those procedures and related SPS measures:
are initiated and completed without undue delay;
do not include unnecessary, scientifically and technically unjustified or unduly burdensome information requests that might delay access to each other's markets;
are not applied in a manner which would constitute arbitrary or unjustifiable discrimination against the other Party's entire territory or parts of the other Party's territory where identical or similar SPS conditions exist; and
are proportionate to the risks identified and not more trade restrictive than necessary to achieve the importing Party's appropriate level of protection.
Article 74
Official certification
Where the importing Party requires official certificates, the model certificates shall be:
set in line with the principles as laid down in the international standards of the Codex, the IPPC and the OIE; and
applicable to imports from all parts of the territory of the exporting Party.
Article 75
Import conditions and procedures
In relation to the processes set out in paragraphs 3 to 8, the following actions shall be taken:
as soon as the importing Party has positively concluded its assessment, it shall promptly take all necessary legislative and administrative measures to allow trade to take place without undue delay;
the exporting Party shall:
provide all relevant information required by the importing Party; and
give reasonable access to the importing Party for audit and other relevant procedures.
the importing party shall establish a list of regulated pests for products, or other related objects, where a phytosanitary concern exists. That list shall contain:
the pests not known to occur within any part of its own territory;
the pests known to occur within its own territory and under official control;
the pests known to occur within parts of its own territory and for which pest free areas or protected zones are established; and
non-quarantine pests known to occur within its own territory and under official control for specified planting material.
Article 76
Lists of approved establishments
Article 77
Transparency and exchange of information
Each Party shall pursue transparency as regards SPS measures applicable to trade and shall for those purposes undertake the following actions:
promptly communicate to the other Party any changes to its SPS measures and approval procedures, including changes that may affect its capacity to fulfil the SPS import requirements of the other Party for certain products;
enhance mutual understanding of its SPS measures and their application;
exchange information with the other Party on matters related to the development and application of SPS measures, including the progress on new available scientific evidence, that affect, or may affect, trade between the Parties with a view to minimising negative trade effects;
upon request of the other Party, communicate the conditions that apply for the import of specific products within 20 working days;
upon request of the other Party, communicate the state of play of the procedure for the authorisation of specific products within 20 working days;
communicate to the other Party any significant change to the structure or organisation of a Party's competent authority;
on request, communicate the results of a Party's official control and a report that concerns the results of the control carried out;
on request, communicate the results of an import check provided for in case of a rejected or a non-compliant consignment; and
on request, communicate, without undue delay, a risk assessment or scientific opinion produced by a Party that is relevant to this Chapter.
Article 78
Adaptation to regional conditions
Article 79
Audits and verifications
The importing Party may carry out audits and verifications of the following:
all or part of the other Party's authorities' inspection and certification system;
the results of the controls carried out under the exporting Party's inspection and certification system.
For the purposes of carrying out such audits and verifications, the importing Party may conduct audits and verifications by means of requests of information from the exporting Party or audit and verification visits to the exporting Party, which may include:
an assessment of all or part of the responsible authorities' total control programme, including, where appropriate, reviews of regulatory audit and inspection activities;
on-the-spot checks; and
the collection of information and data to assess the causes of recurring or emerging problems in relation to exports of products.
Article 80
Notification and consultation
A Party shall notify the other Party without undue delay of:
a significant change to pest or disease status;
the emergence of a new animal disease;
a finding of epidemiological importance with respect to an animal disease;
a significant food safety issue identified by a Party;
any additional measures beyond the basic requirements of their respective SPS measures taken to control or eradicate animal disease or protect human health, and any changes in preventive policies, including vaccination policies;
on request, the results of a Party's official control and a report that concerns the results of the control carried out; and
any significant changes to the functions of a system or database.
Article 81
Emergency measures
Article 82
Multilateral international fora
The Parties agree to cooperate in multilateral international fora on the development of international standards, guidelines and recommendations in the areas under the scope of this Chapter.
Article 83
Implementation and competent authorities
For the purposes of the implementation of this Chapter, each Party shall take all of the following into account:
decisions of the WTO SPS Committee;
the work of the relevant international standard setting bodies;
any knowledge and past experience it has of trading with the exporting Party; and
information provided by the other Party.
Article 84
Cooperation on animal welfare
Article 85
Cooperation on antimicrobial resistance
The dialogue referred to in paragraph 1 shall cover, inter alia:
collaboration to follow up existing and future guidelines, standards, recommendations and actions developed in relevant international organisations and existing and future initiatives and national plans aiming to promote the prudent and responsible use of antibiotics and relating to animal production and veterinary practices;
collaboration in the implementation of the recommendations of OIE, WHO and Codex, in particular CAC-RCP61/2005;
the exchange of information on good farming practices;
the promotion of research, innovation and development;
the promotion of multidisciplinary approaches to combat antimicrobial resistance, including the One Health approach of the WHO, OIE and Codex.
Article 86
Sustainable food systems
Each Party shall encourage its food safety, animal and plant health services to cooperate with their counterparts in the other Party with the aim of promoting sustainable food production methods and food systems.
Article 87
Trade Specialised Committee on Sanitary and Phytosanitary Measures
The Trade Specialised Committee on Sanitary and Phytosanitary Measures shall supervise the implementation and operation of this Chapter and have the following functions:
promptly clarifying and addressing, where possible, any issue raised by a Party relating to the development, adoption or application of sanitary and phytosanitary requirements, standards and recommendations under this Chapter or the SPS Agreement;
discussing ongoing processes on the development of new regulations;
discussing as expeditiously as possible concerns expressed by a Party with regard to the SPS import conditions and procedures applied by the other Party;
regularly reviewing the Parties' SPS measures, including certification requirements and border clearance processes, and their application, in order to facilitate trade between the Parties, in accordance with the principles, objectives and procedures set out in Article 5 of the SPS Agreement. Each Party shall identify any appropriate action it will take, including in relation to the frequency of identity and physical checks, taking into consideration the results of this review and based on the criteria laid down in Annex 10 of this Agreement;
exchanging views, information, and experiences with respect to the cooperation activities on protecting animal welfare and the fight against antimicrobial resistance carried out under Articles 84 and 85;
on request of a Party, considering what constitutes a significant change in the disease or pest situation referred to in Article 78(9);
adopting decisions to:
add definitions as referred to in Article 71;
define the specific cases referred to in Article 74(2);
define details for the procedures referred to in Article 78(1);
establish other ways to support the explanations referred to in Article 78(5) and (7).
CHAPTER 4
TECHNICAL BARRIERS TO TRADE
Article 88
Objective
The objective of this Chapter is to facilitate trade in goods between the Parties by preventing, identifying and eliminating unnecessary technical barriers to trade.
Article 89
Scope
This Chapter does not apply to:
purchasing specifications prepared by governmental bodies for production or consumption requirements of such bodies; or
SPS measures that fall within the scope of Chapter 3 of this Title.
Article 90
Relationship with the TBT Agreement
Article 91
Technical regulations
A standard developed by other international organisations may also be considered a relevant international standard within the meaning of Article 2, Article 5 and Annex 3 of the TBT Agreement, provided that:
it has been developed by a standardising body which seeks to establish consensus either:
among national delegations of the participating WTO Members representing all the national standardising bodies in their territory that have adopted, or expect to adopt, standards on the subject matter to which the international standardisation activity relates, or,
among governmental bodies of participating WTO Members; and
it has been developed in accordance with the Decision of the WTO Committee on Technical Barriers to Trade on Principles for the Development of International Standards, Guides and Recommendations with relation to Articles 2, 5, and Annex 3 of the TBT Agreement. ( 4 )
Article 92
Standards
Each Party shall encourage the standardising bodies established within its territory, as well as the regional standardising bodies of which a Party or the standardising bodies established in its territory are members:
to participate, within the limits of their resources, in the preparation of international standards by relevant international standardising bodies;
to use relevant international standards as a basis for the standards they develop, except where such international standards would be ineffective or inappropriate, for example because of an insufficient level of protection, fundamental climatic or geographical factors or fundamental technological problems;
to avoid duplications of, or overlaps with, the work of international standardising bodies;
to review national and regional standards that are not based on relevant international standards at regular intervals, with a view to increasing the convergence of those standards with relevant international standards;
to cooperate with the relevant standardising bodies of the other Party in international standardisation activities, including through cooperation in the international standardising bodies or at regional level;
to foster bilateral cooperation with the standardising bodies of the other Party; and
to exchange information between standardising bodies.
The Parties shall exchange information on:
their respective use of standards in support of technical regulations; and
their respective standardisation processes, and the extent to which they use international, regional or sub-regional standards as a basis for their national standards.
Article 93
Conformity assessment
Where a Party requires conformity assessment as a positive assurance that a product conforms with a technical regulation, it shall:
select conformity assessment procedures that are proportionate to the risks involved, as determined on the basis of a risk-assessment;
consider as proof of compliance with technical regulations the use of a supplier's declaration of conformity, i.e. a declaration of conformity issued by the manufacturer on the sole responsibility of the manufacturer without a mandatory third-party assessment, as assurance of conformity among the options for showing compliance with technical regulations;
where requested by the other Party, provide information on the criteria used to select the conformity assessment procedures for specific products.
Where a Party requires third party conformity assessment as a positive assurance that a product conforms with a technical regulation and it has not reserved this task to a government authority as specified in paragraph 4, it shall:
use accreditation, as appropriate, as a means to demonstrate technical competence to qualify conformity assessment bodies. Without prejudice to its right to establish requirements for conformity assessment bodies, each Party recognises the valuable role that accreditation operated with authority derived from government and on a non-commercial basis can play in the qualification of conformity assessment bodies;
use relevant international standards for accreditation and conformity assessment;
encourage accreditation bodies and conformity assessment bodies located within its territory to join any relevant functioning international agreements or arrangements for harmonisation or facilitation of acceptance of conformity assessment results;
if two or more conformity assessment bodies are authorised by a Party to carry out conformity assessment procedures required for placing a product on the market, ensure that economic operators have a choice amongst the conformity assessment bodies designated by the authorities of a Party for a particular product or set of products;
ensure that conformity assessment bodies are independent of manufacturers, importers and economic operators in general and that there are no conflicts of interest between accreditation bodies and conformity assessment bodies;
allow conformity assessment bodies to use subcontractors to perform testing or inspections in relation to the conformity assessment, including subcontractors located in the territory of the other Party, and may require subcontractors to meet the same requirements the conformity assessment body must meet to perform such testing or inspections itself; and
publish on a single website a list of the bodies that it has designated to perform such conformity assessment and the relevant information on the scope of designation of each such body.
Nothing in this Article shall preclude a Party from requiring that conformity assessment in relation to specific products is performed by its specified government authorities. If a Party requires that conformity assessment is performed by its specified government authorities, that Party shall:
limit the conformity assessment fees to the approximate cost of the services rendered and, at the request of an applicant for conformity assessment, explain how any fees it imposes for that conformity assessment are limited to the approximate cost of services rendered; and
make publicly available the conformity assessment fees.
Article 94
Transparency
If a Party receives written comments on its proposed technical regulation or conformity assessment procedure from the other Party, it shall:
if requested by the other Party, discuss the written comments with the participation of its competent regulatory authority, at a time when they can be taken into account; and
reply in writing to the comments no later than the date of publication of the technical regulation or conformity assessment procedure.
Article 95
Marking and labelling
Where a Party requires mandatory marking or labelling of products, all of the following conditions shall apply:
it shall only require information which is relevant for consumers or users of the product or information that indicates that the product conforms to the mandatory technical requirements;
it shall not require any prior approval, registration or certification of the labels or markings of products, nor any fee disbursement, as a precondition for placing on its market products that otherwise comply with its mandatory technical requirements unless it is necessary in view of legitimate objectives;
where the Party requires the use of a unique identification number by economic operators, it shall issue such a number to the economic operators of the other Party without undue delay and on a non-discriminatory basis;
unless the information listed in point (i), (ii) or (iii) would be misleading, contradictory or confusing in relation to the information that the importing Party requires with respect to the goods, the importing Party shall permit:
information in other languages in addition to the language required in the importing Party of the goods;
internationally-accepted nomenclatures, pictograms, symbols or graphics; and
additional information to that required in the importing Party of the goods;
it shall accept that labelling, including supplementary labelling or corrections to labelling, take place in customs warehouses or other designated areas in the country of import as an alternative to labelling in the country of origin, unless such labelling is required to be carried out by approved persons for reasons of public health or safety; and
unless it considers that legitimate objectives may be undermined, it shall endeavour to accept the use of non-permanent or detachable labels, or marking or labelling in the accompanying documentation, rather than requiring labels or marking to be physically attached to the product.
Article 96
Cooperation on market surveillance and non-food product safety and compliance
To guarantee the independent and impartial functioning of market surveillance, the Parties shall ensure:
the separation of market surveillance functions from conformity assessment functions; and
the absence of any interests that would affect the impartiality of market surveillance authorities in the performance of their control or supervision of economic operators.
The Parties shall cooperate and exchange information in the area of non-food product safety and compliance, which may include in particular the following:
market surveillance and enforcement activities and measures;
risk assessment methods and product testing;
coordinated product recalls or other similar actions;
scientific, technical and regulatory matters in order to improve non-food product safety and compliance;
emerging issues of significant health and safety relevance;
standardisation-related activities;
exchanges of officials.
The arrangement shall set out the modalities under which:
the Union is to provide the United Kingdom with selected information from its RAPEX alert system, or its successor, as referred to in Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety, or its successor;
the United Kingdom is to provide the Union with selected information from its database relating to market surveillance and product safety established under the General Product Safety Regulations 2005, or its successor; and
the Parties are to inform each other of any follow-up actions and measures taken in response to the information exchanged.
Article 97
Technical discussions
If a Party considers that a draft or proposed technical regulation or conformity assessment procedure of the other Party might have a significant effect on trade between the Parties, it may request technical discussions on the matter. The request shall be made in writing to the other Party and shall identify:
the measure at issue;
the provisions of this Chapter or of an Annex to this Chapter to which the concerns relate; and
the reasons for the request, including a description of the requesting Party's concerns regarding the measure.
Article 98
Cooperation
For the purposes of paragraph 1, the Parties shall seek to identify, develop and promote cooperation activities of mutual interest. These activities may in particular relate to:
the exchange of information, experience and data related to technical regulations, standards and conformity assessment procedures;
ensuring efficient interaction and cooperation of their respective regulatory authorities at international, regional or national level;
exchanging information, to the extent possible, about international agreements and arrangements regarding technical barriers to trade to which one or both Parties are party; and
establishment of or participation in trade facilitating initiatives.
Article 99
Contact points
Article 100
Trade Specialised Committee on Technical Barriers to Trade
The Trade Specialised Committee on Technical Barriers to Trade shall supervise the implementation and operation of this Chapter and its Annexes and shall promptly clarify and address, where possible, any issue raised by a Party relating to the development, adoption or application of technical regulations, standards and conformity assessment procedures under this Chapter or the TBT Agreement.
CHAPTER 5
CUSTOMS AND TRADE FACILITATION
Article 101
Objective
The objectives of this Chapter are:
to reinforce cooperation between the Parties in the area of customs and trade facilitation and to support or maintain, where relevant, appropriate levels of compatibility of their customs legislation and practices with a view to ensuring that relevant legislation and procedures, as well as the administrative capacity of the relevant administrations, fulfil the objectives of promoting trade facilitation while ensuring effective customs controls and effective enforcement of customs legislation and trade related laws and regulations, the proper protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties;
to reinforce administrative cooperation between the Parties in the field of VAT and mutual assistance in claims related to taxes and duties;
to ensure that the legislation of each Party is non-discriminatory and that customs procedures are based upon the use of modern methods and effective controls to combat fraud and to promote legitimate trade; and
to ensure that legitimate public policy objectives, including in relation to security, safety and the fight against fraud are not compromised in any way.
Article 102
Definitions
For the purposes of this Chapter and Annex 18 and the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
"Agreement on Pre-shipment Inspection" means the Agreement on Pre-shipment Inspection, contained in Annex 1A to the WTO Agreement;
"ATA and Istanbul Conventions" means the Customs Convention on the ATA Carnet for the Temporary Admission of Goods done in Brussels on 6 December 1961 and the Istanbul Convention on Temporary Admission done on 26 June 1990;
"Common Transit Convention" means the Convention of 20 May 1987 on a common transit procedure;
"Customs Data Model of the WCO" means the library of data components and electronic templates for the exchange of business data and compilation of international standards on data and information used in applying regulatory facilitation and controls in global trade, as published by the WCO Data Model Project Team from time to time;
"customs legislation" means any legal or regulatory provision applicable in the territory of either Party, governing the entry or import of goods, exit or export of goods, the transit of goods and the placing of goods under any other customs regime or procedure, including measures of prohibition, restriction and control;
"information" means any data, document, image, report, communication or authenticated copy, in any format, including in electronic format, whether or not processed or analysed;
"person" means any person as defined in point (l) of Article 512 ( 5 );
"SAFE Framework" means the SAFE Framework of Standards to Secure and Facilitate Global Trade adopted at the June 2005 World Customs Organisation Session in Brussels and as updated from time to time; and
"WTO Trade Facilitation Agreement" means the Agreement on Trade Facilitation annexed to the Protocol Amending the WTO Agreement (decision of 27 November 2014).
Article 103
Customs cooperation
The Parties shall develop cooperation, including in the following areas:
exchanging information concerning customs legislation, the implementation of customs legislation and customs procedures; particularly in the following areas:
the simplification and modernisation of customs procedures;
the facilitation of transit movements and transhipment;
relations with the business community; and
supply chain security and risk management;
working together on the customs-related aspects of securing and facilitating the international trade supply chain in accordance with the SAFE Framework;
considering developing joint initiatives relating to import, export and other customs procedures including technical assistance, as well as towards ensuring an effective service to the business community;
strengthening their cooperation in the field of customs in international organisations such as the WTO and the WCO, and exchanging information or holding discussions with a view to establishing where possible common positions in those international organisations and in UNCTAD, UNECE;
endeavouring to harmonise their data requirements for import, export and other customs procedures by implementing common standards and data elements in accordance with the Customs Data Model of the WCO;
strengthening their cooperation on risk management techniques, including sharing best practices, and, where appropriate, risk information and control results. Where relevant and appropriate, the Parties may also consider mutual recognition of risk management techniques, risk standards and controls and customs security measures; the Parties may also consider, where relevant and appropriate, the development of compatible risk criteria and standards, control measures and priority control areas;
establishing mutual recognition of Authorised Economic Operator programmes to secure and facilitate trade;
fostering cooperation between customs and other government authorities or agencies in relation to Authorised Economic Operator programmes, which may be achieved, inter alia, by agreeing on the highest standards, facilitating access to benefits and minimising unnecessary duplication;
enforcing intellectual property rights by customs authorities, including exchanging information and best practices in customs operations focusing in particular on intellectual property rights enforcement;
maintaining compatible customs procedures, where appropriate and practicable to do so, including the application of a single administrative document for customs declaration; and
exchanging, where relevant and appropriate and under arrangements to be agreed, certain categories of customs-related information between the customs authorities of the Parties through structured and recurrent communication, for the purposes of improving risk management and the effectiveness of customs controls, targeting goods at risk in terms of revenue collection or safety and security, and facilitating legitimate trade; such exchanges may include export and import declaration data on trade between the Parties, with the possibility of exploring, through pilot initiatives, the development of interoperable mechanisms to avoid duplication in the submission of such information. Exchanges under this point shall be without prejudice to exchanges of information that may take place between the Parties pursuant to the Protocol on mutual administrative assistance in customs matters.
Article 104
Customs and other trade related legislation and procedures
Each Party shall ensure that its customs provisions and procedures:
are consistent with international instruments and standards applicable in the area of customs and trade, including the WTO Trade Facilitation Agreement, the substantive elements of the Revised Kyoto Convention on the Simplification and Harmonisation of Customs Procedures, the International Convention on the Harmonised Commodity Description and Coding System, as well as the SAFE Framework and the Customs Data Model of the WCO;
provide the protection and facilitation of legitimate trade taking into account the evolution of trade practices through effective enforcement including in case of breaches of its laws and regulations, duty evasion and smuggling and through ensuring compliance with legislative requirements;
are based on legislation that is proportionate and non-discriminatory, avoids unnecessary burdens on economic operators, provides for further facilitation for operators with high levels of compliance including favourable treatment with respect to customs controls prior to the release of goods, and ensures safeguards against fraud and illicit or damageable activities while ensuring a high level of protection of security and safety of citizens and the respect of prohibitions and restrictions and financial interests of the Parties; and
contain rules that ensure that any penalty imposed for breaches of customs regulations or procedural requirements is proportionate and non-discriminatory and that the imposition of such penalties does not result in unjustified delays.
Each Party should periodically review its legislation and customs procedures. Customs procedures should also be applied in a manner that is predictable, consistent and transparent.
In order to improve working methods and to ensure non-discrimination, transparency, efficiency, integrity and the accountability of operations, each Party shall:
simplify and review requirements and formalities wherever possible with a view to ensuring the rapid release and clearance of goods;
work towards the further simplification and standardisation of the data and documentation required by customs and other agencies; and
promote coordination between all border agencies, both internally and across borders, to facilitate border-crossing processes and enhance control, taking into account joint border controls where feasible and appropriate.
Article 105
Release of goods
Each Party shall adopt or maintain customs procedures that:
provide for the prompt release of goods within a period that is no longer than necessary to ensure compliance with its laws and regulations;
provide for advance electronic submission and processing of documentation and any other required information prior to the arrival of the goods, to enable the release of goods promptly upon arrival if no risk has been identified through risk analysis or if no random checks or other checks are to be performed;
provide for the possibility, where appropriate and if the necessary conditions are satisfied, of releasing goods for free circulation at the first point of arrival; and
allow for the release of goods prior to the final determination of customs duties, taxes, fees and charges, if such a determination is not done prior to, or upon arrival, or as rapidly as possible after arrival and provided that all other regulatory requirements have been met.
Article 106
Simplified customs procedures
Each Party shall adopt or maintain measures allowing traders or operators fulfilling criteria specified in its laws and regulations to benefit from further simplification of customs procedures. Such measures may include inter alia:
customs declarations containing a reduced set of data or supporting documents;
periodical customs declarations for the determination and payment of customs duties and taxes covering multiple imports within a given period after the release of those imported goods;
self-assessment of and the deferred payment of customs duties and taxes until after the release of those imported goods; and
the use of a guarantee with a reduced amount or a waiver from the obligation to provide a guarantee.
Article 107
Transit and transhipment
Article 108
Risk management
Article 109
Post-clearance audit
Article 110
Authorised Economic Operators
Article 111
Publication and availability of information
Each Party shall promptly publish new legislation and general procedures related to customs and trade facilitation issues as early as possible prior to the entry into force of any such legislation or procedures, and shall promptly publish any changes to and interpretations of such legislation and procedures. Such publication shall include:
relevant notices of an administrative nature;
importation, exportation and transit procedures (including port, airport, and other entry-point procedures) and required forms and documents;
applied rates of duty and taxes of any kind imposed on or in connection with importation or exportation;
fees and charges imposed by or for governmental agencies on or in connection with importation, exportation or transit;
rules for the classification or valuation of products for customs purposes;
laws, regulations and administrative rulings of general application relating to rules of origin;
import, export or transit restrictions or prohibitions;
penalty provisions against breaches of import, export or transit formalities;
appeal procedures;
agreements or parts thereof with any country or countries relating to importation, exportation or transit;
procedures relating to the administration of tariff quotas;
hours of operation and operating procedures for customs offices at ports and border crossing points; and
points of contact for information enquiries.
Each Party shall make the following available through the internet:
a description of its importation, exportation and transit procedures, including appeal procedures, informing of the practical steps needed to import and export, and for transit;
the forms and documents required for importation into, exportation from, or transit through the territory of that Party; and
contact information regarding enquiry points.
Each party shall ensure that the descriptions, forms, documents and information referred to in points (a), (b) and (c) of the first subparagraph are kept up to date.
Article 112
Advance rulings
Each Party shall publish, at least:
the requirements for applying for an advance ruling, including the information to be provided and the format;
the time period by which it will issue an advance ruling; and
the length of time for which the advance ruling is valid.
Advance rulings shall be issued with regard to:
the tariff classification of goods;
the origin of goods; and
any other matter the Parties may agree upon.
Article 113
Customs brokers
The customs provisions and procedures of a Party shall not require the mandatory use of customs brokers or other agents. Each Party shall publish its measures on the use of customs brokers. Each Party shall apply transparent, non-discriminatory and proportionate rules if and when licensing customs brokers.
Article 114
Pre-shipment inspections
A Party shall not require the mandatory use of pre-shipment inspections as defined in the WTO Agreement on Pre-shipment Inspection, or any other inspection activity performed at destination, by private companies, before customs clearance.
Article 115
Review and appeal
The procedures referred to in paragraph 1 shall include:
an administrative appeal to or review by an administrative authority higher than or independent of the official or office that issued the decision; and
a judicial appeal or review of the decision.
Article 116
Relations with the business community
Article 117
Temporary admission
Each Party shall grant temporary admission, with total conditional relief from import duties and taxes and without application of import restrictions or prohibitions of economic character, as provided for in its laws and regulations, to the following types of goods:
goods for display or use at exhibitions, fairs, meetings or similar events (goods intended for display or demonstration at an event; goods intended for use in connection with the display of foreign products at an event; equipment including interpretation equipment, sound and image recording apparatus and films of an educational, scientific or cultural character intended for use at international meetings, conferences or congresses); products obtained incidentally during the event from temporarily imported goods, as a result of the demonstration of displayed machinery or apparatus;
professional equipment (equipment for the press, for sound or television broadcasting which is necessary for representatives of the press, of broadcasting or television organisations visiting the territory of another country for purposes of reporting, in order to transmit or record material for specified programmes; cinematographic equipment necessary for a person visiting the territory of another country in order to make a specified film or films; any other equipment necessary for the exercise of the calling, trade or profession of a person visiting the territory of another country to perform a specified task, insofar as it is not to be used for the industrial manufacture or packaging of goods or (except in the case of hand tools) for the exploitation of natural resources, for the construction, repair or maintenance of buildings or for earth moving and like projects; ancillary apparatus for the equipment mentioned above, and accessories therefor); component parts imported for repair of professional equipment temporarily admitted;
goods imported in connection with a commercial operation but whose importation does not in itself constitute a commercial operation (packings which are imported filled for re-exportation empty or filled, or are imported empty for re-exportation filled; containers, whether or not filled with goods, and accessories and equipment for temporarily admitted containers, which are either imported with a container to be re-exported separately or with another container, or are imported separately to be re-exported with a container and component parts intended for the repair of containers granted temporary admission; pallets; samples; advertising films; other goods imported in connection with a commercial operation);
goods imported in connection with a manufacturing operation (matrices, blocks, plates, moulds, drawings, plans, models and other similar articles; measuring, controlling and checking instruments and other similar articles; special tools and instruments, imported for use during a manufacturing process); replacement means of production (instruments, apparatus and machines made available to a customer by a supplier or repairer, pending the delivery or repair of similar goods);
goods imported exclusively for educational, scientific or cultural purposes (scientific equipment, pedagogic material, welfare material for seafarers, and any other goods imported in connection with educational, scientific or cultural activities); spare parts for scientific equipment and pedagogic material which has been granted temporary admission; tools specially designed for the maintenance, checking, gauging or repair of such equipment;
personal effects (all articles, new or used, which a traveller may reasonably require for his or her personal use during the journey, taking into account all the circumstances of the journey, but excluding any goods imported for commercial purposes); goods imported for sports purposes (sports requisites and other articles for use by travellers in sports contests or demonstrations or for training in the territory of temporary admission);
tourist publicity material (goods imported for the purpose of encouraging the public to visit another foreign country, in particular in order to attend cultural, religious, touristic, sporting or professional meetings or demonstrations held there);
goods imported for humanitarian purposes (medical, surgical and laboratory equipment and relief consignments, such as vehicles and other means of transport, blankets, tents, prefabricated houses or other goods of prime necessity, forwarded as aid to those affected by natural disaster and similar catastrophes); and
animals imported for specific purposes (dressage, training, breeding, shoeing or weighing, veterinary treatment, testing (for example, with a view to purchase), participation in shows, exhibitions, contests, competitions or demonstrations, entertainment (circus animals, etc.), touring (including pet animals of travellers), exercise of function (police dogs or horses; detector dogs, dogs for the blind, etc.), rescue operations, transhumance or grazing, performance of work or transport, medical purposes (delivery of snake poison, etc.).
Article 118
Single window
Each Party shall endeavour to establish a single window that enables traders to submit documentation or data required for importation, exportation, or transit of goods through a single entry point to the participating authorities or agencies.
Article 119
Facilitation of roll-on, roll-off traffic
The Parties acknowledge:
the right of each Party to adopt trade facilitating customs formalities and procedures for traffic between the Parties within their respective legal frameworks; and
the right of ports, port authorities and operators to act, within the legal orders of their respective Parties, in accordance with their rules and their operating and business models.
To this effect the Parties:
shall adopt or maintain procedures allowing for the submission of import documentation and other required information, including manifests, in order to begin processing prior to the arrival of goods with a view to expediting the release of goods upon arrival; and
undertake to facilitate the use by operators of the transit procedure, including simplifications of the transit procedure as provided for under the Common Transit Convention.
Article 120
Administrative cooperation in VAT and mutual assistance for recovery of taxes and duties
The competent authorities of the Parties shall cooperate with each other to ensure compliance with VAT legislation and in recovering claims relating to taxes and duties in accordance with the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
Article 121
Trade Specialised Committee on Customs Cooperation and Rules of Origin
The Trade Specialised Committee on Customs Cooperation and Rules of Origin shall:
hold regular consultations; and
in relation to the review of the provisions of Annex 18:
jointly validate programme members to identify strengths and weaknesses in implementing Annex 18; and
exchange views on data to be shared and treatment of operators.
The Trade Specialised Committee on Customs Cooperation and Rules of Origin may adopt decisions or recommendations:
on the exchange of customs-related information, on mutual recognition of risk management techniques, risk standards and controls, customs security measures, on advanced rulings, on common approaches to customs valuation and on other issues related to the implementation of this Chapter;
on the arrangements relating to the automatic exchange of information as referred to in Article 10 of the Protocol on mutual administrative assistance in customs matters, and on other issues relating to the implementation of that Protocol;
on any issues relating to the implementation of Annex 18; and
on the procedures for the consultation established in Article 63 and on any technical or administrative matters relating to the implementation of Chapter 2 of this Title, including on interpretative notes aimed at ensuring the uniform administration of the rules of origin.
Article 122
Amendments
The Partnership Council may amend:
Annex 18, the Protocol on mutual administrative assistance in customs matters and the list of goods set out in Article 117(2); and
the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties.
TITLE II
SERVICES AND INVESTMENT
CHAPTER 1
GENERAL PROVISIONS
Article 123
Objective and scope
This Title does not apply to:
air services or related services in support of air services ( 6 ), other than:
aircraft repair and maintenance services;
computer reservation system services;
ground handling services;
the following services provided using a manned aircraft, subject to compliance with the Parties' respective laws and regulations governing the admission of aircrafts to, departure from and operation within, their territory: aerial fire-fighting; flight training; spraying; surveying; mapping; photography; and other airborne agricultural, industrial and inspection services; and
the selling and marketing of air transport services;
audio-visual services;
national maritime cabotage ( 7 ); and
inland waterways transport.
Article 124
Definitions
For the purposes of this Title, the following definitions apply:
"activities performed in the exercise of governmental authority" means activities which are performed, including services which are supplied, neither on a commercial basis nor in competition with one or more economic operators; ( 8 )
"aircraft repair and maintenance services" means such activities when undertaken on an aircraft or a part thereof while it is withdrawn from service and does not include so-called line maintenance;
"computer reservation system services" means services provided by computerised systems that contain information about air carriers' schedules, availability, fares and fare rules, through which reservations can be made or tickets may be issued;
"covered enterprise" means an enterprise in the territory of a Party established in accordance with point (h) by an investor of the other Party, in accordance with the applicable law, existing on the date of entry into force of this Agreement or established thereafter;
"cross-border trade in services" means the supply of a service:
from the territory of a Party into the territory of the other Party; or
in the territory of a Party to the service consumer of the other Party;
"economic activity" means any activity of an industrial, commercial or professional character or activities of craftsmen, including the supply of services, except for activities performed in the exercise of governmental authority;
"enterprise" means a legal person or a branch or a representative office of a legal person;
"establishment" means the setting up or the acquisition of a legal person, including through capital participation, or the creation of a branch or representative office in the territory of a Party, with a view to creating or maintaining lasting economic links;
"ground handling services" means the supply at an airport, on a fee or contract basis, of the following services: airline representation, administration and supervision; passenger handling; baggage handling; ramp services; catering; air cargo and mail handling; fuelling of an aircraft; aircraft servicing and cleaning; surface transport; and flight operations, crew administration and flight planning; ground handling services do not include: self-handling; security; aircraft repair and maintenance; or management or operation of essential centralised airport infrastructure, such as de-icing facilities, fuel distribution systems, baggage handling systems and fixed intra airport transport systems;
"investor of a Party" means a natural or legal person of a Party that seeks to establish, is establishing or has established an enterprise in accordance with point (h) in the territory of the other Party;
"legal person of a Party" ( 9 ) means:
for the Union:
a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged, in the territory of the Union, in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the Treaty on the Functioning of the European Union (TFEU); and
shipping companies established outside the Union, and controlled by natural persons of a Member State, whose vessels are registered in, and fly the flag of, a Member State;
for the United Kingdom:
a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom; and
shipping companies established outside the United Kingdom and controlled by natural persons of the United Kingdom, whose vessels are registered in, and fly the flag of, the United Kingdom;
"operation" means the conduct, management, maintenance, use, enjoyment, or sale or other form of disposal of an enterprise;
"professional qualifications" means qualifications attested by evidence of formal qualification, professional experience, or other attestation of competence;
"selling and marketing of air transport services" means opportunities for the air carrier concerned to sell and market freely its air transport services including all aspects of marketing such as market research, advertising and distribution, but not including the pricing of air transport services nor the applicable conditions;
"service" means any service in any sector except services supplied in the exercise of governmental authority;
"services supplied in the exercise of governmental authority" means any service which is supplied neither on a commercial basis, nor in competition with one or more service suppliers;
"service supplier" means any natural or legal person that seeks to supply or supplies a service;
"service supplier of a Party" means a natural or legal person of a Party that seeks to supply or supplies a service.
Article 125
Denial of benefits
A Party may deny the benefits of this Title and Title IV of this Heading to an investor or service supplier of the other Party, or to a covered enterprise, if the denying Party adopts or maintains measures related to the maintenance of international peace and security, including the protection of human rights, which:
prohibit transactions with that investor, service supplier or covered enterprise; or
would be violated or circumvented if the benefits of this Title and Title IV of this Heading were accorded to that investor, service supplier or covered enterprise, including where the measures prohibit transactions with a natural or legal person which owns or controls any of them.
Article 126
Review
CHAPTER 2
INVESTMENT LIBERALISATION
Article 127
Scope
This Chapter applies to measures of a Party affecting the establishment of an enterprise to perform economic activities and the operation of such an enterprise by:
investors of the other Party;
covered enterprises; and
for the purposes of Article 132, any enterprise in the territory of the Party which adopts or maintains the measure.
Article 128
Market access
A Party shall not adopt or maintain, with regard to establishment of an enterprise by an investor of the other Party or by a covered enterprise, or operation of a covered enterprise, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
impose limitations on:
the number of enterprises that may carry out a specific economic activity, whether in the form of numerical quotas, monopolies, exclusive rights or the requirement of an economic needs test;
the total value of transactions or assets in the form of numerical quotas or the requirement of an economic needs test;
the participation of foreign capital in terms of maximum percentage limit on foreign shareholding or the total value of individual or aggregate foreign investment; or
the total number of natural persons that may be employed in a particular sector or that an enterprise may employ and who are necessary for, and directly related to, the performance of an economic activity, in the form of numerical quotas or the requirement of an economic needs test; or
restrict or require specific types of legal entity or joint venture through which an investor of the other Party may perform an economic activity.
Article 129
National treatment
The treatment accorded by a Party under paragraph 1 means:
with respect to a regional or local level of government of the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, by that level of government to investors of the United Kingdom and to their enterprises in its territory; and
with respect to a government of, or in, a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, by that government to investors of that Member State and to their enterprises in its territory.
Article 130
Most-favoured-nation-treatment
Paragraphs 1 and 2 shall not be construed as obliging a Party to extend to investors of the other Party or to covered enterprises the benefit of any treatment resulting from:
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
measures providing for recognition, including the recognition of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or the recognition of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
Article 131
Senior management and boards of directors
A Party shall not require a covered enterprise to appoint individuals of any particular nationality as executives, managers or members of boards of directors.
Article 132
Performance requirements
A Party shall not impose or enforce any requirement, or enforce any commitment or undertaking, in connection with the establishment or operation of any enterprise in its territory:
to export a given level or percentage of goods or services;
to achieve a given level or percentage of domestic content;
to purchase, use or accord a preference to goods produced or services provided in its territory or to purchase goods or services from natural or legal persons or any other entities in its territory;
to relate in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with such enterprise;
to restrict sales of goods or services in its territory that such enterprise produces or supplies, by relating those sales in any way to the volume or value of its exports or foreign exchange inflows;
to transfer technology, a production process or other proprietary knowledge to a natural or legal person or any other entity in its territory ( 12 );
to supply exclusively from the territory of that Party a good produced or a service supplied by the enterprise to a specific regional or world market;
to locate the headquarters for a specific region of the world which is broader than the territory of the Party or the world market in its territory;
to employ a given number or percentage of natural persons of that Party;
to achieve a given level or value of research and development in its territory;
to restrict the exportation or sale for export; or
with regard to any licence contract in existence at the time the requirement is imposed or enforced, or any commitment or undertaking is enforced, or with regard to any future licence contract freely entered into between the enterprise and a natural or legal person or any other entity in its territory, if the requirement is imposed or enforced or the commitment or undertaking is enforced, in a manner that constitutes direct interference with that licence contract by an exercise of non-judicial governmental authority of a Party, to adopt:
a rate or amount of royalty below a certain level; or
a given duration of the term of a licence contract.
This point does not apply where the licence contract is concluded between the enterprise and the Party. For the purposes of this point, a "licence contract" means any contract concerning the licensing of technology, a production process, or other proprietary knowledge.
A Party shall not condition the receipt or continued receipt of an advantage, in connection with the establishment or operation of an enterprise in its territory, on compliance with any of the following requirements:
achieving a given level or percentage of domestic content;
purchasing, using or according a preference to goods produced or services supplied in its territory, or to purchase goods or services from natural or legal persons or any other entity in its territory;
relating in any way the volume or value of imports to the volume or value of exports or to the amount of foreign exchange inflows associated with that enterprise;
restricting the sales of goods or services in its territory that that enterprise produces or supplies by relating those sales in any way to the volume or value of its exports or foreign exchange inflows; or
restricting the exportation or sale for export.
Points (f) and (l) of paragraph 1 of this Article do not apply where:
the requirement is imposed or enforced, or the commitment or undertaking is enforced, by a court or administrative tribunal, or by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition; or
a Party authorises the use of an intellectual property right in accordance with Article 31 or Article 31bis of the TRIPS Agreement, or adopts or maintains measures requiring the disclosure of data or proprietary information that fall within the scope of, and are consistent with, paragraph 3 of Article 39 of the TRIPS Agreement.
Article 133
Non-conforming measures and exceptions
Articles 128, 129, 130, 131 and 132 do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
The central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19;
or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph, to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 128, 129, 130, 131 or 132.
CHAPTER 3
CROSS-BORDER TRADE IN SERVICES
Article 134
Scope
This Chapter applies to measures of a Party affecting the cross-border trade in services by service suppliers of the other Party.
Article 135
Market access
A Party shall not adopt or maintain, either on the basis of its entire territory or on the basis of a territorial sub-division, measures that:
impose limitations on:
the number of service suppliers that may supply a specific service, whether in the form of numerical quotas, monopolies, exclusive service suppliers or the requirement of an economic needs test;
the total value of service transactions or assets in the form of numerical quotas or the requirement of an economic needs test; or
the total number of service operations or on the total quantity of service output expressed in the terms of designated numerical units in the form of quotas or the requirement of an economic needs test ( 13 ); or
restrict or require specific types of legal entity or joint venture through which a service supplier may supply a service.
Article 136
Local presence
A Party shall not require a service supplier of the other Party to establish or maintain an enterprise or to be resident in its territory as a condition for the cross-border supply of a service.
Article 137
National treatment
Article 138
Most-favoured-nation treatment
Paragraph 1 shall not be construed as obliging a Party to extend to services and service suppliers of the other Party the benefit of any treatment resulting from:
an international agreement for the avoidance of double taxation or other international agreement or arrangement relating wholly or mainly to taxation; or
measures providing for recognition, including of the standards or criteria for the authorisation, licencing, or certification of a natural person or enterprise to carry out an economic activity, or of prudential measures as referred to in paragraph 3 of the GATS Annex on Financial Services.
Article 139
Non-conforming measures
Articles 135, 136, 137 and 138 do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Articles 135, 136, 137 and 138.
CHAPTER 4
ENTRY AND TEMPORARY STAY OF NATURAL PERSONS FOR BUSINESS PURPOSES
Article 140
Scope and definitions
For the purposes of this Chapter:
"business visitors for establishment purposes" means natural persons working in a senior position within a legal person of a Party, who:
are responsible for setting up an enterprise of such legal person in the territory of the other Party;
do not offer or provide services or engage in any economic activity other than that which is required for the purposes of the establishment of that enterprise; and
do not receive remuneration from a source located within the other Party;
"contractual service suppliers" means natural persons employed by a legal person of a Party (other than through an agency for placement and supply services of personnel), which is not established in the territory of the other Party and has concluded a bona fide contract, not exceeding 12 months, to supply services to a final consumer in the other Party requiring the temporary presence of its employees who:
have offered the same type of services as employees of the legal person for a period of not less than one year immediately preceding the date of their application for entry and temporary stay;
possess, on that date, at least three years professional experience, obtained after having reached the age of majority, in the sector of activity that is the object of the contract, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party ( 14 ); and
do not receive remuneration from a source located within the other Party;
"independent professionals" means natural persons engaged in the supply of a service and established as self-employed in the territory of a Party who:
have not established in the territory of the other Party;
have concluded a bona fide contract (other than through an agency for placement and supply services of personnel) for a period not exceeding 12 months to supply services to a final consumer in the other Party, requiring their presence on a temporary basis; and
possess, on the date of their application for entry and temporary stay, at least six years professional experience in the relevant activity, a university degree or a qualification demonstrating knowledge of an equivalent level and the professional qualifications legally required to exercise that activity in the other Party ( 15 );
"intra-corporate transferees" means natural persons, who:
have been employed by a legal person of a Party, or have been partners in it, for a period, immediately preceding the date of the intra-corporate transfer, of not less than one year in the case of managers and specialists and of not less than six months in the case of trainee employees;
at the time of application reside outside the territory of the other Party;
are temporarily transferred to an enterprise of the legal person in the territory of the other Party which is a member of the same group as the originating legal person, including its representative office, subsidiary, branch or head company ( 16 ); and
belong to one of the following categories:
managers ( 17 );
specialists; or
trainee employees;
"manager" means a natural person working in a senior position, who primarily directs the management of the enterprise in the other Party, receiving general supervision or direction principally from the board of directors or from shareholders of the business or their equivalent and whose responsibilities include:
directing the enterprise or a department or subdivision thereof;
supervising and controlling the work of other supervisory, professional or managerial employees; and
having the authority to recommend hiring, dismissing or other personnel-related actions;
"specialist" means a natural person possessing specialised knowledge, essential to the enterprise's areas of activity, techniques or management, which is to be assessed taking into account not only knowledge specific to the enterprise, but also whether the person has a high level of qualification, including adequate professional experience of a type of work or activity requiring specific technical knowledge, including possible membership of an accredited profession; and
"trainee employee" means a natural person possessing a university degree who is temporarily transferred for career development purposes or to obtain training in business techniques or methods and is paid during the period of the transfer. ( 18 )
Article 141
Intra-corporate transferees and business visitors for establishment purposes
Subject to the relevant conditions and qualifications specified in Annex 21:
each Party shall allow:
the entry and temporary stay of intra-corporate transferees;
the entry and temporary stay of business visitors for establishment purposes without requiring a work permit or other prior approval procedure of similar intent; and
the employment in its territory of intra-corporate transferees of the other Party;
a Party shall not maintain or adopt limitations in the form of numerical quotas or economic needs tests regarding the total number of natural persons that, in a specific sector, are allowed entry as business visitors for establishment purposes or that an investor of the other Party may employ as intra-corporate transferees, either on the basis of a territorial subdivision or on the basis of its entire territory; and
each Party shall accord to intra-corporate transferees and business visitors for establishment purposes of the other Party, during their temporary stay in its territory, treatment no less favourable than that it accords, in like situations, to its own natural persons.
Article 142
Short-term business visitors
Subject to the relevant conditions and qualifications specified in Annex 21, each Party shall allow the entry and temporary stay of short-term business visitors of the other Party for the purposes of carrying out the activities listed in Annex 21, subject to the following conditions:
the short-term business visitors are not engaged in selling their goods or supplying services to the general public;
the short-term business visitors do not, on their own behalf, receive remuneration from within the Party where they are staying temporarily; and
the short-term business visitors are not engaged in the supply of a service in the framework of a contract concluded between a legal person that has not established in the territory of the Party where they are staying temporarily, and a consumer there, except as provided for in Annex 21.
Article 143
Contractual service suppliers and independent professionals
In the sectors, subsectors and activities specified in Annex 22 and subject to the relevant conditions and qualifications specified therein:
a Party shall allow the entry and temporary stay of contractual service suppliers and independent professionals in its territory;
a Party shall not adopt or maintain limitations on the total number of contractual service suppliers and independent professionals of the other Party allowed entry and temporary stay, in the form of numerical quotas or an economic needs test; and
each Party shall accord to contractual service suppliers and independent professionals of the other Party, with regard to the supply of their services in its territory, treatment no less favourable than that it accords, in like situations, to its own service suppliers.
Article 144
Non-conforming measures
To the extent that the relevant measure affects the temporary stay of natural persons for business purposes, points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1) do not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional subdivision, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this Article;
a modification to any non-conforming measure referred to in points (a) and (b) of this Article to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with points (b) and (c) of Article 141(1), Article 142(3) and points (b) and (c) of Article 143(1); or
any measure of a Party consistent with a condition or qualification specified in Annex 20.
Article 145
Transparency
The information referred to in paragraph 1 shall, to the extent possible, include the following information relevant to the entry and temporary stay of natural persons:
categories of visa, permits or any similar type of authorisation regarding the entry and temporary stay;
documentation required and conditions to be met;
method of filing an application and options on where to file, such as consular offices or online;
application fees and an indicative timeframe of the processing of an application;
the maximum length of stay under each type of authorisation described in point (a);
conditions for any available extension or renewal;
rules regarding accompanying dependants;
available review or appeal procedures; and
relevant laws of general application pertaining to the entry and temporary stay of natural persons for business purposes.
CHAPTER 5
REGULATORY FRAMEWORK
SECTION 1
DOMESTIC REGULATION
Article 146
Scope and definitions
This Section applies to measures by the Parties relating to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards that affect:
cross-border trade in services;
establishment or operation; or
the supply of a service through the presence of a natural person of a Party in the territory of the other Party as set out in Article 140.
As far as measures relating to technical standards are concerned, this Section only applies to measures that affect trade in services. For the purposes of this Section, the term "technical standards" does not include regulatory or implementing technical standards for financial services.
This Section does not apply to licensing requirements and procedures, qualification requirements and procedures, formalities and technical standards pursuant to a measure:
that does not conform with Article 128 or 129 and is referred to in points (a) to (c) of Article 133(1) or with Article 135, 136 or 137 and is referred to in points (a) to (c) of Article 139(1) or with points (b) and (c) of Article 141(1), or Article 142(3) or with points (b) and (c) of Article 143(1) and is referred to in Article 144; or
referred to in Article 133(2) or Article 139(2).
For the purposes of this Section, the following definitions apply:
"authorisation" means the permission to carry out any of the activities referred to in points (a) to (c) of paragraph 1 resulting from a procedure a natural or legal person must adhere to in order to demonstrate compliance with licensing requirements, qualification requirements, technical standards or formalities for the purposes of obtaining, maintaining or renewing that permission; and
"competent authority" means a central, regional or local government or authority or non-governmental body in the exercise of powers delegated by central, regional or local governments or authorities, which is entitled to take a decision concerning the authorisation referred to in point (a).
Article 147
Submission of applications
Each Party shall, to the extent practicable, avoid requiring an applicant to approach more than one competent authority for each application for authorisation. If an activity for which authorisation is requested is within the jurisdiction of multiple competent authorities, multiple applications for authorisation may be required.
Article 148
Application timeframes
If a Party requires authorisation, it shall ensure that its competent authorities, to the extent practicable, permit the submission of an application at any time throughout the year. If a specific time period for applying for authorisation exists, the Party shall ensure that the competent authorities allow a reasonable period of time for the submission of an application.
Article 149
Electronic applications and acceptance of copies
If a Party requires authorisation, it shall ensure that its competent authorities:
to the extent possible provide for applications to be completed by electronic means, including from within the territory of the other Party; and
accept copies of documents, that are authenticated in accordance with the Party's domestic law, in place of original documents, unless the competent authorities require original documents to protect the integrity of the authorisation process.
Article 150
Processing of applications
If a Party requires authorisation, it shall ensure that its competent authorities:
process applications throughout the year. Where that is not possible, this information should be made public in advance, to the extent practicable;
to the extent practicable, provide an indicative timeframe for the processing of an application. That timeframe shall be reasonable to the extent practicable;
at the request of the applicant, provide without undue delay information concerning the status of the application;
to the extent practicable, ascertain without undue delay the completeness of an application for processing under the Party's domestic laws and regulations;
if they consider an application complete for the purposes of processing under the Party's domestic laws and regulations, ( 19 ) within a reasonable period of time after the submission of the application ensure that:
the processing of the application is completed; and
the applicant is informed of the decision concerning the application, to the extent possible, in writing; ( 20 )
if they consider an application incomplete for the purposes of processing under the Party's domestic laws and regulations, within a reasonable period of time, to the extent practicable:
inform the applicant that the application is incomplete;
at the request of the applicant identify the additional information required to complete the application or otherwise provide guidance on why the application is considered incomplete; and
provide the applicant with the opportunity to provide the additional information that is required to complete the application; ( 21 )
however, if none of the actions referred to in points (i), (ii) and (iii) is practicable, and the application is rejected due to incompleteness, the competent authorities shall ensure that they inform the applicant within a reasonable period of time; and
if an application is rejected, either upon their own initiative or upon request of the applicant, inform the applicant of the reasons for rejection and of the timeframe for an appeal against that decision and, if applicable, the procedures for resubmission of an application; an applicant shall not be prevented from submitting another application solely on the basis of a previously rejected application.
Article 151
Fees
Article 152
Assessment of qualifications
If a Party requires an examination to assess the qualifications of an applicant for authorisation, it shall ensure that its competent authorities schedule such an examination at reasonably frequent intervals and provide a reasonable period of time to enable applicants to request to take the examination. To the extent practicable, each Party shall accept requests in electronic format to take such examinations and shall consider the use of electronic means in other aspects of examination processes.
Article 153
Publication and information available
If a Party requires authorisation, the Party shall promptly publish the information necessary for persons carrying out or seeking to carry out the activities referred to in Article 146(1) for which the authorisation is required to comply with the requirements, formalities, technical standards and procedures for obtaining, maintaining, amending and renewing such authorisation. Such information shall include, to the extent it exists:
the licensing and qualification requirements and procedures and formalities;
contact information of relevant competent authorities;
authorisation fees;
applicable technical standards;
procedures for appeal or review of decisions concerning applications;
procedures for monitoring or enforcing compliance with the terms and conditions of licences or qualifications;
opportunities for public involvement, such as through hearings or comments; and
indicative timeframes for the processing of an application.
For the purposes of this Section, "publish" means to include in an official publication, such as an official journal, or on an official website. Parties shall consolidate electronic publications into a single online portal or otherwise ensure that competent authorities make them easily accessible through alternative electronic means.
Article 154
Technical standards
Each Party shall encourage its competent authorities, when adopting technical standards, to adopt technical standards developed through open and transparent processes, and shall encourage any body, including relevant international organisations, designated to develop technical standards to do so through open and transparent processes.
Article 155
Conditions for authorisation
The criteria referred to in paragraph 1 shall be:
clear and unambiguous;
objective and transparent;
pre-established;
made public in advance;
impartial; and
easily accessible.
If a Party adopts or maintains a measure relating to authorisation, it shall ensure that:
the competent authority concerned processes applications, and reaches and administers its decisions, objectively and impartially and in a manner independent of the undue influence of any person carrying out the economic activity for which authorisation is required; and
the procedures themselves do not prevent fulfilment of the requirements.
Article 156
Limited numbers of licences
If the number of licences available for a given activity is limited because of the scarcity of available natural resources or technical capacity, a Party shall apply a selection procedure to potential candidates which provides full guarantees of impartiality, objectivity and transparency, including, in particular, adequate publicity about the launch, conduct and completion of the procedure. In establishing the rules for the selection procedure, a Party may take into account legitimate policy objectives, including considerations of health, safety, the protection of the environment and the preservation of cultural heritage.
SECTION 2
PROVISIONS OF GENERAL APPLICATION
Article 157
Review procedures for administrative decisions
A Party shall maintain judicial, arbitral or administrative tribunals or procedures which provide, on request of an affected investor or service supplier of the other Party, for the prompt review of, and if justified appropriate remedies for, administrative decisions that affect establishment or operation, cross-border trade in services or the supply of a service through the presence of a natural person of a Party in the territory of the other Party. For the purposes of this Section, "administrative decisions" means a decision or action with a legal effect that applies to a specific person, good or service in an individual case and covers the failure to take an administrative decision or take such action when that is so required by a Party's law. If such procedures are not independent of the competent authority entrusted with the administrative decision concerned, a Party shall ensure that the procedures in fact provide for an objective and impartial review.
Article 158
Professional qualifications
The professional bodies or authorities, which are relevant for the sector of activity concerned in their respective territories, may develop and provide joint recommendations on the recognition of professional qualifications to the Partnership Council. Such joint recommendations shall be supported by an evidence-based assessment of:
the economic value of an envisaged arrangement on the recognition of professional qualifications; and
the compatibility of the respective regimes, that is, the extent to which the requirements applied by each Party for the authorisation, licensing, operation and certification are compatible.
SECTION 3
DELIVERY SERVICES
Article 159
Scope and definitions
For the purposes of this Section, the following definitions apply:
"delivery services" means postal services, courier services, express delivery services or express mail services, which include the following activities: the collection, sorting, transport, and delivery of postal items;
"express delivery services" means the collection, sorting, transport and delivery of postal items at accelerated speed and reliability and may include value added elements such as collection from point of origin, personal delivery to the addressee, tracing, possibility of changing the destination and addressee in transit or confirmation of receipt;
"express mail services" means international express delivery services supplied through the EMS Cooperative, which is the voluntary association of designated postal operators under Universal Postal Union (UPU);
"licence" means an authorisation that a regulatory authority of a Party may require of an individual supplier in order for that supplier to offer postal or courier services;
"postal item" means an item up to 31.5 kg addressed in the final form in which it is to be carried by any type of supplier of delivery services, whether public or private and may include items such as a letter, parcel, newspaper or catalogue;
"postal monopoly" means the exclusive right to supply specified delivery services within a Party's territory or a subdivision thereof pursuant to the law of that Party; and
"universal service" means the permanent supply of a delivery service of specified quality at all points in the territory of a Party or a subdivision thereof at affordable prices for all users.
Article 160
Universal service
Article 161
Universal service funding
A party shall not impose fees or other charges on the supply of a delivery service that is not a universal service for the purposes of funding the supply of a universal service. This Article does not apply to generally applicable taxation measures or administrative fees.
Article 162
Prevention of market distortive practices
Each party shall ensure that suppliers of delivery services subject to a universal service obligation or postal monopolies do not engage in market distortive practices such as:
using revenues derived from the supply of the service subject to a universal service obligation or from a postal monopoly to cross-subsidise the supply of an express delivery service or any delivery service which is not subject to a universal service obligation; or
unjustifiably differentiating between consumers with respect to tariffs or other terms and conditions for the supply of a service subject to a universal service or a postal monopoly.
Article 163
Licences
If a Party requires a licence for the provision of delivery services, it shall make publicly available:
all the licensing requirements and the period of time normally required to reach a decision concerning an application for a licence; and
the terms and conditions of licences.
Article 164
Independence of the regulatory body
SECTION 4
TELECOMMUNICATIONS SERVICES
Article 165
Scope
This Section applies to measures of a Party affecting the supply of telecommunications services in addition to Chapters 1, 2, 3 and 4 of this Title, and to Sections 1 and 2 of this Chapter.
Article 166
Definitions
For the purposes of this Section, the following definitions apply:
"associated facilities" means associated services, physical infrastructure and other facilities or elements associated with a telecommunications network or telecommunications service which enable or support the supply of services via that network or service or have the potential to do so;
"end user" means a final consumer of, or subscriber to, a public telecommunications service, including a service supplier other than a supplier of public telecommunications services;
"essential facilities" means facilities of a public telecommunications network or a public telecommunications service that:
are exclusively or predominantly provided by a single or limited number of suppliers; and
cannot feasibly be economically or technically substituted in order to provide a service;
"interconnection" means the linking of public telecommunications networks used by the same or different suppliers of telecommunications networks or telecommunications services in order to allow the users of one supplier to communicate with users of the same or another supplier or to access services provided by another supplier, irrespective of whether those services are provided by the suppliers involved or any other supplier who has access to the network;
"international mobile roaming service" means a commercial mobile service provided pursuant to a commercial agreement between suppliers of public telecommunications services that enables an end user to use its home mobile handset or other device for voice, data or messaging services while outside the territory in which the end user's home public telecommunications network is located;
"internet access service" means a public telecommunications service that provides access to the internet and thereby connectivity to virtually all end points of the internet, irrespective of the network technology and terminal equipment used;
"leased circuit" means telecommunications services or facilities, including those of a virtual nature, that set aside capacity for the dedicated use by, or availability to, a user between two or more designated points;
"major supplier" means a supplier of telecommunications networks or telecommunications services which has the ability to materially affect the terms of participation, having regard to price and supply, in a relevant market for telecommunications networks or telecommunications services as a result of control over essential facilities or the use of its position in that market;
"network element" means a facility or equipment used in supplying a telecommunications service, including features, functions and capabilities provided by means of that facility or equipment;
"number portability" means the ability of subscribers who so request to retain the same telephone numbers, at the same location in the case of a fixed line, without impairment of quality, reliability or convenience when switching between the same category of suppliers of public telecommunications services;
"public telecommunications network" means any telecommunications network used wholly or mainly for the provision of public telecommunications services which supports the transfer of information between network termination points;
"public telecommunications service" means any telecommunications service that is offered to the public generally;
"subscriber" means any natural or legal person which is party to a contract with a supplier of public telecommunications services for the supply of such services;
"telecommunications" means the transmission and reception of signals by any electromagnetic means;
"telecommunications network" means transmission systems and, where applicable, switching or routing equipment and other resources, including network elements which are not active, which permit the transmission and reception of signals by wire, radio, optical, or other electromagnetic means;
"telecommunications regulatory authority" means the body or bodies charged by a Party with the regulation of telecommunications networks and telecommunications services covered by this Section;
"telecommunications service" means a service which consists wholly or mainly in the transmission and reception of signals, including broadcasting signals, over telecommunications networks, including those used for broadcasting, but not a service providing, or exercising editorial control over, content transmitted using telecommunications networks and telecommunications services;
"universal service" means the minimum set of services of specified quality that must be made available to all users, or to a set of users, in the territory of a Party, or in a subdivision thereof, regardless of their geographical location and at an affordable price; and
"user" means any natural or legal person using a public telecommunications service.
Article 167
Telecommunications regulatory authority
Each Party shall establish or maintain a telecommunications regulatory authority that:
is legally distinct and functionally independent from any supplier of telecommunications networks, telecommunications services or telecommunications equipment;
uses procedures and issues decisions that are impartial with respect to all market participants;
acts independently and does not seek or take instructions from any other body in relation to the exercise of the tasks assigned to it by law to enforce the obligations set out in Articles 169, 170, 171, 173 and 174;
has the regulatory power, as well as adequate financial and human resources, to carry out the tasks mentioned in point (c) of this Article;
has the power to ensure that suppliers of telecommunications networks or telecommunications services provide it, promptly upon request, with all the information ( 25 ), including financial information, which is necessary to enable it to carry out the tasks mentioned in point (c) of this Article; and
exercises its powers transparently and in a timely manner.
Article 168
Authorisation to provide telecommunications networks or services
Article 169
Interconnection
Each Party shall ensure that a supplier of public telecommunications networks or public telecommunications services has the right and, when so requested by another supplier of public telecommunications networks or public telecommunications services, the obligation to negotiate interconnection for the purposes of providing public telecommunications networks or public telecommunications services.
Article 170
Access and use
Each Party shall ensure that covered enterprises or service suppliers of the other Party have access to and use of any public telecommunications network or public telecommunications service offered within or across its border, including private leased circuits, and to that end shall ensure, subject to paragraph 5, that such enterprises and suppliers are permitted:
to purchase or lease and attach terminal or other equipment which interfaces with the network and which is necessary to conduct their operations;
to interconnect private leased or owned circuits with public telecommunications networks or with circuits leased or owned by another covered enterprise or service supplier; and
to use the operating protocols of their choice in their operations, other than as necessary to ensure the availability of telecommunications services to the public generally.
Each Party shall ensure that no condition is imposed on access to and use of public telecommunications networks or services other than as necessary:
to safeguard the public service responsibilities of suppliers of public telecommunications networks or public telecommunications services, in particular their ability to make their services available to the public generally; or
to protect the technical integrity of public telecommunications networks or services.
Article 171
Resolution of telecommunications disputes
Article 172
Competitive safeguards on major suppliers
Each Party shall introduce or maintain appropriate measures for the purpose of preventing suppliers of telecommunications networks or telecommunications services who, alone or together, are a major supplier from engaging in or continuing anti-competitive practices. These anti-competitive practices shall include in particular:
engaging in anti-competitive cross-subsidisation;
using information obtained from competitors with anti-competitive results; and
not making available to other service suppliers on a timely basis technical information about essential facilities and commercially relevant information which are necessary for them to provide services.
Article 173
Interconnection with major suppliers
Each Party shall ensure that major suppliers of public telecommunications networks or public telecommunications services provide interconnection at any technically feasible point in the network. Such interconnection shall be provided:
under non-discriminatory terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) and of a quality no less favourable than that provided for the own like services of such major supplier, or for like services of its subsidiaries or other affiliates;
in a timely fashion, on terms and conditions (including as regards rates, technical standards, specifications, quality and maintenance) that are transparent, reasonable, having regard to economic feasibility, and sufficiently unbundled so that the supplier need not pay for network elements or facilities that it does not require for the service to be provided; and
upon request, at points in addition to the network termination points offered to the majority of users, subject to charges that reflect the cost of construction of necessary additional facilities.
Article 174
Access to major suppliers' essential facilities
Each Party shall ensure that major suppliers in its territory make their essential facilities available to suppliers of telecommunications networks or telecommunications services on reasonable, transparent and non-discriminatory terms and conditions for the purpose of providing public telecommunications services, except where this is not necessary to achieve effective competition on the basis of the facts collected and the assessment of the market conducted by the telecommunications regulatory authority. The major supplier's essential facilities may include network elements, leased circuits services and associated facilities.
Article 175
Scarce resources
Article 176
Universal service
Article 177
Number portability
Each Party shall ensure that suppliers of public telecommunications services provide number portability on reasonable terms and conditions.
Article 178
Open internet access
Each Party shall ensure that, subject to its laws and regulations, suppliers of internet access services enable users of those services to:
access and distribute information and content, use and provide applications and services of their choice, subject to non-discriminatory, reasonable, transparent and proportionate network management; and
use devices of their choice, provided that such devices do not harm the security of other devices, the network or services provided over the network.
Article 179
Confidentiality of information
Article 180
Foreign shareholding
With regard to the provision of telecommunications networks or telecommunications services through establishment and notwithstanding Article 133, a Party shall not impose joint venture requirements or limit the participation of foreign capital in terms of maximum percentage limits on foreign shareholding or the total value of individual or aggregate foreign investment.
Article 181
International mobile roaming ( 28 )
Parties may choose to take steps to enhance transparency and competition with respect to international mobile roaming rates and technological alternatives to roaming services, such as:
ensuring that information regarding retail rates is easily accessible to end users; and
minimising impediments to the use of technological alternatives to roaming, whereby end users visiting the territory of a Party from the territory of the other Party can access telecommunications services using the device of their choice.
SECTION 5
FINANCIAL SERVICES
Article 182
Scope
For the purposes of this Section, the term "activities performed in the exercise of governmental authority" referred to in point (f) of Article 124 means the following ( 29 ):
activities conducted by a central bank or a monetary authority or by any other public entity in pursuit of monetary or exchange rate policies;
activities forming part of a statutory system of social security or public retirement plans; and
other activities conducted by a public entity for the account or with the guarantee or using the financial resources of the Party or its public entities.
Article 183
Definitions
For the purposes of this Title, the following definitions apply:
"financial service" means any service of a financial nature offered by a financial service supplier of a Party and includes the following activities:
insurance and insurance-related services:
direct insurance (including co-insurance):
life;
non-life;
reinsurance and retrocession;
insurance intermediation, such as brokerage and agency; and
services auxiliary to insurance, such as consultancy, actuarial, risk assessment and claim settlement services;
banking and other financial services (excluding insurance):
acceptance of deposits and other repayable funds from the public;
lending of all types, including consumer credit, mortgage credit, factoring and financing of commercial transaction;
financial leasing;
all payment and money transmission services, including credit, charge and debit cards, travellers cheques and bankers drafts;
guarantees and commitments;
trading for own account or for account of customers, whether on an exchange, in an over-the-counter market or otherwise, the following:
money market instruments (including cheques, bills, certificates of deposits);
foreign exchange;
derivative products including, but not limited to, futures and options;
exchange rate and interest rate instruments, including products such as swaps, forward rate agreements;
transferable securities; and
other negotiable instruments and financial assets, including bullion;
participation in issues of all kinds of securities, including underwriting and placement as agent (whether publicly or privately) and provision of services related to such issues;
money broking;
asset management, such as cash or portfolio management, all forms of collective investment management, pension fund management, custodial, depository and trust services;
settlement and clearing services for financial assets, including securities, derivative products, and other negotiable instruments;
provision and transfer of financial information, and financial data processing and related software; and
advisory, intermediation and other auxiliary financial services on all the activities listed in points (A) to (K), including credit reference and analysis, investment and portfolio research and advice, advice on acquisitions and on corporate restructuring and strategy;
"financial service supplier" means any natural or legal person of a Party that seeks to supply or supplies financial services and does not include a public entity;
"new financial service" means a service of a financial nature including services related to existing and new products or the manner in which a product is delivered, that is not supplied by any financial service supplier in the territory of a Party but which is supplied in the territory of the other Party;
"public entity" means:
a government, a central bank or a monetary authority, of a Party, or an entity owned or controlled by a Party, that is principally engaged in carrying out governmental functions or activities for governmental purposes, not including an entity principally engaged in supplying financial services on commercial terms; or
a private entity, performing functions normally performed by a central bank or monetary authority, when exercising those functions;
"self-regulatory organisation" means any non-governmental body, including a securities or futures exchange or market, clearing agency, other organisation or association, that exercises regulatory or supervisory authority over financial service suppliers by statute or delegation from central, regional or local governments or authorities, where applicable.
Article 184
Prudential carve-out
Nothing in this Agreement shall prevent a Party from adopting or maintaining measures for prudential reasons ( 30 ), such as:
the protection of investors, depositors, policy-holders or persons to whom a fiduciary duty is owed by a financial service supplier; or
ensuring the integrity and stability of a Party's financial system.
Article 185
Confidential information
Without prejudice to Part Three, nothing in this Agreement shall be construed to require a Party to disclose information relating to the affairs and accounts of individual consumers or any confidential or proprietary information in the possession of public entities.
Article 186
International standards
The Parties shall make their best endeavours to ensure that internationally agreed standards in the financial services sector for regulation and supervision, for the fight against money laundering and terrorist financing and for the fight against tax evasion and avoidance, are implemented and applied in their territory. Such internationally agreed standards are, inter alia, those adopted by: the G20; the Financial Stability Board; the Basel Committee on Banking Supervision, in particular its "Core Principle for Effective Banking Supervision"; the International Association of Insurance Supervisors, in particular its "Insurance Core Principles"; the International Organisation of Securities Commissions, in particular its "Objectives and Principles of Securities Regulation"; the Financial Action Task Force; and the Global Forum on Transparency and Exchange of Information for Tax Purposes of the Organisation for Economic Cooperation and Development.
Article 187
Financial services new to the territory of a Party
Article 188
Self-regulatory organisations
Where a Party requires membership of, participation in, or access to, any self-regulatory organisation in order for financial service suppliers of the other Party to supply financial services in its territory, the Party shall ensure observance by that self-regulatory organisation of the obligations under Articles 129, 130, 137 and 138.
Article 189
Clearing and payment systems
Under terms and conditions that accord national treatment, each Party shall grant to financial service suppliers of the other Party established in its territory access to payment and clearing systems operated by public entities, and to official funding and refinancing facilities available in the normal course of ordinary business. This Article does not confer access to the Party's lender of last resort facilities.
SECTION 6
INTERNATIONAL MARITIME TRANSPORT SERVICES
Article 190
Scope and definitions
For the purposes of this Section and Chapters 1, 2, 3 and 4 of this Title, the following definitions apply:
"international maritime transport services" means the transport of passengers or cargo by sea-going vessels between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States, including the direct contracting with providers of other transport services, with a view to covering door-to-door or multimodal transport operations under a single transport document, but does not include the right to provide such other transport services;
"door-to-door or multimodal transport operations" means the transport of international cargo using more than one mode of transport, that includes an international sea-leg, under a single transport document;
"international cargo" means cargo transported between a port of one Party and a port of the other Party or of a third country, or between ports of different Member States;
"maritime auxiliary services" means maritime cargo handling services, customs clearance services, container station and depot services, maritime agency services, maritime freight forwarding services and storage and warehousing services;
"maritime cargo handling services" means activities exercised by stevedore companies, including terminal operators but not including the direct activities of dockers if the workforce is organised independently of the stevedoring or terminal operator companies; the activities covered include the organisation and supervision of:
loading or discharging of cargo to or from a ship;
the lashing or unlashing of cargo; and
the reception or delivery and safekeeping of cargoes before shipment or after discharge;
"customs clearance services" means activities consisting in carrying out, on behalf of another party, customs formalities concerning import, export or through transport of cargoes, irrespective of whether these services are the main activity of the service supplier or a usual complement of its main activity;
"container station and depot services" means activities that consist of storing, stuffing, stripping or repairing of containers and making containers available for shipment, whether in port areas or inland;
"maritime agency services" means activities that consist of representing, within a given geographic area, as an agent the business interests of one or more shipping lines or shipping companies, for the following purposes:
marketing and sales of maritime transport and related services, from quotation to invoicing, issuance of bills of lading on behalf of the lines or companies, acquisition and resale of the necessary related services, preparation of documentation and provision of business information; and
acting on behalf of the lines or companies organising the call of the ship or taking over cargoes when required;
"feeder services" means, without prejudice to the scope of activities that may be considered cabotage under the relevant national legislation, the pre- and onward transportation by sea of international cargo, including containerised, break bulk and dry or liquid bulk cargo, between ports located in the territory of a Party, provided such international cargo is "en route", that is, directed to a destination, or coming from a port of shipment, outside the territory of that Party;
"maritime freight forwarding services" means the activity consisting of organising and monitoring shipment operations on behalf of shippers, through the arrangement of transport and related services, preparation of documentation and provision of business information;
"port services" means services provided inside a maritime port area or on the waterway access to such area by the managing body of a port, its subcontractors, or other service providers to support the transport of cargo or passengers; and
"storage and warehousing services" means storage services of frozen or refrigerated goods, bulk storage services of liquids or gases, and other storage or warehousing services.
Article 191
Obligations
Without prejudice to non-conforming measures or other measures referred to in Articles 133 and 139, each Party shall implement the principle of unrestricted access to the international maritime markets and trades on a commercial and non-discriminatory basis by:
according to ships flying the flag of the other Party, or operated by service suppliers of the other Party, treatment no less favourable than that accorded to its own ships with regard to, inter alia:
access to ports;
the use of port infrastructure;
the use of maritime auxiliary services; and
customs facilities and the assignment of berths and facilities for loading and unloading, including related fees and charges;
making available to international maritime transport service suppliers of the other Party, on terms and conditions which are both reasonable and no less favourable than those applicable to its own suppliers or vessels or to vessels or suppliers of a third country (including fees and charges, specifications and quality of the service to be provided), the following port services: pilotage, towing and tug assistance, provisioning, fuelling and watering, garbage collecting and ballast waste disposal, port captain's services, navigation aids, emergency repair facilities, anchorage, berth, berthing and unberthing services and shore-based operational services essential to ship operations, including communications, water and electrical supplies;
permitting international maritime transport service suppliers of the other Party, subject to the authorisation by the competent authority where applicable, to re-position owned or leased empty containers, which are not being carried as cargo against payment, between ports of the United Kingdom or between ports of a Member State; and
permitting international maritime transport service suppliers of the other Party to provide feeder services between ports of the United Kingdom or between ports of a Member State, subject to the authorisation by the competent authority where applicable.
In applying the principle referred to in paragraph 1, a Party shall:
not introduce cargo-sharing arrangements in future agreements with third countries concerning international maritime transport services, including dry and liquid bulk and liner trade, and terminate, within a reasonable period of time, such cargo-sharing arrangements in case they exist in previous agreements;
not adopt or maintain a measure that requires all or part of any international cargo to be transported exclusively by vessels registered in that Party or owned or controlled by natural persons of that Party;
abolish and abstain from introducing any unilateral measures or administrative, technical and other obstacles which could constitute a disguised restriction or have discriminatory effects on the free supply of international maritime transport services; and
not prevent international maritime transport service suppliers of the other Party from directly contracting with other transport service suppliers for door-to-door or multimodal transport operations.
SECTION 7
LEGAL SERVICES
Article 192
Scope
Article 193
Definitions
For the purposes of this Section, the following definitions apply:
"designated legal services" means legal services in relation to home jurisdiction law and public international law, excluding Union law;
"home jurisdiction" means the jurisdiction (or a part of the jurisdiction) of the Member State or of the United Kingdom in which a lawyer acquired their home jurisdiction professional title or, in the case of a lawyer who has acquired a home jurisdiction professional title in more than one jurisdiction, any of those jurisdictions;
"home jurisdiction law" means the law of the lawyer's home jurisdiction ( 31 );
"home jurisdiction professional title" means:
for a lawyer of the Union, a professional title acquired in a Member State authorising the supply of legal services in that Member State; or
for a lawyer of the United Kingdom, the title of advocate, barrister or solicitor, authorising the supply of legal services in any part of the jurisdiction of the United Kingdom;
"lawyer" means:
a natural person of the Union who is authorised in a Member State to supply legal services under a home jurisdiction professional title; or
a natural person of the United Kingdom who is authorised in any part of the jurisdiction of the United Kingdom to supply legal services under a home jurisdiction professional title;
"lawyer of the other Party" means:
where "the other Party" is the Union, a lawyer referred to in point (e)(i); or
where "the other Party" is the United Kingdom, a lawyer referred to in point (e)(ii); and
"legal services" means the following services:
legal advisory services; and
legal arbitration, conciliation and mediation services (but excluding such services when supplied by natural persons as set out in Article 140). ( 32 )
"Legal services" do not include legal representation before administrative agencies, the courts, and other duly constituted official tribunals of a Party, legal advisory and legal authorisation, documentation and certification services supplied by legal professionals entrusted with public functions in the administration of justice such as notaries, "huissiers de justice" or other "officiers publics et ministériels", and services supplied by bailiffs who are appointed by an official act of government.
Article 194
Obligations
Where a Party (the "host jurisdiction") requires registration in its territory as a condition for a lawyer of the other Party to supply designated legal services pursuant to paragraph 1, the requirements and process for such registration shall not:
be less favourable than those which apply to a natural person of a third country who is supplying legal services in relation to third country law or public international law under that person's third country professional title in the territory of the host jurisdiction; and
amount to or be equivalent to any requirement to requalify into or be admitted to the legal profession of the host jurisdiction.
Article 195
Non-conforming measures
Article 194 does not apply to:
any existing non-conforming measure of a Party at the level of:
for the Union:
the Union, as set out in the Schedule of the Union in Annex 19;
the central government of a Member State, as set out in the Schedule of the Union in Annex 19;
a regional government of a Member State, as set out in the Schedule of the Union in Annex 19; or
a local government, other than that referred to in point (C); and
for the United Kingdom:
the central government, as set out in the Schedule of the United Kingdom in Annex 19;
a regional government, as set out in the Schedule of the United Kingdom in Annex 19; or
a local government;
the continuation or prompt renewal of any non-conforming measure referred to in point (a) of this paragraph; or
a modification to any non-conforming measure referred to in points (a) and (b) of this paragraph to the extent that it does not decrease the conformity of the measure, as it existed immediately before the modification, with Article 194.
TITLE III
DIGITAL TRADE
CHAPTER 1
GENERAL PROVISIONS
Article 196
Objective
The objective of this Title is to facilitate digital trade, to address unjustified barriers to trade enabled by electronic means and to ensure an open, secure and trustworthy online environment for businesses and consumers.
Article 197
Scope
Article 198
Right to regulate
The Parties reaffirm the right to regulate within their territories to achieve legitimate policy objectives, such as the protection of public health, social services, public education, safety, the environment including climate change, public morals, social or consumer protection, privacy and data protection, or the promotion and protection of cultural diversity.
Article 199
Exceptions
For greater certainty, nothing in this Title prevents the Parties from adopting or maintaining measures in accordance with Articles 184, 412 and 415 for the public interest reasons set out therein.
Article 200
Definitions
For the purposes of this Title, the following definitions apply:
"consumer" means any natural person using a public telecommunications service for other than professional purposes;
"direct marketing communication" means any form of commercial advertising by which a natural or legal person communicates marketing messages directly to a user via a public telecommunications service and covers at least electronic mail and text and multimedia messages (SMS and MMS);
"electronic authentication" means an electronic process that enables the confirmation of:
the electronic identification of a natural or legal person, or
the origin and integrity of data in electronic form;
"electronic registered delivery service" means a service that makes it possible to transmit data between third parties by electronic means and provides evidence relating to the handling of the transmitted data, including proof of sending and receiving the data, and that protects transmitted data against the risk of loss, theft, damage or any unauthorised alterations;
"electronic seal" means data in electronic form used by a legal person which is attached to or logically associated with other data in electronic form to ensure the latter's origin and integrity;
"electronic signature" means data in electronic form which is attached to or logically associated with other data in electronic form that:
is used by a natural person to agree on the data in electronic form to which it relates; and
is linked to the data in electronic form to which it relates in such a way that any subsequent alteration in the data is detectable;
"electronic time stamp" means data in electronic form which binds other data in electronic form to a particular time establishing evidence that the latter data existed at that time;
"electronic trust service" means an electronic service consisting of:
the creation, verification and validation of electronic signatures, electronic seals, electronic time stamps, electronic registered delivery services and certificates related to those services;
the creation, verification and validation of certificates for website authentication; or
the preservation of electronic signatures, seals or certificates related to those services;
"government data" means data owned or held by any level of government and by non-governmental bodies in the exercise of powers conferred on them by any level of government;
"public telecommunications service" means any telecommunications service that is offered to the public generally;
"user" means any natural or legal person using a public telecommunications service.
CHAPTER 2
DATA FLOWS AND PERSONAL DATA PROTECTION
Article 201
Cross-border data flows
The Parties are committed to ensuring cross-border data flows to facilitate trade in the digital economy. To that end, cross-border data flows shall not be restricted between the Parties by a Party:
requiring the use of computing facilities or network elements in the Party's territory for processing, including by imposing the use of computing facilities or network elements that are certified or approved in the territory of a Party;
requiring the localisation of data in the Party's territory for storage or processing;
prohibiting the storage or processing in the territory of the other Party; or
making the cross-border transfer of data contingent upon use of computing facilities or network elements in the Parties' territory or upon localisation requirements in the Parties' territory.
Article 202
Protection of personal data and privacy
CHAPTER 3
SPECIFIC PROVISIONS
Article 203
Customs duties on electronic transmissions
Article 204
No prior authorisation
A service is provided online when it is provided by electronic means and without the parties being simultaneously present.
Article 205
Conclusion of contracts by electronic means
Paragraph 1 does not apply to the following:
broadcasting services;
gambling services;
legal representation services;
the services of notaries or equivalent professions involving a direct and specific connection with the exercise of public authority;
contracts that require witnessing in person;
contracts that establish or transfer rights in real estate;
contracts requiring by law the involvement of courts, public authorities or professions exercising public authority;
contracts of suretyship granted, collateral securities furnished by persons acting for purposes outside their trade, business or profession; or
contracts governed by family law or by the law of succession.
Article 206
Electronic authentication and electronic trust services
A Party shall not adopt or maintain measures that would:
prohibit parties to an electronic transaction from mutually determining the appropriate electronic authentication methods for their transaction; or
prevent parties to an electronic transaction from being able to prove to judicial and administrative authorities that the use of electronic authentication or an electronic trust service in that transaction complies with the applicable legal requirements.
Article 207
Transfer of or access to source code
For greater certainty:
the general exceptions, security exceptions and prudential carve-out referred to in Article 199 apply to measures of a Party adopted or maintained in the context of a certification procedure; and
paragraph 1 of this Article does not apply to the voluntary transfer of, or granting of access to, source code on a commercial basis by a natural or legal person of the other Party, such as in the context of a public procurement transaction or a freely negotiated contract.
Nothing in this Article shall affect:
a requirement by a court or administrative tribunal, or a requirement by a competition authority pursuant to a Party's competition law to prevent or remedy a restriction or a distortion of competition;
a requirement by a regulatory body pursuant to a Party's laws or regulations related to the protection of public safety with regard to users online, subject to safeguards against unauthorised disclosure;
the protection and enforcement of intellectual property rights; and
the right of a Party to take measures in accordance with Article III of the GPA as incorporated by Article 277 of this Agreement.
Article 208
Online consumer trust
Recognising the importance of enhancing consumer trust in digital trade, each Party shall adopt or maintain measures to ensure the effective protection of consumers engaging in electronic commerce transactions, including but not limited to measures that:
proscribe fraudulent and deceptive commercial practices;
require suppliers of goods and services to act in good faith and abide by fair commercial practices, including through the prohibition of charging consumers for unsolicited goods and services;
require suppliers of goods or services to provide consumers with clear and thorough information, including when they act through intermediary service suppliers, regarding their identity and contact details, the transaction concerned, including the main characteristics of the goods or services and the full price inclusive of all applicable charges, and the applicable consumer rights (in the case of intermediary service suppliers, this includes enabling the provision of such information by the supplier of goods or services); and
grant consumers access to redress for breaches of their rights, including a right to remedies if goods or services are paid for and are not delivered or provided as agreed.
Article 209
Unsolicited direct marketing communications
Article 210
Open government data
To the extent that a Party chooses to make government data accessible to the public, it shall endeavour to ensure, to the extent practicable, that the data:
is in a format that allows it to be easily searched, retrieved, used, reused, and redistributed;
is in a machine-readable and spatially-enabled format;
contains descriptive metadata, which is as standard as possible;
is made available via reliable, user-friendly and freely available Application Programming Interfaces;
is regularly updated;
is not subject to use conditions that are discriminatory or that unnecessarily restrict re-use; and
is made available for re-use in full compliance with the Parties' respective personal data protection rules.
Article 211
Cooperation on regulatory issues with regard to digital trade
The Parties shall exchange information on regulatory matters in the context of digital trade, which shall address the following:
the recognition and facilitation of interoperable electronic authentication and electronic trust services;
the treatment of direct marketing communications;
the protection of consumers; and
any other matter relevant for the development of digital trade, including emerging technologies.
Article 212
Understanding on computer services
The Parties agree that, for the purpose of liberalising trade in services and investment in accordance with Title II of this Heading, the following services shall be considered as computer and related services, regardless of whether they are delivered via a network, including the internet:
consulting, adaptation, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, support, technical assistance or management of or for computers or computer systems;
computer programmes defined as the sets of instructions required to make computers work and communicate (in and of themselves), as well as consulting, strategy, analysis, planning, specification, design, development, installation, implementation, integration, testing, debugging, updating, adaptation, maintenance, support, technical assistance, management or use of or for computer programmes;
data processing, data storage, data hosting or database services;
maintenance and repair services for office machinery and equipment, including computers; and
training services for staff of clients, related to computer programmes, computers or computer systems, and not elsewhere classified.
TITLE IV
CAPITAL MOVEMENTS, PAYMENTS, TRANSFERS AND TEMPORARY SAFEGUARD MEASURES
Article 213
Objectives
The objective of this Title is to enable the free movement of capital and payments related to transactions liberalised under this Agreement.
Article 214
Current account
Each Party shall allow, in freely convertible currency and in accordance with the Articles of Agreement of the International Monetary Fund, any payments and transfers with respect to transactions on the current account of the balance of payments that fall within the scope of this Agreement.
Article 215
Capital movements
Article 216
Measures affecting capital movements, payments or transfers
Articles 214 and 215 shall not be construed as preventing a Party from applying its laws and regulations relating to:
bankruptcy, insolvency, or the protection of the rights of creditors;
issuing, trading or dealing in securities, or futures, options and other financial instruments;
financial reporting or record keeping of capital movements, payments or transfers where necessary to assist law enforcement or financial regulatory authorities;
criminal or penal offences, deceptive or fraudulent practices;
ensuring compliance with orders or judgments in judicial or administrative proceedings; or
social security, public retirement or compulsory savings schemes.
Article 217
Temporary safeguard measures
Article 218
Restrictions in case of balance of payments and external financial difficulties
The measures referred to in paragraph 1 shall:
be consistent with the Articles of Agreement of the International Monetary Fund;
not exceed those necessary to deal with the circumstances described in paragraph 1;
be temporary and be phased out progressively as the situation specified in paragraph 1 improves;
avoid unnecessary damage to the commercial, economic and financial interests of the other Party; and
be non-discriminatory as compared with third countries in like situations.
If a Party adopts or maintains restrictions under this Article, the Parties shall promptly hold consultations in the Trade Specialised Committee on Services, Investment and Digital Trade unless consultations are held in other fora. That Committee shall assess the balance of payments or external financial difficulties that led to the respective measures, taking into account factors such as:
the nature and extent of the difficulties;
the external economic and trading environment; and
alternative corrective measures which may be available.
TITLE V
INTELLECTUAL PROPERTY
CHAPTER 1
GENERAL PROVISIONS
Article 219
Objectives
The objectives of this Title are to:
facilitate the production, provision and commercialisation of innovative and creative products and services between the Parties by reducing distortions and impediments to such trade, thereby contributing to a more sustainable and inclusive economy; and
ensure an adequate and effective level of protection and enforcement of intellectual property rights.
Article 220
Scope
Article 221
Definitions
For the purposes of this Title, the following definitions apply:
"Paris Convention" means the Paris Convention for the Protection of Industrial Property of 20 March 1883, as last revised at Stockholm on 14 July 1967;
"Berne Convention" means the Berne Convention for the Protection of Literary and Artistic Works of 9 September 1886 revised at Paris on 24 July 1971 and amended on 28 September 1979;
"Rome Convention" means the International Convention for the Protection of Performers, Producers of Phonograms and Broadcasting Organisations done at Rome on 26 October 1961;
"WIPO" means the World Intellectual Property Organisation;
"intellectual property rights" means all categories of intellectual property that are covered by Articles 225 to 255 of this Agreement or Sections 1 to 7 of Part II of the TRIPS Agreement. The protection of intellectual property includes protection against unfair competition as referred to in Article 10bis of the Paris Convention;
"national" means, in respect of the relevant intellectual property right, a person of a Party that would meet the criteria for eligibility for protection provided for in the TRIPS Agreement and multilateral agreements concluded and administered under the auspices of WIPO, to which a Party is a contracting party.
Article 222
International agreements
The Parties affirm their commitment to comply with the international agreements to which they are party:
the TRIPS Agreement;
the Rome Convention;
the Berne Convention;
the WIPO Copyright Treaty, adopted at Geneva on 20 December 1996;
the WIPO Performances and Phonograms Treaty, adopted at Geneva on 20 December 1996;
the Protocol Relating to the Madrid Agreement Concerning the International Registration of Marks, adopted at Madrid on 27 June 1989, as last amended on 12 November 2007;
the Trademark Law Treaty, adopted at Geneva on 27 October 1994;
the Marrakesh Treaty to Facilitate Access to Published Works for Persons Who Are Blind, Visually Impaired or Otherwise Print Disabled, adopted at Marrakesh on 27 June 2013;
the Geneva Act of the Hague Agreement Concerning the International Registration of Industrial Designs, adopted at Geneva on 2 July 1999.
Each Party shall make all reasonable efforts to ratify or accede to the following international agreements:
the Beijing Treaty on Audiovisual Performances, adopted at Beijing on 24 June 2012;
the Singapore Treaty on the Law of Trademarks adopted at Singapore on 27 March 2006.
Article 223
Exhaustion
This Title does not affect the freedom of the parties to determine whether and under what conditions the exhaustion of intellectual property rights applies.
Article 224
National treatment
A Party may avail itself of the exceptions permitted pursuant to paragraph 1 in relation to its judicial and administrative procedures, including requiring a national of the other Party to designate an address for service in its territory, or to appoint an agent in its territory, if such exceptions are:
necessary to secure compliance with the Party's laws or regulations which are not inconsistent with this Title; or
not applied in a manner which would constitute a disguised restriction on trade.
CHAPTER 2
STANDARDS CONCERNING INTELLECTUAL PROPERTY RIGHTS
SECTION 1
COPYRIGHT AND RELATED RIGHTS
Article 225
Authors
Each Party shall provide authors with the exclusive right to authorise or prohibit:
direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of their works;
any form of distribution to the public by sale or otherwise of the original of their works or of copies thereof;
any communication to the public of their works by wire or wireless means, including the making available to the public of their works in such a way that members of the public may access them from a place and at a time individually chosen by them;
the commercial rental to the public of originals or copies of their works; each Party may provide that this point does not apply to buildings or works of applied art.
Article 226
Performers
Each Party shall provide performers with the exclusive right to authorise or prohibit:
the fixation of their performances;
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their performances;
the distribution to the public, by sale or otherwise, of the fixations of their performances;
the making available to the public of fixations of their performances, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the broadcasting by wireless means and the communication to the public of their performances, except where the performance is itself already a broadcast performance or is made from a fixation;
the commercial rental to the public of the fixation of their performances.
Article 227
Producers of phonograms
Each Party shall provide phonogram producers with the exclusive right to authorise or prohibit:
the direct or indirect, temporary or permanent, reproduction by any means and in any form, in whole or in part, of their phonograms;
the distribution to the public, by sale or otherwise, of their phonograms, including copies thereof;
the making available to the public of their phonograms, by wire or wireless means, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the commercial rental of their phonograms to the public.
Article 228
Broadcasting organisations
Each Party shall provide broadcasting organisations with the exclusive right to authorise or prohibit:
the fixation of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
the direct or indirect, temporary or permanent reproduction by any means and in any form, in whole or in part, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite;
the making available to the public, by wire or wireless means, of fixations of their broadcasts, whether those broadcasts are transmitted by wire or over the air, including by cable or satellite, in such a way that members of the public may access them from a place and at a time individually chosen by them;
the distribution to the public, by sale or otherwise, of fixations, including copies thereof, of their broadcasts, whether these broadcasts are transmitted by wire or over the air, including by cable or satellite;
the rebroadcasting of their broadcasts by wireless means, as well as the communication to the public of their broadcasts if such communication is made in places accessible to the public against payment of an entrance fee.
Article 229
Broadcasting and communication to the public of phonograms published for commercial purposes
Article 230
Term of protection
Article 231
Resale right
Article 232
Collective management of rights
Article 233
Exceptions and limitations
Each Party shall confine limitations or exceptions to the rights set out in Articles 225 to 229 to certain special cases which do not conflict with a normal exploitation of the work or other subject-matter and do not unreasonably prejudice the legitimate interests of the right holders.
Article 234
Protection of technological measures
Each Party shall provide adequate legal protection against the manufacture, import, distribution, sale, rental, advertisement for sale or rental, or possession for commercial purposes of devices, products or components or the provision of services which:
are promoted, advertised or marketed for the purpose of circumvention of;
have only a limited commercially significant purpose or use other than to circumvent; or
are primarily designed, produced, adapted or performed for the purpose of enabling or facilitating the circumvention of, any effective technological measures.
Article 235
Obligations concerning rights management information
Each Party shall provide adequate legal protection against any person knowingly performing without authority any of the following acts:
the removal or alteration of any electronic rights-management information;
the distribution, importation for distribution, broadcasting, communication or making available to the public of works or other subject-matter protected pursuant to this Section from which electronic rights-management information has been removed or altered without authority;
if such person knows, or has reasonable grounds to know, that by so doing he or she is inducing, enabling, facilitating or concealing an infringement of any copyright or any related rights as provided by the law of a Party.
SECTION 2
TRADE MARKS
Article 236
Trade mark classification
Each Party shall maintain a trade mark classification system that is consistent with the Nice Agreement Concerning the International Classification of Goods and Services for the Purposes of the Registration of Marks of 15 June 1957, as amended and revised.
Article 237
Signs of which a trade mark may consist
A trade mark may consist of any signs, in particular words, including personal names, or designs, letters, numerals, colours, the shape of goods or of the packaging of goods, or sounds, provided that such signs are capable of:
distinguishing the goods or services of one undertaking from those of other undertakings; and
being represented on the respective trade mark register of each Party, in a manner which enables the competent authorities and the public to determine the clear and precise subject matter of the protection afforded to its proprietor.
Article 238
Rights conferred by a trade mark
Each Party shall provide that the registration of a trade mark confers on the proprietor exclusive rights therein. The proprietor shall be entitled to prevent all third parties not having the proprietor's consent from using in the course of trade:
any sign which is identical with the registered trade mark in relation to goods or services which are identical with those for which the trade mark is registered;
any sign where, because of its identity with, or similarity to, the registered trade mark and the identity or similarity of the goods or services covered by this trade mark and the sign, there exists a likelihood of confusion on the part of the public, including the likelihood of association between the sign and the registered trade mark.
Article 239
Registration procedure
Article 240
Well-known trade marks
For the purpose of giving effect to protection of well-known trade marks, as referred to in Article 6bis of the Paris Convention and Article 16(2) and (3) of the TRIPS Agreement, each Party shall apply the Joint Recommendation Concerning Provisions on the Protection of Well-Known Marks, adopted by the Assembly of the Paris Union for the Protection of Industrial Property and the General Assembly of the WIPO at the Thirty-Fourth Series of Meetings of the Assemblies of the Member States of WIPO on 20 to 29 September 1999.
Article 241
Exceptions to the rights conferred by a trade mark
The trade mark shall not entitle the proprietor to prohibit a third party from using, in the course of trade:
the name or address of the third party, where the third party is a natural person;
signs or indications concerning the kind, quality, quantity, intended purpose, value, geographical origin, the time of production of goods or of rendering of the service, or other characteristics of goods or services; or
the trade mark for the purpose of identifying or referring to goods or services as those of the proprietor of that trade mark, in particular where the use of that trade mark is necessary to indicate the intended purpose of a product or service, in particular as accessories or spare parts,
provided the third party uses them in accordance with honest practices in industrial or commercial matters.
Article 242
Grounds for revocation
A trade mark shall also be liable to revocation if, after the date on which it was registered:
as a consequence of acts or inactivity of the proprietor, it has become the common name in the trade for a good or service in respect of which it is registered;
as a consequence of the use made of the trade mark by the proprietor of the trade mark or with the proprietor's consent in respect of the goods or services for which it is registered, it is liable to mislead the public, particularly as to the nature, quality or geographical origin of those goods or services.
Article 243
The right to prohibit preparatory acts in relation to the use of packaging or other means
Where the risk exists that the packaging, labels, tags, security or authenticity features or devices, or any other means to which the trade mark is affixed could be used in relation to goods or services and that use would constitute an infringement of the rights of the proprietor of the trade mark, the proprietor of that trade mark shall have the right to prohibit the following acts if carried out in the course of trade:
affixing a sign identical with, or similar to, the trade mark on packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark may be affixed; or
offering or placing on the market, or stocking for those purposes, or importing or exporting, packaging, labels, tags, security or authenticity features or devices, or any other means to which the mark is affixed.
Article 244
Bad faith applications
A trade mark shall be liable to be declared invalid where the application for registration of the trade mark was made in bad faith by the applicant. Each Party may provide that such a trade mark shall not be registered.
SECTION 3
DESIGN
Article 245
Protection of registered designs
For the purposes of this Article, a Party may consider that a design having individual character is original.
A design applied to or incorporated in a product which constitutes a component part of a complex product shall only be considered to be new and original:
if the component part, once it has been incorporated into the complex product, remains visible during normal use of the latter; and
to the extent that those visible features of the component part fulfil in themselves the requirements as to novelty and originality.
Article 246
Duration of protection
The duration of protection available for registered designs, including renewals of registered designs, shall amount to a total term of 25 years from the date on which the application was filed ( 36 ).
Article 247
Protection of unregistered designs
Article 248
Exceptions and exclusions
Article 249
Relationship to copyright
Each Party shall ensure that designs, including unregistered designs, shall also be eligible for protection under the copyright law of that Party as from the date on which the design was created or fixed in any form. The extent to which, and the conditions under which, such a protection is conferred, including the level of originality required, shall be determined by each Party.
SECTION 4
PATENTS
Article 250
Patents and public health
Article 251
Extension of the period of protection conferred by a patent on medicinal products and on plant protection products
For the purposes of this Title, "medicinal product" means:
any substance or combination of substances presented as having properties for treating or preventing disease in human beings or animals; or
any substance or combination of substances which may be used in or administered to human beings or animals either with a view to restoring, correcting or modifying physiological functions by exerting a pharmacological, immunological or metabolic action, or to making a medical diagnosis.
SECTION 5
PROTECTION OF UNDISCLOSED INFORMATION
Article 252
Protection of trade secrets
For the purposes of this Section, the following definitions apply:
"trade secret" means information which meets all of the following requirements:
it is secret in the sense that it is not, as a body or in the precise configuration and assembly of its components, generally known among or readily accessible to persons within the circles that normally deal with the kind of information in question;
it has commercial value because it is secret; and
it has been subject to reasonable steps under the circumstances, by the person lawfully in control of the information, to keep it secret;
"trade secret holder" means any natural or legal person lawfully controlling a trade secret.
For the purposes of this Section, at least the following conduct shall be considered contrary to honest commercial practices:
the acquisition of a trade secret without the consent of the trade secret holder, whenever obtained by unauthorised access to, or by appropriation or copying of, any documents, objects, materials, substances or electronic files that are lawfully under the control of the trade secret holder, and that contain the trade secret or from which the trade secret can be deduced;
the use or disclosure of a trade secret whenever it is carried out, without the consent of the trade secret holder, by a person who is found to meet any of the following conditions:
having acquired the trade secret in a manner referred to in point (a);
being in breach of a confidentiality agreement or any other duty not to disclose the trade secret; or
being in breach of a contractual or any other duty to limit the use of the trade secret;
the acquisition, use or disclosure of a trade secret whenever carried out by a person who, at the time of the acquisition, use or disclosure, knew, or ought to have known, under the circumstances that the trade secret had been obtained directly or indirectly from another person who was using or disclosing the trade secret unlawfully within the meaning of point (b).
Nothing in this Section shall be understood as requiring either Party to consider any of the following conducts as contrary to honest commercial practices:
independent discovery or creation;
the reverse engineering of a product that has been made available to the public or that is lawfully in the possession of the acquirer of the information, where the acquirer of the information is free from any legally valid duty to limit the acquisition of the trade secret;
the acquisition, use or disclosure of a trade secret required or allowed by the law of each Party;
the exercise of the right of workers or workers' representatives to information and consultation in accordance with the laws and regulations of that Party.
Article 253
Protection of data submitted to obtain an authorisation to put a medicinal product on the market
Article 254
Protection of data submitted to obtain marketing authorisation for plant protection products or biocidal products
The test or study report submitted for marketing authorisation of an active substance or plant protection product should fulfil the following conditions:
be necessary for the authorisation or for an amendment of an authorisation in order to allow the use on other crops; and
be certified as compliant with the principles of good laboratory practice or of good experimental practice.
SECTION 6
PLANT VARIETIES
Article 255
Protection of plant varieties rights
Each Party shall protect plant varieties rights in accordance with the International Convention for the Protection of New Varieties of Plants (UPOV) as lastly revised in Geneva on 19 March 1991. The Parties shall cooperate to promote and enforce these rights.
CHAPTER 3
ENFORCEMENT OF INTELLECTUAL PROPERTY RIGHTS
SECTION 1
GENERAL PROVISIONS
Article 256
General obligations
For the purposes of Sections 1, 2 and 4 of this Chapter, the term "intellectual property rights" does not include rights covered by Section 5 of Chapter 2.
The measures, procedures and remedies referred to in paragraph 1 shall:
be fair and equitable;
not be unnecessarily complicated or costly, or entail unreasonable time-limits or unwarranted delays;
be effective, proportionate and dissuasive;
be applied in such a manner as to avoid the creation of barriers to legitimate trade and to provide for safeguards against their abuse.
Article 257
Persons entitled to apply for the application of the measures, procedures and remedies
Each Party shall recognise as persons entitled to seek application of the measures, procedures and remedies referred to in Sections 2 and 4 of this Chapter:
the holders of intellectual property rights in accordance with the law of a Party;
all other persons authorised to use those rights, in particular licensees, in so far as permitted by and in accordance with the law of a Party; and
federations and associations ( 39 ), in so far as permitted by and in accordance with the law of a Party.
SECTION 2
CIVIL AND ADMINISTRATIVE ENFORCEMENT
Article 258
Measures for preserving evidence
Article 259
Evidence
Article 260
Right of information
For the purposes of paragraph 1 "any other person" means a person who:
was found in possession of the infringing goods on a commercial scale;
was found to be using the infringing services on a commercial scale;
was found to be providing on a commercial scale services used in infringing activities; or
was indicated by the person referred to in point (a), (b) or (c), as being involved in the production, manufacture or distribution of the goods or the provision of the services.
The information referred to in paragraph 1 shall, as appropriate, comprise:
the names and addresses of the producers, manufacturers, distributors, suppliers and other previous holders of the goods or services, as well as the intended wholesalers and retailers;
information on the quantities produced, manufactured, delivered, received or ordered, as well as the price obtained for the goods or services in question.
Paragraphs 1 and 2 shall apply without prejudice to other laws of a Party which:
grant the right holder rights to receive fuller information;
govern the use in civil proceedings of the information communicated pursuant to this Article;
govern responsibility for misuse of the right of information;
afford an opportunity for refusing to provide information which would force the person referred to in paragraph 1 to admit their own participation or that of their close relatives in an infringement of an intellectual property right;
govern the protection of confidentiality of information sources or the processing of personal data.
Article 261
Provisional and precautionary measures
Article 262
Corrective measures
Article 263
Injunctions
Each Party shall ensure that, where a judicial decision is taken finding an infringement of an intellectual property right, the judicial authorities may issue against the infringer an injunction aimed at prohibiting the continuation of the infringement. Each Party shall also ensure that the judicial authorities may issue an injunction against intermediaries whose services are used by a third party to infringe an intellectual property right.
Article 264
Alternative measures
Each Party may provide that the judicial authorities, in appropriate cases and at the request of the person liable to be subject to the measures provided for in Article 262 or 263, may order pecuniary compensation to be paid to the injured party instead of applying the measures provided for in these two Articles if that person acted unintentionally and without negligence, if execution of the measures in question would cause the person disproportionate harm and if pecuniary compensation to the injured party appears reasonably satisfactory.
Article 265
Damages
Each Party shall ensure that when its judicial authorities set the damages:
they take into account all appropriate aspects, such as the negative economic consequences, including lost profits, which the injured party has suffered, any unfair profits made by the infringer and, in appropriate cases, elements other than economic factors, such as the moral prejudice caused to the right holder by the infringement; or
as an alternative to point (a), they may, in appropriate cases, set the damages as a lump sum on the basis of elements such as at least the amount of royalties or fees which would have been due if the infringer had requested authorisation to use the intellectual property right in question.
Article 266
Legal costs
Each Party shall ensure that reasonable and proportionate legal costs and other expenses incurred by the successful party shall, as a general rule, be borne by the unsuccessful party, unless equity does not allow this.
Article 267
Publication of judicial decisions
Each Party shall ensure that, in legal proceedings instituted for infringement of an intellectual property right, the judicial authorities may order, at the request of the applicant and at the expense of the infringer, appropriate measures for the dissemination of the information concerning the decision, including displaying the decision and publishing it in full or in part.
Article 268
Presumption of authorship or ownership
For the purposes of applying the measures, procedures and remedies provided for in Chapter 3:
for the author of a literary or artistic work, in the absence of proof to the contrary, to be regarded as such, and consequently to be entitled to institute infringement proceedings, it shall be sufficient for the author's name to appear on the work in the usual manner; and
point (a) applies mutatis mutandis to the holders of rights related to copyright with regard to their protected subject matter.
Article 269
Administrative procedures
To the extent that any civil remedy can be ordered on the merits of a case as a result of administrative procedures, such procedures shall conform to principles equivalent in substance to those set forth in this Section.
SECTION 3
CIVIL JUDICIAL PROCEDURES AND REMEDIES OF TRADE SECRETS
Article 270
Civil judicial procedures and remedies of trade secrets
In the civil judicial proceedings referred to Article 252(1), each Party shall provide that its judicial authorities have the authority at least to:
order provisional measures, in accordance with their respective laws and regulations, to cease and prohibit the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
order measures, in accordance with their respective laws and regulations, ordering the cessation of, or as the case may be, the prohibition of the use or disclosure of the trade secret in a manner contrary to honest commercial practices;
order, in accordance with their respective laws and regulations, any person who has acquired, used or disclosed a trade secret in a manner contrary to honest commercial practices and that knew or ought to have known that he or she or it was acquiring, using or disclosing a trade secret in a manner contrary to honest commercial practices to pay the trade secret holder damages appropriate to the actual prejudice suffered as a result of such acquisition, use or disclosure of the trade secret;
take specific measures necessary to preserve the confidentiality of any trade secret or alleged trade secret used or referred to in proceedings as referred to in Article 252(1). Such specific measures may include, in accordance with each Party's respective laws and regulations, including the rights of defence, the possibility of restricting access to certain documents in whole or in part; of restricting access to hearings and their corresponding records or transcript; and of making available a non-confidential version of judicial decision in which the passages containing trade secrets have been removed or redacted.
impose sanctions on any person participating in the legal proceedings who fail or refuse to comply with the court orders concerning the protection of the trade secret or alleged trade secret.
Each Party shall ensure that an application for the measure, procedures or remedies provided for in this Article is dismissed where the alleged acquisition, use or disclosure of a trade secret contrary to honest commercial practices was carried out, in accordance with its laws and regulations:
to reveal misconduct, wrongdoing or illegal activity for the purpose of protecting the general public interest;
as a disclosure by employees to their representatives as part of, and necessary for, the legitimate exercise by those representatives of their functions;
to protect a legitimate interest recognised by the laws and regulations of that Party.
SECTION 4
BORDER ENFORCEMENT
Article 271
Border measures
Article 272
Consistency with GATT 1994 and the TRIPS Agreement
In implementing border measures for the enforcement of intellectual property rights by customs, whether or not covered by this Section, the Parties shall ensure consistency with their obligations under GATT 1994 and the TRIPS Agreement and, in particular, with Article V of GATT 1994 and Article 41 and Section 4 of Part III of the TRIPS Agreement.
CHAPTER 4
OTHER PROVISIONS
Article 273
Cooperation
The areas of cooperation include, but are not limited to, the following activities:
exchange of information on the legal framework concerning intellectual property rights and relevant rules of protection and enforcement;
exchange of experience on legislative progress, on the enforcement of intellectual property rights and on enforcement at central and sub-central level by customs, police, administrative and judiciary bodies;
coordination to prevent exports of counterfeit goods, including coordination with other countries;
technical assistance, capacity building, exchange and training of personnel;
protection and defence of intellectual property rights and the dissemination of information in this regard in, among others, to business circles and civil society;
public awareness of consumers and right holders;
the enhancement of institutional cooperation, particularly between the intellectual property offices of the Parties;
educating and promoting awareness among the general public regarding policies concerning the protection and enforcement of intellectual property rights;
the promotion of protection and enforcement of intellectual property rights with public-private collaboration involving small and medium-size enterprises;
the formulation of effective strategies to identify audiences and communication programmes to increase consumer and media awareness of the impact of intellectual property rights' violations, including the risk to health and safety and the connection to organised crime.
Article 274
Voluntary stakeholder initiatives
Each Party shall endeavour to facilitate voluntary stakeholder initiatives to reduce intellectual property rights infringement, including online and in other marketplaces focusing on concrete problems and seeking practical solutions that are realistic, balanced, proportionate and fair for all concerned including in the following ways:
each Party shall endeavour to convene stakeholders consensually in its territory to facilitate voluntary initiatives to find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement;
the Parties shall endeavour to exchange information with each other regarding efforts to facilitate voluntary stakeholder initiatives in their respective territories; and
the Parties shall endeavour to promote open dialogue and cooperation among the Parties' stakeholders, and to encourage the Parties' stakeholders to jointly find solutions and resolve differences regarding the protection and enforcement of intellectual property rights and reducing infringement.
Article 275
Review in relation to geographical indications
Noting the relevant provisions of any earlier bilateral agreement between the United Kingdom of the one part and the European Union and European Atomic Energy Community of the other part, the Parties may jointly use reasonable endeavours to agree rules for the protection and effective domestic enforcement of their geographical indications.
TITLE VI
PUBLIC PROCUREMENT
CHAPTER 1
SCOPE
Article 276
Objective
The objective of this Title is to guarantee each Party's suppliers access to increased opportunities to participate in public procurement procedures and to enhance the transparency of public procurement procedures.
Article 277
Incorporation of certain provisions of the GPA and covered procurement
CHAPTER 2
ADDITIONAL RULES FOR COVERED PROCUREMENT
Article 278
Use of electronic means in procurement
A procuring entity is considered as conducting covered procurement by electronic means, if the entity uses electronic means of information and communication for:
the publication of notices and tender documentation in procurement procedures; and
the submission of requests to participate and of tenders.
Article 279
Electronic publication
With regard to covered procurement, all procurement notices including notices of intended procurement, summary notices, notices of planned procurement and contract award notices shall be directly accessible by electronic means, free of charge, through a single point of access on the internet.
Article 280
Supporting evidence
Each Party shall ensure that at the time of submission of requests to participate or at the time of submission of tenders, procuring entities do not require suppliers to submit all or part of the supporting evidence that they are not in one of the situations in which a supplier may be excluded and that they fulfil the conditions for participation unless this is necessary to ensure the proper conduct of the procurement.
Article 281
Conditions for participation
Each Party shall ensure that where its procuring entities require a supplier, as a condition for participation in a covered procurement, to demonstrate prior experience they do not require that the supplier has such experience in the territory of that Party.
Article 282
Registration systems and qualification procedures
A Party that maintains a supplier registration system shall ensure that interested suppliers may request registration at any time. Any interested supplier having made a request shall be informed within a reasonable period of time of the decision to grant or reject this request.
Article 283
Selective tendering
Each Party shall ensure that where a procuring entity uses a selective tendering procedure, the procuring entity addresses invitations to submit a tender to a number of suppliers that is sufficient to ensure genuine competition without affecting the operational efficiency of the procurement system.
Article 284
Abnormally low prices
Further to paragraph 6 of Article XV of the GPA, if a procuring entity receives a tender with a price that is abnormally lower than the prices in other tenders submitted, it may also verify with the supplier whether the price takes into account the grant of subsidies.
Article 285
Environmental, social and labour considerations
Each Party shall ensure that its procuring entities may take into account environmental, labour and social considerations throughout the procurement procedure, provided that those considerations are compatible with the rules established by Chapters 1 and 2 and are indicated in the notice of intended procurement or in another notice used as a notice of intended procurement or tender documentation.
Article 286
Domestic review procedures
Where an impartial administrative authority is designated by a Party under paragraph 4 of Article XVIII of the GPA, that Party shall ensure that:
the members of the designated authority are independent, impartial, and free from external influence during the term of appointment;
the members of the designated authority are not dismissed against their will while they are in office, unless their dismissal is required by the provisions governing the designated authority; and
the President or at least one other member of the designated authority, has legal and professional qualifications equivalent to those necessary for judges, lawyers or other legal experts qualified under the laws and regulations of the Party.
Each Party may provide for:
a standstill period between the contract award decision and the conclusion of a contract in order to give sufficient time to unsuccessful suppliers to assess whether it is appropriate to initiate a review procedure; or
a sufficient period for an interested supplier to submit a challenge, which may constitute grounds for the suspension of the execution of a contract.
Corrective action under subparagraph 7(b) of Article XVIII of the GPA may include one or more of the following:
the removal of discriminatory technical, economic or financial specifications in the invitation to tender, the contract documents or any other document relating to the tendering procedure and conduct of new procurement procedures;
the repetition of the procurement procedure without changing the conditions;
the setting aside of the contract award decision and the adoption of a new contract award decision;
the termination of a contract or the declaration of its ineffectiveness; or
the adoption of other measures with the aim to remedy a breach of Chapters 1 and 2, for example an order to pay a particular sum until the breach has been effectively remedied.
CHAPTER 3
NATIONAL TREATMENT BEYOND COVERED PROCUREMENT
Article 287
Definitions
For the purposes of this Chapter, the treatment accorded by a Party under this Chapter means:
with respect to the United Kingdom, treatment no less favourable than the most favourable treatment accorded, in like situations, to suppliers of the United Kingdom; and
with respect to a Member State, treatment no less favourable than the most favourable treatment accorded, in like situations, within that Member State to suppliers of that Member State.
For the purposes of this Chapter, a supplier of a Party, which is a legal person means:
for the Union, a legal person constituted or organised under the law of the Union or at least one of its Member States and engaged in substantive business operations, understood by the Union, in line with its notification of the Treaty establishing the European Community to the WTO (WT/REG39/1), as equivalent to the concept of "effective and continuous link" with the economy of a Member State enshrined in Article 54 of the TFEU, in the territory of the Union; and
for the United Kingdom, a legal person constituted or organised under the law of the United Kingdom and engaged in substantive business operations in the territory of the United Kingdom.
Article 288
National treatment of locally established suppliers
CHAPTER 4
OTHER PROVISIONS
Article 289
Modifications and rectifications of market access commitments
Each Party may modify or rectify its market access commitments in its respective Sub-section under Section B of Annex 25 in accordance with the procedures set out in Articles 290 to 293.
Article 290
Modifications
A Party intending to modify a Sub-section of Section B of Annex 25, shall:
notify the other Party in writing; and
include in the notification a proposal for appropriate compensatory adjustments to the other Party to maintain a level of market access commitments comparable to that existing prior to the modification.
A Party's control or influence over the covered procurement of procuring entities is presumed to be effectively eliminated if the procuring entity is exposed to competition in markets to which access is not restricted.
The other Party may object to the modification referred to in point (a) of paragraph 1 if it disputes that:
a compensatory adjustment proposed under point (b) of paragraph 1 is adequate to maintain a comparable level of mutually agreed market access commitments; or
the modification covers a procuring entity over which the Party has effectively eliminated its control or influence as provided for in paragraph 2.
The other Party shall object in writing within 45 days of receipt of the notification referred to in point (a) of paragraph 1 or be deemed to have accepted the compensatory adjustment or modification, including for the purposes of Title I of Part Six.
Article 291
Rectifications
The following changes to a Sub-section under Section B of Annex 25 shall be considered a rectification, provided that they do not affect the mutually agreed market access commitments provided for in this Title:
a change in the name of a procuring entity;
a merger of two or more procuring entities listed within that Sub-section; and
the separation of a procuring entity listed in that Sub-section into two or more procuring entities that are added to the procuring entities listed in the same Sub-section.
Article 292
Consultations and dispute resolution
If a Party objects to the proposed modification or the proposed compensatory adjustments referred to in Article 290 or to the proposed rectification referred to in Article 291, the Parties shall seek to resolve the issue through consultations. If no agreement is found within 60 days of receipt of the objection, the Party seeking to modify or rectify its Sub-section under Section B of Annex 25 may refer the matter to dispute settlement in accordance with Title I of Part Six, to determine whether the objection is justified.
Article 293
Amendment of Section B of Annex 25
If a Party does not object to the modification pursuant to Article 290(3) or to a rectification pursuant to Article 291(2), or the modifications or rectifications are agreed between the Parties through the consultations referred to in Article 292, or there is a final settlement of the matter under Title I of Part Six, the Partnership Council shall amend the relevant Sub-section under Section B of Annex 25 to reflect the corresponding modifications or rectifications or the compensatory adjustments.
Article 294
Cooperation
TITLE VII
SMALL AND MEDIUM-SIZED ENTERPRISES
Article 295
Objective
The objective of this Title is to enhance the ability of small and medium-sized enterprises to benefit from this Heading.
Article 296
Information sharing
Each Party shall establish or maintain its own publicly accessible website for small and medium-sized enterprises with information regarding this Heading, including:
a summary of this Heading;
a description of the provisions in this Heading that each Party considers to be relevant to small and medium-sized enterprises of both Parties; and
any additional information that each Party considers would be useful for small and medium-sized enterprises interested in benefitting from this Heading.
Each Party shall include an internet link in the website provided for in paragraph 1 to the:
text of this Heading;
equivalent website of the other Party; and
websites of its own authorities that the Party considers would provide useful information to persons interested in trading and doing business in its territory.
Each Party shall include an internet link in the website referred to in paragraph 1 to websites of its own authorities with information related to the following:
customs laws and regulations, procedures for importation, exportation and transit as well as relevant forms, documents and other information required;
laws, regulations and procedures concerning intellectual property rights, including geographical indications;
technical laws and regulations including, where necessary, obligatory conformity assessment procedures and links to lists of conformity assessment bodies, in cases where third party conformity assessment is obligatory, as provided for in Chapter 4 of Title I;
laws and regulations on sanitary and phytosanitary measures relating to importation and exportation as provided for in Chapter 3 of Title I;
laws and regulations on public procurement, single point of access on the internet to public procurement notices as provided for in Title VI and other relevant provisions contained in that Title;
company registration procedures; and
other information which the Party considers may be of assistance to small and medium-sized enterprises.
Each Party shall include an internet link in the website provided for in paragraph 1 to a database that is electronically searchable by tariff nomenclature code and that includes the following information with respect to access to its market:
in respect of tariff measures and tariff-related information:
rates of customs duties and quotas, including most-favoured nation, rates concerning non most-favoured nation countries and preferential rates and tariff rate quotas;
excise duties;
taxes (value added tax/ sales tax);
customs or other fees, including other product specific fees;
rules of origin as provided for in Chapter 2 of Title I;
duty drawback, deferral, or other types of relief that reduce, refund, or waive customs duties;
criteria used to determine the customs value of the good; and
other tariff measures;
in respect of tariff nomenclature related non-tariff measures:
information needed for import procedures; and
information related to non-tariff measures.
Article 297
Small and medium-sized enterprises contact points
The small and medium-sized enterprises contact points of the Parties shall:
seek to ensure that the needs of small and medium-sized enterprises are taken into account in the implementation of this Heading and that small and medium-sized enterprises of both Parties can take advantage of this Heading;
consider ways for strengthening the cooperation on matters of relevance to small and medium-sized enterprises between the Parties in view of increasing trade and investment opportunities for small and medium-sized enterprises;
ensure that the information referred to in Article 296 is up-to-date, accurate and relevant for small and medium-sized enterprises. Either Party may, through the small and medium-sized enterprises contact point, suggest additional information that the other Party may include in its websites to be maintained in accordance with Article 296;
examine any matter relevant to small and medium-sized enterprises in connection with the implementation of this Heading, including:
exchanging information to assist the Partnership Council in its task to monitor and implement the small and medium-sized enterprises-related aspects of this Heading;
assisting specialised committees, joint working groups and contact points established by this Agreement in considering matters of relevance to small and medium-sized enterprises;
report periodically on their activities, jointly or individually, to the Partnership Council for its consideration; and
consider any other matter arising under this Agreement pertaining to small and medium-sized enterprises as the Parties may agree.
Article 298
Relation with Part Six
Title I of Part Six does not apply to this Title.
TITLE VIII
ENERGY
CHAPTER 1
GENERAL PROVISIONS
Article 299
Objectives
The objectives of this Title are to facilitate trade and investment between the Parties in the areas of energy and raw materials, and to support security of supply and environmental sustainability, notably in contributing to the fight against climate change in those areas.
Article 300
Definitions
For the purposes of this Title, the following definitions apply:
"Agency for the Cooperation of Energy Regulators" means the Agency established by Regulation (EU) 2019/942 of the European Parliament and of the Council ( 42 );
"authorisation" means the permission, licence, concession or similar administrative or contractual instrument by which the competent authority of a Party entitles an entity to exercise a certain economic activity in its territory;
"balancing" means:
for electricity systems, all actions and processes, in all timelines, through which electricity transmission system operators ensure, in an ongoing manner, maintenance of the system frequency within a predefined stability range and compliance with the amount of reserves needed with respect to the required quality;
for gas systems, actions undertaken by gas transmission system operators to change the gas flows onto or off the transmission network, excluding those actions related to gas unaccounted for as off-taken from the system and gas used by the transmission system operator for the operation of the system;
"distribution" means:
in relation to electricity, the transport of electricity on high-voltage, medium-voltage and low-voltage distribution systems with a view to its delivery to customers, but does not include supply;
in relation to gas, the transport of natural gas through local or regional pipeline networks with a view to its delivery to customers, but does not include supply;
"distribution system operator" means a natural or legal person who is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas distribution system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the distribution of electricity or gas;
"electricity interconnector" means a transmission line:
between the Parties, excluding any such line wholly within the single electricity market in Ireland and Northern Ireland;
between Great Britain and the single electricity market in Ireland and Northern Ireland that is outside the scope of point (i);
"energy goods" means the goods from which energy is generated, listed by the corresponding Harmonised System (HS) code in Annex 26;
"entity" means any natural person, legal person or enterprise or group thereof;
"gas interconnector" means a transmission line which crosses or spans the border between the Parties;
"generation" means the production of electricity;
"hydrocarbons" means the goods listed by the corresponding HS code in Annex 26;
"interconnection point" means, in relation to gas, a physical or virtual point connecting Union and United Kingdom entry-exit systems or connecting an entry-exit system with an interconnector, in so far as these points are subject to booking procedures by network users;
"raw materials" means the goods listed by the corresponding HS chapter in Annex 26;
"renewable energy" means a type of energy, including electrical energy, produced from renewable non-fossil sources;
"standard capacity product" means, in relation to gas, a certain amount of transport capacity over a given period of time, at a specific interconnection point;
"transmission" means:
in relation to electricity, the transport of electricity on the extra high-voltage and high-voltage system with a view to its delivery to customers or to distributors, but does not include supply;
in relation to gas, the transport of natural gas through a network, which mainly contains high-pressure pipelines, other than an upstream pipeline network and other than the part of high-pressure pipelines primarily used in the context of local distribution of natural gas, with a view to its delivery to customers, but not including supply;
"transmission system operator" means a natural or legal person who carries out the function of transmission or is responsible for operating, ensuring the maintenance of, and, if necessary, developing the electricity or gas transmission system in a given area and, where applicable, its interconnections with other systems, and for ensuring the long-term ability of the system to meet reasonable demands for the transport of gas or electricity, as the case may be;
"upstream pipeline network" means any pipeline or network of pipelines operated or constructed as part of an oil or gas production project, or used to convey natural gas from one or more such projects to a processing plant or terminal or final coastal landing terminal.
Article 301
Relationship with other Titles
Article 302
Principles
Each Party preserves the right to adopt, maintain and enforce measures necessary to pursue legitimate public policy objectives, such as securing the supply of energy goods and raw materials, protecting society, the environment, including fighting against climate change, public health and consumers and promoting security and safety, consistent with the provisions of this Agreement.
CHAPTER 2
ELECTRICITY AND GAS
SECTION 1
COMPETITION IN ELECTRICITY AND GAS MARKETS
Article 303
Competition in markets and non-discrimination
Article 304
Provisions relating to wholesale electricity and gas markets
Each Party shall ensure that wholesale electricity and natural gas prices reflect actual supply and demand. To that end, each Party shall ensure that wholesale electricity and natural gas market rules:
encourage free price formation;
do not set any technical limits on pricing that restrict trade;
enable the efficient dispatch of electricity generation assets, energy storage and demand response and the efficient use of the electricity system;
enable the efficient use of the natural gas system; and
enable the integration of electricity from renewable energy sources, and ensure the efficient and secure operation and development of the electricity system.
Each Party shall ensure that balancing markets are organised in such a way as to ensure:
non-discrimination between participants and non-discriminatory access to participants;
that services are defined in a transparent manner;
that services are procured in a transparent, market-based manner, taking account of the advent of new technologies; and
that producers of renewable energy are accorded reasonable and non-discriminatory terms when procuring products and services.
A Party may decide not to apply point (c) if there is a lack of competition in the market for balancing services.
Article 305
Prohibition of market abuse on wholesale electricity and gas markets
Article 306
Third-party access to transmission and distribution networks
Each Party shall ensure that transmission system operators treat producers of renewable energy on reasonable and non-discriminatory terms regarding connection to, and use of, the electricity network.
The transmission or distribution system operator may refuse access where it lacks the necessary capacity. Duly substantiated reasons shall be given for any such refusal.
Article 307
System operation and unbundling of transmission network operators
Article 308
Public policy objectives for third-party access and ownership unbundling
Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 306 and 307 to the following:
emergent or isolated markets or systems;
infrastructure which meets the conditions set out in Annex 28.
Where necessary to fulfil a legitimate public policy objective and based on objective criteria, a Party may decide not to apply Articles 303 and 304 to:
small or isolated electricity markets or systems;
small, emergent or isolated natural gas markets or systems.
Article 309
Existing exemptions for interconnectors
Each Party shall ensure that exemptions granted to interconnections between the Union and the United Kingdom under Article 63 of Regulation (EU) 2019/943 of the European Parliament and of the Council ( 43 ) and under the law transposing Article 36 of Directive 2009/73/EC of the European Parliament and of the Council ( 44 ) in their respective jurisdictions, the terms of which extend beyond the transition period, continue to apply in accordance with the laws of their respective jurisdictions and the terms applicable.
Article 310
Independent regulatory authority
Each Party shall ensure the designation and maintenance of an operationally independent regulatory authority or authorities for electricity and gas with the following powers and duties:
fixing or approving the tariffs, charges and conditions for access to networks referred to in Article 306, or the methodologies underlying them;
ensuring compliance with the arrangements referred to in Articles 307 and 308;
issuing binding decisions at least in relation to points (a) and (b);
imposing effective remedies.
SECTION 2
TRADING OVER INTERCONNECTORS
Article 311
Efficient use of electricity interconnectors
With the aim of ensuring the efficient use of electricity interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
capacity allocation and congestion management on electricity interconnectors is market based, transparent and non-discriminatory;
the maximum level of capacity of electricity interconnectors is made available, respecting the:
need to ensure secure system operation; and
most efficient use of systems;
electricity interconnector capacity may only be curtailed in emergency situations and any such curtailment takes place in a non-discriminatory manner;
information on capacity calculation is published to support the objectives of this Article;
there are no network charges on individual transactions on, and no reserve prices for the use of, electricity interconnectors;
capacity allocation and congestion management across electricity interconnectors is coordinated between concerned Union transmission system operators and United Kingdom transmission system operators; this coordination shall involve the development of arrangements to deliver robust and efficient outcomes for all relevant timeframes, being forward, day-ahead, intraday and balancing; and
capacity allocation and congestion management arrangements contribute to supportive conditions for the development of, and investment in, economically efficient electricity interconnection.
Each Party shall take the necessary steps to ensure the conclusion as soon as possible of a multi-party agreement relating to the compensation for the costs of hosting cross-border flows of electricity between:
transmission system operators participating in the inter-transmission system operator compensation mechanism established by Commission Regulation (EU) No 838/2010 ( 45 ); and
United Kingdom transmission system operators.
The multi-party agreement referred to in paragraph 3 shall aim to ensure:
that United Kingdom transmission system operators are treated on an equivalent basis to a transmission system operator in a country participating in the inter-transmission system operator compensation mechanism; and
the treatment of United Kingdom transmission system operators is not more favourable in comparison to that which would apply to a transmission system operator participating in the inter-transmission system operator compensation mechanism.
Article 312
Electricity trading arrangements at all timeframes
Article 313
Efficient use of gas interconnectors
With the aim of ensuring the efficient use of gas interconnectors and reducing barriers to trade between the Union and the United Kingdom, each Party shall ensure that:
the maximum level of capacity of gas interconnectors is made available, respecting the principle of non-discrimination and taking account of:
the need to ensure secure system operation; and
the most efficient use of systems;
capacity allocation mechanisms and congestion management procedures for gas interconnectors are market-based, transparent and non-discriminatory, and that auctions are generally used for the allocation of capacity at interconnection points.
Each Party shall take the necessary steps to ensure that:
transmission system operators endeavour to offer jointly standard capacity products which consist of corresponding entry and exit capacity at both sides of an interconnection point;
transmission system operators coordinate procedures relating to the use of gas interconnectors between Union transmission system operators and United Kingdom transmission system operators concerned.
SECTION 3
NETWORK DEVELOPMENT AND SECURITY OF SUPPLY
Article 314
Network development
Article 315
Cooperation on security of supply
Article 316
Risk preparedness and emergency plans
The measures contained in the plans referred to in paragraph 2 shall:
be clearly defined, transparent, proportionate, non-discriminatory and verifiable;
not significantly distort trade between the Parties; and
not endanger the security of supply of electricity or natural gas of the other Party.
In the event of a crisis, the Parties shall only activate non-market based measures as a last resort.
SECTION 4
TECHNICAL COOPERATION
Article 317
Cooperation between transmission system operators
The working arrangements referred to in the first subparagraph shall include frameworks for cooperation between the European Network of Transmission System Operators for Electricity established in accordance with Regulation (EU) 2019/943 ("ENTSO-E") and the European Network of Transmission System Operators for Gas established in accordance with Regulation (EC) No 715/2009 of the European Parliament and of the Council ( 46 ) ("ENTSOG"), on the one side, and the transmission system operators for electricity and gas in the United Kingdom, on the other. Those frameworks shall cover at least the following areas:
electricity and gas markets;
access to networks;
the security of electricity and gas supply;
offshore energy;
infrastructure planning;
the efficient use of electricity and gas interconnectors; and
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the working arrangements and frameworks for cooperation for dissemination to transmission system operators as soon as practicable.
The frameworks for cooperation mentioned in the second subparagraph shall not involve, or confer a status comparable to, membership in ENTSO-E or ENTSOG by United Kingdom transmission system operators.
Article 318
Cooperation between regulatory authorities
The Parties shall ensure that the Agency for the Cooperation of Energy Regulators and the regulatory authority in the United Kingdom designated in accordance with Article 310 develop contacts and enter into administrative arrangements as soon as possible in order to facilitate meeting the objectives of this Agreement. The contacts and administrative arrangements shall cover at least the following areas:
electricity and gas markets;
access to networks;
the prevention of market abuse on wholesale electricity and gas markets;
the security of electricity and gas supply;
infrastructure planning;
offshore energy;
the efficient use of electricity and gas interconnectors;
cooperation between transmission system operators; and
gas decarbonisation and gas quality.
The Specialised Committee on Energy shall agree on guidance on the administrative arrangements for such cooperation for dissemination to regulatory authorities as soon as practicable.
CHAPTER 3
SAFE AND SUSTAINABLE ENERGY
Article 319
Renewable energy and energy efficiency
Each Party shall ensure that its rules that apply to licencing or equivalent measures applicable to energy from renewable sources are necessary and proportionate.
The Union reaffirms its energy efficiency targets for 2030 as set out in the Directive 2012/27/EU of the European Parliament and of the Council ( 48 ).
The United Kingdom reaffirms:
its ambition for the share of energy from renewable sources in gross final energy consumption in 2030 as set out in its National Energy and Climate Plan;
its ambition for the absolute level of primary and final energy consumption in 2030 as set out in its National Energy and Climate Plan.
Article 320
Support for renewable energy
Article 321
Cooperation in the development of offshore renewable energy
Building on the North Seas Energy Cooperation, the Parties shall enable the creation of a specific forum for technical discussions between the European Commission, ministries and public authorities of the Member States, United Kingdom ministries and public authorities, transmission system operators and the offshore energy industry and stakeholders more widely, in relation to offshore grid development and the large renewable energy potential of the North Seas region. That cooperation shall include at least the following areas:
hybrid and joint projects;
maritime spatial planning;
support framework and finance;
best practices on respective onshore and offshore grid planning;
the sharing of information on new technologies; and
the exchange of best practices in relation to the relevant rules, regulations and technical standards.
Article 322
Offshore risk and safety
Article 323
Cooperation on standards
In accordance with Articles 92 and 98, the Parties shall promote cooperation between the regulators and standardisation bodies located within their respective territories to facilitate the development of international standards with respect to energy efficiency and renewable energy, with a view to contributing to sustainable energy and climate policy.
Article 324
Research, development and innovation
The Parties shall promote research, development and innovation in the areas of energy efficiency and renewable energy.
CHAPTER 4
ENERGY GOODS AND RAW MATERIALS
Article 325
Export pricing
A Party shall not impose a higher price for exports of energy goods or raw materials to the other Party than the price charged for those energy goods or raw materials when destined for the domestic market, by means of any measures such as licences or minimum price requirements.
Article 326
Regulated pricing
If a Party decides to regulate the price of the domestic supply to consumers of electricity or natural gas, it may do so only to achieve a public policy objective, and only by imposing a regulated price that is clearly defined, transparent, non-discriminatory and proportionate.
Article 327
Authorisation for exploration and production of hydrocarbons and generation of electricity
Article 328
Safety and integrity of energy equipment and infrastructure
This Title shall not be construed as preventing a Party from adopting temporary measures necessary to protect the safety and preserve the integrity of energy equipment or infrastructure, provided that those measures are not applied in a manner which would constitute a disguised restriction on trade or investment between the Parties.
CHAPTER 5
FINAL PROVISIONS
Article 329
Effective implementation and amendments
Article 330
Dialogue
The Parties shall establish a regular dialogue to facilitate meeting the objectives of this Title.
Article 331
Termination of this Title
TITLE IX
TRANSPARENCY
Article 332
Objective
Article 333
Definition
For the purposes of this Title, "administrative decision" means a decision or action with legal effect that applies to a specific person, good or service in an individual case, and covers the failure to take a decision or take such action when that is so required by the law of a Party.
Article 334
Scope
This Title applies with respect to Titles I to VIII and Titles X to XII of this Heading and Heading Six.
Article 335
Publication
Article 336
Enquiries
Article 337
Administration of measures of general application
When administrative proceedings relating to persons, goods or services of the other Party are initiated in respect of the application of laws or regulations, each Party shall:
endeavour to provide persons who are directly affected by the administrative proceedings with reasonable notice in accordance with its laws and regulations, including a description of the nature of the proceedings, a statement of the legal authority under which the proceedings are initiated and a general description of any issues in controversy; and
afford such persons a reasonable opportunity to present facts and arguments in support of their positions prior to any final administrative decision insofar as time, the nature of the proceedings and the public interest permit.
Article 338
Review and appeal
Article 339
Relation to other Titles
The provisions set out in this Title supplement the specific transparency rules set out in those Titles of this Heading with respect to which this Title applies.
TITLE X
GOOD REGULATORY PRACTICES AND REGULATORY COOPERATION
Article 340
General principles
Nothing in this Title shall be construed as requiring a Party to:
deviate from its domestic procedures for preparing and adopting regulatory measures;
take actions that would undermine or impede the timely adoption of regulatory measures to achieve its public policy objectives; or
achieve any particular regulatory outcome.
Nothing in this Title shall affect the right of a Party to define or regulate its own levels of protection in pursuit or furtherance of its public policy objectives in areas such as:
public health;
human, animal or plant life and health, and animal welfare;
occupational health and safety;
labour conditions;
environment including climate change;
consumer protection;
social protection and social security;
data protection and cybersecurity;
cultural diversity;
integrity and stability of the financial system, and protection of investors;
energy security; and
anti-money laundering.
For greater certainty, for the purposes of in particular point (c) and (d) of the first subparagraph, the different models of industrial relations, including the role and autonomy of social partners, as provided for in the law or national practices of a Party, shall continue to apply, including laws and practices concerning collective bargaining and the enforcement of collective agreements.
Article 341
Definitions
For the purposes of this Title, the following definitions apply:
"regulatory authority" means:
for the Union, the European Commission; and
for the United Kingdom, Her Majesty's Government of the United Kingdom of Great Britain and Northern Ireland, and the devolved administrations of the United Kingdom.
"regulatory measures" means:
for the Union:
regulations and directives, as provided for in Article 288 TFEU; and
implementing and delegated acts, as provided for in Articles 290 and 291 TFEU, respectively; and
for the United Kingdom:
primary legislation; and
secondary legislation.
Article 342
Scope
Article 343
Internal coordination
Each Party shall have in place internal coordination or review processes or mechanisms with respect to regulatory measures that its regulatory authority is preparing. Such processes or mechanisms should seek, inter alia, to:
foster good regulatory practices, including those set forth in this Title;
identify and avoid unnecessary duplication and inconsistent requirements between the Party's own regulatory measures;
ensure compliance with the Party's international trade and investment obligations; and
promote the consideration of the impact of the regulatory measures under preparation, including the impact on small and medium-sized enterprises ( 50 ), in accordance with its respective rules and procedures.
Article 344
Description of processes and mechanisms
Each Party shall make publicly available descriptions of the processes or mechanisms used by its regulatory authority to prepare, evaluate or review regulatory measures. Those descriptions shall refer to relevant rules, guidelines or procedures, including those regarding opportunities for the public to provide comments.
Article 345
Early information on planned regulatory measures
With respect to each major regulatory measure included in the list referred to in paragraph 1, each Party should also make publicly available, as early as possible:
a brief description of its scope and objectives; and
if available, the estimated time for its adoption, including any opportunities for public consultation.
Article 346
Public consultation
When preparing a major regulatory measure, each Party, in accordance with its respective rules and procedures, shall ensure that its regulatory authority:
publishes either the draft regulatory measure or consultation documents providing sufficient details about the regulatory measure under preparation to allow any person to assess whether and how that person's interests might be significantly affected;
offers, on a non-discriminatory basis, reasonable opportunities for any person to provide comments; and
considers the comments received.
Article 347
Impact assessment
When carrying out an impact assessment, each Party shall ensure that its regulatory authority has processes and mechanisms in place that promote the consideration of the following factors:
the need for the regulatory measure, including the nature and the significance of the problem that the regulatory measure intends to address;
any feasible and appropriate regulatory or non-regulatory options that would achieve the Party's public policy objectives, including the option of not regulating;
to the extent possible and relevant, the potential social, economic and environmental impact of those options, including the impact on international trade and investment and, in accordance with its respective rules and procedures, the impact on small and medium-sized enterprises; and
where appropriate, how the options under consideration relate to relevant international standards, including the reasons for any divergence.
Article 348
Retrospective evaluation
Article 349
Regulatory register
Each Party shall ensure that regulatory measures that are in effect are published in a designated register that identifies regulatory measures and that is publicly available online free of charge. The register should allow searches for regulatory measures by citations or by word. Each Party shall periodically update its register.
Article 350
Exchange of information on good regulatory practices
The Parties shall endeavour to exchange information on their good regulatory practices as set out in this Title, including in the Trade Specialised Committee on Regulatory Cooperation.
Article 351
Regulatory cooperation activities
In order to identify activities that are suitable for regulatory cooperation, each Party shall consider:
the list referred to in Article 345(1); and
proposals for regulatory cooperation activities submitted by persons of a Party that are substantiated and accompanied by relevant information.
If the Parties decide to engage in a regulatory cooperation activity, the regulatory authority of each Party shall endeavour, where appropriate:
to inform the regulatory authority of the other Party about the preparation of new or the revision of existing regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity;
on request, to provide information and discuss regulatory measures and other measures of general application referred to in Article 342(2) that are relevant to the regulatory cooperation activity; and
when preparing new or revising existing regulatory measures or other measures of general application referred to in Article 342(2), consider, to the extent feasible, any regulatory approach by the other Party on the same or a related matter.
Article 352
Trade Specialised Committee on Regulatory Cooperation
The Trade Specialised Committee on Regulatory Cooperation shall have the following functions:
enhancing and promoting good regulatory practices and regulatory cooperation between the Parties;
exchanging views with respect to the cooperation activities proposed or carried out under Article 351;
encouraging regulatory cooperation and coordination in international fora, including, when appropriate, periodic bilateral exchanges of information on relevant ongoing or planned activities.
Article 353
Contact points
Within a month after the entry into force of this Agreement, each Party shall designate a contact point to facilitate the exchange of information between the Parties.
Article 354
Non-application of dispute settlement
Title I of Part Six does not apply in respect of disputes regarding the interpretation and application of this Title.
TITLE XI
LEVEL PLAYING FIELD FOR OPEN AND FAIR COMPETITION AND SUSTAINABLE DEVELOPMENT
CHAPTER 1
GENERAL PROVISIONS
Article 355
Principles and objectives
Article 356
Right to regulate, precautionary approach ( 52 ) and scientific and technical information
Article 357
Dispute settlement
Title I of Part Six does not apply to this Chapter, except for Article 356(2). Articles 408 and 409 apply to Article 355(3).
CHAPTER 2
COMPETITION POLICY
Article 358
Principles and definitions
Article 359
Competition law
In recognition of the principles set out in Article 358, each Party shall maintain a competition law which effectively addresses the following anticompetitive business practices:
agreements between economic actors, decisions by associations of economic actors and concerted practices which have as their object or effect the prevention, restriction or distortion of competition;
abuse by one or more economic actors of a dominant position; and
for the United Kingdom, mergers or acquisitions and, for the Union, concentrations, between economic actors which may have significant anticompetitive effects.
Article 360
Enforcement
Article 361
Cooperation
Article 362
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 3
SUBSIDY CONTROL
Article 363
Definitions
For the purposes of this Chapter, the following definitions apply:
"economic actor" means an entity or a group of entities constituting a single economic entity, regardless of its legal status, that is engaged in an economic activity by offering goods or services on a market;
"subsidy" means financial assistance which:
arises from the resources of the Parties, including:
a direct or contingent transfer of funds such as direct grants, loans or loan guarantees;
the forgoing of revenue that is otherwise due; or
the provision of goods or services, or the purchase of goods or services;
confers an economic advantage on one or more economic actors;
is specific insofar as it benefits, as a matter of law or fact, certain economic actors over others in relation to the production of certain goods or services; and
has, or could have, an effect on trade or investment between the Parties.
For the purposes of point (b)(iii) of paragraph 1:
a tax measure shall not be considered as specific unless:
certain economic actors obtain a reduction in the tax liability that they otherwise would have borne under the normal taxation regime; and
those economic actors are treated more advantageously than others in a comparable position within the normal taxation regime; for the purposes of this point, a normal taxation regime is defined by its internal objective, by its features (such as the tax base, the taxable person, the taxable event or the tax rate) and by an authority which is autonomous institutionally, procedurally, economically and financially and has the competence to design the features of the taxation regime;
notwithstanding point (a), a subsidy shall not be regarded as specific if it is justified by principles inherent to the design of the general system; in the case of tax measures, examples of such inherent principles are the need to fight fraud or tax evasion, administrative manageability, the avoidance of double taxation, the principle of tax neutrality, the progressive nature of income tax and its redistributive purpose, or the need to respect taxpayers' ability to pay;
notwithstanding point (a), special purpose levies shall not be regarded as specific if their design is required by non-economic public policy objectives, such as the need to limit the negative impacts of certain activities or products on the environment or human health, insofar as the public policy objectives are not discriminatory ( 53 ).
Article 364
Scope and exceptions
Article 365
Services of public economic interest
Article 366
Principles
With a view to ensuring that subsidies are not granted where they have or could have a material effect on trade or investment between the Parties, each Party shall have in place and maintain an effective system of subsidy control that ensures that the granting of a subsidy respects the following principles:
subsidies pursue a specific public policy objective to remedy an identified market failure or to address an equity rationale such as social difficulties or distributional concerns ("the objective");
subsidies are proportionate and limited to what is necessary to achieve the objective;
subsidies are designed to bring about a change of economic behaviour of the beneficiary that is conducive to achieving the objective and that would not be achieved in the absence of subsidies being provided;
subsidies should not normally compensate for the costs the beneficiary would have funded in the absence of any subsidy;
subsidies are an appropriate policy instrument to achieve a public policy objective and that objective cannot be achieved through other less distortive means;
subsidies' positive contributions to achieving the objective outweigh any negative effects, in particular the negative effects on trade or investment between the Parties.
Article 367
Prohibited subsidies and subsidies subject to conditions
Subsidies in the form of unlimited guarantees
Rescue and restructuring
Banks, credit institutions and insurance companies
Export subsidies
Subsidies that are contingent in law or in fact ( 54 ), whether solely or as one of several other conditions, upon export performance relating to goods or services, shall be prohibited, except in relation to:
short-term credit insurance for non-marketable risks; or
export credits and export credit guarantee or insurance programmes that are permissible in accordance with the SCM Agreement, read with any adjustments necessary for context.
For the purposes of point (a) of paragraph 8, "marketable risk" means commercial and political risks with a maximum risk period of less than two years on public and non-public buyers in marketable risk countries ( 55 ). A country may be understood to be temporarily removed from the group of marketable risk countries if there is a lack of sufficient private market capacity because of:
a significant contraction of private credit insurance capacity;
a significant deterioration of sovereign sector rating; or
a significant deterioration of corporate sector performance.
Subsidies contingent upon the use of domestic content
Large cross-border or international cooperation projects
Energy and environment
Subsidies to air carriers for the operation of routes
Subsidies shall not be granted to an air carrier ( 56 ) for the operation of routes except:
where there is a public service obligation, in accordance with Article 365;
in special cases where this funding provides benefits for society at large; or
as start-up subsidies for opening new routes to regional airports provided that such subsidies increase the mobility of citizens and stimulate regional development.
Article 368
Use of subsidies
Each Party shall ensure that economic actors use subsidies only for the specific purpose for which they are granted.
Article 369
Transparency
With respect to any subsidy granted or maintained within its territory, each Party shall within six months from the granting of the subsidy make publicly available, on an official website or a public database, the following information:
the legal basis and policy objective or purpose of the subsidy;
the name of the recipient of the subsidy when available;
the date of the grant of the subsidy, the duration of the subsidy and any other time limits attached to the subsidy; and
the amount of the subsidy or the amount budgeted for the subsidy.
For the United Kingdom, compliance with paragraph 3 means that the United Kingdom shall ensure that:
if an interested party communicates to the granting authority that it may apply for a review by a court or tribunal of:
the grant of a subsidy by a granting authority; or
any relevant decision by the granting authority or the independent body or authority;
then, within 28 days of the request being made in writing, the granting authority, independent body or authority shall provide that interested party with the information that allows the interested party to assess the application of the principles set out in Article 366, subject to any proportionate restrictions which pursue a legitimate objective, such as commercial sensitivity, confidentiality or legal privilege.
The information referred to in point (b) of the first subparagraph shall be provided to the interested party for the purposes of enabling it to make an informed decision as to whether to make a claim or to understand and properly identify the issues in dispute in the proposed claim.
Article 370
Consultations on subsidy control
Article 371
Independent authority or body and cooperation
Article 372
Courts and tribunals
Each Party shall ensure, in accordance with its general and constitutional laws and procedures, that its courts or tribunals are competent to:
review subsidy decisions taken by a granting authority or, where relevant, the independent authority or body for compliance with that Party's law implementing Article 366;
review any other relevant decisions of the independent authority or body and any relevant failure to act;
impose remedies that are effective in relation to point (a) or (b), including the suspension, prohibition or requirement of action by the granting authority, the award of damages, and the recovery of a subsidy from its beneficiary, if and to the extent that those remedies are available under the respective laws on the date of entry into force of this Agreement;
hear claims from interested parties in respect of subsidies that are subject to this Chapter where an interested party has standing to bring a claim in respect of a subsidy under that Party's law.
Article 373
Recovery
Each Party shall ensure that, provided that the interested party as defined in Article 369 has challenged a decision to grant a subsidy before a court or a tribunal within the specified time period, as defined in paragraph 3 of this Article, recovery may be ordered if a court or tribunal of a Party makes a finding of a material error of law, in that:
a measure constituting a subsidy was not treated by the grantor as a subsidy;
the grantor of a subsidy has failed to apply the principles set out in Article 366, as implemented in that Party's law, or applied them in a manner which falls below the standard of review applicable in that Party's law; or
the grantor of a subsidy has, by deciding to grant that subsidy, acted outside the scope of its powers or misused those powers in relation to the principles set out in Article 366, as implemented in that Party's law.
For the purposes of this Article, the specified time period shall be determined as follows:
for the Union, it shall commence on the date on which information specified in Article 369(1), (2) and (4) was made available on the official website or public database and be no shorter than one month.
for the United Kingdom:
it shall commence on the date on which information specified in Article 369(1) and (2) was made available on the official website or public database;
it shall terminate one month later, unless, prior to that date, the interested party has requested information under the process specified in Article 369(5);
once the interested party has received the information identified in point (b) of Article 369(5) sufficient for the purposes identified in Article 369(5), there shall be a further one month period at the end of which the specified time period shall terminate;
the date of receipt of the information in point (iii) will be the date on which the granting authority certifies that it has provided the information identified in point (b) of Article 369(5) sufficient for those purposes, irrespective of further or clarificatory correspondence after that date;
the time periods identified in points (i), (ii) and (iii) may be increased by legislation.
For the purposes of point (b) of paragraph 3 in relation to schemes, the specified time period commences when the information under point (b) of this paragraph is published, not when subsequent payments are made, where:
a subsidy is ostensibly granted in accordance with the terms of a scheme;
the maker of the scheme has made publicly available the information required to be published by Article 369(1) and (2) in respect of the scheme; and
the information provided about the scheme under point (b) of this paragraph contains information about the subsidy that would enable an interested party to determine whether it may be affected by the scheme, which at a minimum shall cover the purpose of the subsidy, the categories of beneficiary, the terms and conditions of eligibility for the subsidy and the basis for the calculation of the subsidy (including any relevant conditions relating to subsidy ratios or amounts).
Article 374
Remedial measures
Within five days from the date on which the remedial measures referred to in paragraph 3 enter into effect and without having prior recourse to consultations in accordance with Article 738, the notified Party may request, in accordance with Article 739(2), the establishment of an arbitration tribunal by means of a written request delivered to the requesting Party in order for the arbitration tribunal to decide whether:
a remedial measure taken by the requesting Party is inconsistent with paragraph 3 or 8;
the requesting Party did not participate in the consultations after the requested Party delivered the requested information and agreed to the holding of such consultations; or
there was a failure to take or notify a remedial measure in accordance with the time periods referred to in paragraph 3 or 4 respectively.
That request shall not have a suspensive effect on the remedial measures. Furthermore, the arbitration tribunal shall not assess the application by the Parties of Articles 366 and 367.
For the purposes of assessing whether imposing or maintaining remedial measures on imports of the same product is restricted to what is strictly necessary or proportionate for the purposes of this Article, a Party:
shall take into account countervailing measures applied or maintained pursuant to Article 32(3); and
may take into account anti-dumping measures applied or maintained pursuant to Article 32(3).
Article 375
Dispute settlement
An arbitration tribunal shall have no jurisdiction regarding:
an individual subsidy, including whether such a subsidy has respected the principles set out in Article 366(1), other than with regard to the conditions set out in Article 367(2), Article 367(3), (4) and (5), Article 367(8) to (11) and Article 367(12); and
whether the recovery remedy within the meaning of Article 373 has been correctly applied in any individual case.
CHAPTER 4
STATE-OWNED ENTERPRISES, ENTERPRISES GRANTED SPECIAL RIGHTS OR PRIVILEGES AND DESIGNATED MONOPOLIES
Article 376
Definitions
For the purposes of this Chapter, the following definitions apply:
"Arrangement" means the Arrangement on Officially Supported Export Credits, developed within the framework of the OECD or a successor undertaking, whether developed within or outside of the OECD framework, that has been adopted by at least 12 original WTO Members that were Participants to the Arrangement as of 1 January 1979;
"commercial activities" means activities, the end result of which is the production of a good or the supply of a service to be sold in the relevant market in quantities and at prices determined by an enterprise on the basis of the conditions of supply and demand, and which are undertaken with an orientation towards profit-making; activities undertaken by an enterprise which operates on a non-profit basis or a cost-recovery basis are not activities undertaken with an orientation towards profit-making;
"commercial considerations" means considerations of price, quality, availability, marketability, transportation and other terms and conditions of purchase or sale, or other factors that would normally be taken into account in the commercial decisions of a privately owned enterprise operating according to market economy principles in the relevant business or industry;
"covered entity" means:
a designated monopoly;
an enterprise granted special rights or privileges; or
a State-owned enterprise;
"designated monopoly" means an entity, including a consortium or a government agency, that, in a relevant market in the territory of a Party, is designated as the sole supplier or purchaser of a good or service, but does not include an entity that has been granted an exclusive intellectual property right solely by reason of such grant; in this context, designate means to establish or authorise a monopoly, or to expand the scope of a monopoly to cover an additional good or service;
"enterprise" means enterprise as defined in point (g) of Article 124;
"enterprise granted special rights or privileges" means any enterprise, public or private, to which a Party has granted special rights or privileges, in law or in fact;
"service supplied in the exercise of governmental authority" means a service supplied in the exercise of governmental authority as defined in GATS;
"special rights or privileges" means rights or privileges by which a Party designates or limits to two or more the number of enterprises authorised to supply a good or service, other than according to objective, proportional and non-discriminatory criteria, substantially affecting the ability of any other enterprise to supply the same good or service in the same geographical area or product market under substantially equivalent conditions;
"State-owned enterprise" means an enterprise in which a Party:
directly owns more than 50 % of the share capital;
controls, directly or indirectly, the exercise of more than 50 % of the voting rights;
holds the power to appoint a majority of the members of the board of directors or any other equivalent management body; or
has the power to exercise control over the enterprise. For the establishment of control, all relevant legal and factual elements shall be taken into account on a case-by-case basis.
Article 377
Scope
This Chapter does not apply to:
covered entities when acting as procuring entities, as defined in each Party's Annexes 1 to 3 to Appendix I to the GPA and paragraph 1 of each Party's respective subsections of Section B of Annex 25, conducting covered procurement as defined in Article 277(2);
any service supplied in the exercise of governmental authority.
Article 380 does not apply to the supply of financial services by a covered entity pursuant to a government mandate, if that supply of financial services:
supports exports or imports, provided that those services are:
not intended to displace commercial financing; or
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
supports private investment outside the territory of the Party, provided that those services are:
not intended to displace commercial financing; or
offered on terms no more favourable than those that could be obtained for comparable financial services in the commercial market; or
is offered on terms consistent with the Arrangement, if the supply of those services falls within the scope of the Arrangement.
Article 380 does not apply to the extent that a covered entity of a Party makes purchases or sales of goods or services pursuant to:
any existing non-conforming measure that the Party maintains, continues, renews or amends in accordance with Article 133(1) or 139(1) as set out in its Schedules to Annexes 19 and 20, as applicable; or
any non-conforming measure that the Party adopts or maintains with respect to sectors, subsectors, or activities in accordance with Article 133(2) or 139(2) as set out in its Schedules to Annexes 19 and 20, as applicable.
Article 378
Relationship with the WTO Agreement
The Parties affirm their rights and obligations under paragraphs 1 to 3 of Article XVII of GATT 1994, the Understanding on the Interpretation of Article XVII of the GATT 1994, as well as under paragraphs 1, 2 and 5 of Article VIII of GATS.
Article 379
General provisions
Article 380
Non-discriminatory treatment and commercial considerations
Each Party shall ensure that each of its covered entities, when engaging in commercial activities:
acts in accordance with commercial considerations in its purchase or sale of a good or service, except to fulfil any terms of its public service mandate that are not inconsistent with point (b) or (c);
in its purchase of a good or service:
accords to a good or service supplied by an enterprise of the other Party treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party; and
accords to a good or service supplied by a covered entity in the Party's territory treatment no less favourable than it accords to a like good or a like service supplied by enterprises of the Party in the relevant market in the Party's territory; and
in its sale of a good or service:
accords to an enterprise of the other Party treatment no less favourable than it accords to enterprises of the Party; and
accords to a covered entity in the Party's territory, treatment no less favourable than it accords to enterprises of the Party in the relevant market in the Party's territory. ( 61 )
Points (b) and (c) of paragraph 1 do not preclude a covered entity from:
purchasing or supplying goods or services on different terms or conditions, including terms or conditions relating to price, provided that those different terms or conditions are in accordance with commercial considerations; or
refusing to purchase or supply goods or services, provided that such refusal is made in accordance with commercial considerations.
Article 381
Regulatory framework
Each Party shall ensure that any regulatory body, and any other body exercising a regulatory function, that that Party establishes or maintains:
is independent from, and not accountable to, any of the enterprises regulated by that body; and
in like circumstances, acts impartially with respect to all enterprises regulated by that body, including covered entities; the impartiality with which the body exercises its regulatory functions is to be assessed by reference to a general pattern or practice of that body.
For those sectors in which the Parties have agreed to specific obligations relating to such a body in this Agreement, the relevant provisions of this Agreement shall prevail.
Article 382
Information exchange
Provided that the request referred to in paragraph 1 includes an explanation of how the activities of the entity may be affecting the interests of the requesting Party under this Chapter and indicates which of the following categories of information is or are to be provided, the requested Party shall provide the information so requested:
the ownership and the voting structure of the entity, indicating the cumulative percentage of shares and the percentage of voting rights that the requested Party and its covered entities cumulatively have in the entity;
a description of any special shares or special voting or other rights that the requested Party or its covered entities hold, to the extent that such rights are different from those attached to the general common shares of the entity;
a description of the organisational structure of the entity and the composition of its board of directors or of any equivalent body;
a description of the government departments or public bodies which regulate or monitor the entity, a description of the reporting requirements imposed on it by those departments or public bodies, and the rights and practices of those departments or public bodies with respect to the appointment, dismissal or remuneration of senior executives and members of its board of directors or any equivalent body;
the annual revenue and total assets of the entity over the most recent three-year period for which information is available;
any exemptions, immunities and related measures from which the entity benefits under the laws and regulations of the requested Party;
any additional information regarding the entity that is publicly available, including annual financial reports and third-party audits.
CHAPTER 5
TAXATION
Article 383
Good governance
The Parties recognise and commit to implementing the principles of good governance in the area of taxation, in particular the global standards on tax transparency and exchange of information and fair tax competition. The Parties reiterate their support for the OECD Base Erosion and Profit Shifting (BEPS) Action Plan and affirm their commitment to implementing the OECD minimum standards against BEPS. The Parties will promote good governance in tax matters, improve international cooperation in the area of taxation and facilitate the collection of tax revenues.
Article 384
Taxation standards
A Party shall not weaken or reduce the level of protection provided for in its legislation at the end of the transition period below the level provided for by the standards and rules which have been agreed in the OECD at the end of the transition period, in relation to:
the exchange of information, whether upon request, spontaneously or automatically, concerning financial accounts, cross-border tax rulings, country-by-country reports between tax administrations, and potential cross-border tax planning arrangements;
rules on interest limitation, controlled foreign companies and hybrid mismatches.
Article 385
Dispute settlement
This Chapter shall not be subject to dispute settlement under Title I of Part Six.
CHAPTER 6
LABOUR AND SOCIAL STANDARDS
Article 386
Definition
For the purposes of this Chapter, "labour and social levels of protection" means the levels of protection provided overall in a Party's law and standards ( 62 ), in each of the following areas:
fundamental rights at work;
occupational health and safety standards;
fair working conditions and employment standards;
information and consultation rights at company level; or
restructuring of undertakings.
Article 387
Non-regression from levels of protection
Article 388
Enforcement
For the purposes of enforcement as referred to in Article 387 each Party shall have in place and maintain a system for effective domestic enforcement and, in particular, an effective system of labour inspections in accordance with its international commitments relating to working conditions and the protection of workers; ensure that administrative and judicial proceedings are available that allow public authorities and individuals with standing to bring timely actions against violations of the labour law and social standards; and provide for appropriate and effective remedies, including interim relief, as well as proportionate and dissuasive sanctions. In the domestic implementation and enforcement of Article 387, each Party shall respect the role and autonomy of the social partners at a national level, where relevant, in line with applicable law and practice.
Article 389
Dispute settlement
CHAPTER 7
ENVIRONMENT AND CLIMATE
Article 390
Definitions
For the purposes of this Chapter, "environmental levels of protection" means the levels of protection provided overall in a Party's law which have the purpose of protecting the environment, including the prevention of a danger to human life or health from environmental impacts, including in each of the following areas:
industrial emissions;
air emissions and air quality;
nature and biodiversity conservation;
waste management;
the protection and preservation of the aquatic environment;
the protection and preservation of the marine environment;
the prevention, reduction and elimination of risks to human health or the environment arising from the production, use, release or disposal of chemical substances; or
the management of impacts on the environment from agricultural or food production, notably through the use of antibiotics and decontaminants.
For the purposes of this Chapter, "climate level of protection" means the level of protection with respect to emissions and removals of greenhouse gases and the phase-out of ozone depleting substances. With regard to greenhouse gases, this means:
for the Union, the 40 % economy-wide 2030 target, including the Union's system of carbon pricing;
for the United Kingdom, the United Kingdom's economy-wide share of this 2030 target, including the United Kingdom's system of carbon pricing.
Article 391
Non-regression from levels of protection
Article 392
Carbon pricing
Article 393
Environmental and climate principles
Taking into account the fact that the Union and the United Kingdom share a common biosphere in respect of cross-border pollution, each Party commits to respecting the internationally recognised environmental principles to which it has committed, such as in the Rio Declaration on Environment and Development, adopted at Rio de Janeiro on 14 June 1992 (the "1992 Rio Declaration on Environment and Development") and in multilateral environmental agreements, including in the United Nations Framework Convention on Climate Change, done at New York on 9 May 1992 ("UNFCCC") and the Convention on Biological Diversity, done at Rio de Janeiro on 5 June 1992 (the "Convention on Biological Diversity"), in particular:
the principle that environmental protection should be integrated into the making of policies, including through impact assessments;
the principle of preventative action to avert environmental damage;
the precautionary approach referred to in Article 356(2);
the principle that environmental damage should as a priority be rectified at source; and
the polluter pays principle.
Article 394
Enforcement
For the purposes of enforcement as referred to in Article 391, each Party shall, in accordance with its law, ensure that:
domestic authorities competent to enforce the relevant law with regard to environment and climate give due consideration to alleged violations of such law that come to their attention; those authorities shall have adequate and effective remedies available to them, including injunctive relief as well as proportionate and dissuasive sanctions, if appropriate; and
national administrative or judicial proceedings are available to natural and legal persons with a sufficient interest to bring actions against violations of such law and to seek effective remedies, including injunctive relief, and that the proceedings are not prohibitively costly and are conducted in a fair, equitable and transparent way.
Article 395
Cooperation on monitoring and enforcement
The Parties shall ensure that the European Commission and the supervisory bodies of the United Kingdom regularly meet with each other and co-operate on the effective monitoring and enforcement of the law with regard to environment and climate as referred to in Article 391.
Article 396
Dispute settlement
CHAPTER 8
OTHER INSTRUMENTS FOR TRADE AND SUSTAINABLE DEVELOPMENT
Article 397
Context and objectives
Article 398
Transparency
The Parties stress the importance of ensuring transparency as a necessary element to promote public participation and of making information public within the context of this Chapter. In accordance with their laws and regulations, the provisions of this Chapter, of Title IX and of Title X, each Party shall:
ensure that any measure of general application pursuing the objectives of this Chapter is administered in a transparent manner, including by providing the public with reasonable opportunities and sufficient time to comment, and by publishing such measures;
ensure that the general public is given access to relevant environmental information held by or for public authorities, as well as ensuring the active dissemination of that information to the general public by electronic means;
encourage public debate with and among non-state actors as regards the development and definition of policies that may lead to the adoption of law relevant to this Chapter by its public authorities; this includes, in relation to the environment, public participation in projects, plans and programmes; and
promote public awareness of its laws and standards relevant to this Chapter, as well as enforcement and compliance procedures, by taking steps to further the knowledge and understanding of the public; in relation to labour laws and standards, this includes workers, employers and their representatives.
Article 399
Multilateral labour standards and agreements
In accordance with the ILO Constitution and the ILO Declaration on Fundamental Principles and Rights at Work and its Follow-up, adopted at Geneva on 18 June 1998 by the International Labour Conference at its 86th Session, each Party commits to respecting, promoting and effectively implementing the internationally recognised core labour standards, as defined in the fundamental ILO Conventions, which are:
freedom of association and the effective recognition of the right to collective bargaining;
the elimination of all forms of forced or compulsory labour;
the effective abolition of child labour; and
the elimination of discrimination in respect of employment and occupation.
Each Party shall continue to promote, through its laws and practices, the ILO Decent Work Agenda as set out in the 2008 ILO Declaration on Social Justice for a Fair Globalization (the "ILO Decent Work Agenda") and in accordance with relevant ILO Conventions, and other international commitments, in particular with regard to:
decent working conditions for all, with regard to, inter alia, wages and earnings, working hours, maternity leave and other conditions of work;
health and safety at work, including the prevention of occupational injury or illness and compensation in cases of such injury or illness; and
non-discrimination in respect of working conditions, including for migrant workers.
The Parties shall work together on trade-related aspects of labour policies and measures, including in multilateral fora, such as the ILO, as appropriate. Such cooperation may cover inter alia:
trade-related aspects of implementation of fundamental, priority and other up-to-date ILO Conventions;
trade-related aspects of the ILO Decent Work Agenda, including on the interlinkages between trade and full and productive employment, labour market adjustment, core labour standards, decent work in global supply chains, social protection and social inclusion, social dialogue and gender equality;
the impact of labour law and standards on trade and investment, or the impact of trade and investment law on labour;
dialogue and information-sharing on the labour provisions in the context of their respective trade agreements, and the implementation thereof; and
any other form of cooperation deemed appropriate.
Article 400
Multilateral environmental agreements
The Parties shall regularly and as appropriate exchange information on:
their respective situations as regards the ratification and implementation of multilateral environmental agreements, including their protocols and amendments;
on-going negotiations of new multilateral environmental agreements; and
each Party's respective views on becoming a party to additional multilateral environmental agreements.
The Parties shall work together on trade-related aspects of environmental policies and measures, including in multilateral fora, such as the UN High-level Political Forum for Sustainable Development, the UN Environment Programme, the UN Environment Assembly, multilateral environmental agreements, the International Civil Aviation Organization (ICAO) or the WTO as appropriate. Such cooperation may cover inter alia:
initiatives on sustainable production and consumption, including those aimed at promoting a circular economy and green growth and pollution abatement;
initiatives to promote environmental goods and services, including by addressing related tariff and non-tariff barriers;
the impact of environmental law and standards on trade and investment; or the impact of trade and investment law on the environment;
the implementation of Annex 16 to the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and other measures to reduce the environmental impact of aviation, including in the area of air traffic management; and
other trade-related aspects of multilateral environmental agreements, including their protocols, amendments and implementation.
Article 401
Trade and climate change
In light of paragraph 1, each Party:
commits to effectively implementing the UNFCCC, and the Paris Agreement of which one principal aim is strengthening the global response to climate change and holding the increase in the global average temperature to well below 2 oC above pre-industrial levels and pursuing efforts to limit the temperature increase to 1,5 oC above pre-industrial levels;
shall promote the mutual supportiveness of trade and climate policies and measures thereby contributing to the transition to a low greenhouse gas emission, resource-efficient economy and to climate-resilient development; and
shall facilitate the removal of obstacles to trade and investment in goods and services of particular relevance for climate change mitigation and adaptation, such as renewable energy, energy efficient products and services, for instance through addressing tariff and non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions.
The Parties shall work together to strengthen their cooperation on trade-related aspects of climate change policies and measures bilaterally, regionally and in international fora, as appropriate, including in the UNFCCC, the WTO, the Montreal Protocol on Substances that Deplete the Ozone Layer done at Montreal on 26 August 1987 (the "Montreal Protocol"), the International Maritime Organisation (IMO) and the ICAO. Such cooperation may cover inter alia:
policy dialogue and cooperation regarding the implementation of the Paris Agreement, such as on means to promote climate resilience, renewable energy, low-carbon technologies, energy efficiency, sustainable transport, sustainable and climate-resilient infrastructure development, emissions monitoring, international carbon markets;
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the IMO to be implemented by ships engaged in international trade;
supporting the development and adoption of ambitious and effective greenhouse gas emissions reduction measures by the ICAO; and
supporting an ambitious phase-out of ozone depleting substances and phase-down of hydrofluorocarbons under the Montreal Protocol through measures to control their production, consumption and trade; the introduction of environmentally friendly alternatives to them; the updating of safety and other relevant standards as well as through combating the illegal trade of substances regulated by the Montreal Protocol.
Article 402
Trade and biological diversity
In light of paragraph 1, each Party shall:
implement effective measures to combat illegal wildlife trade, including with respect to third countries, as appropriate;
promote the use of CITES as an instrument for conservation and sustainable management of biodiversity, including through the inclusion of animal and plant species in the Appendices to CITES where the conservation status of that species is considered at risk because of international trade;
encourage trade in products derived from a sustainable use of biological resources and contributing to the conservation of biodiversity; and
continue to take measures to conserve biological diversity when it is subject to pressures linked to trade and investment, in particular through measures to prevent the spread of invasive alien species.
Article 403
Trade and forests
In light of paragraph 1 and in a manner consistent with its international obligations, each Party shall:
continue to implement measures to combat illegal logging and related trade, including with respect to third countries, as appropriate, and to promote trade in legally harvested forest products;
promote the conservation and sustainable management of forests and trade and consumption of timber and timber products harvested in accordance with the law of the country of harvest and from sustainably managed forests; and
exchange information with the other Party on trade-related initiatives on sustainable forest management, forest governance and on the conservation of forest cover and cooperate to maximise the impact and mutual supportiveness of their respective policies of mutual interest.
Article 404
Trade and sustainable management of marine biological resources and aquaculture
In light of paragraph 1, each Party:
commits to acting consistently and complying, as appropriate, with the relevant UN and Food and Agriculture Organization ("FAO") agreements, the United Nations Convention on the Law of the Sea, the Agreement for the Implementation of the Provisions of the United Nations Convention on the Law of the Sea of 10 December 1982 relating to the Conservation and Management of Straddling Fish Stocks and Highly Migratory Fish Stocks, done at New York on 4 August 1995, the FAO Agreement to Promote Compliance with International Conservation and Management Measures by Fishing Vessels on the High Seas, done at Rome on 24 November 1993, the FAO Code of Conduct for Responsible Fisheries and the FAO Agreement on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated ("IUU") fishing, approved at Rome on 22 November 2009 at the 36th Session of the FAO Conference, and to participating in the FAO's initiative on the Global Record of Fishing Vessels, Refrigerated Transport Vessels and Supply Vessels;
shall promote sustainable fisheries and good fisheries governance by participating actively in the work of relevant international organisations or bodies to which they are members, observers, or cooperating non-contracting parties, including the Regional Fisheries Management Organizations (RFMOs) by means of, where applicable, effective monitoring, control or enforcement of the RFMOs' resolutions, recommendations or measures; the implementation of their catch documentation or certification schemes, and port state measures;
shall adopt and maintain their respective effective tools to combat IUU fishing, including measures to exclude the products of IUU fishing from trade flows, and cooperate to that end; and
shall promote the development of sustainable and responsible aquaculture, including with regard to the implementation of the objectives and principles contained in the FAO Code of Conduct for Responsible Fisheries, as appropriate.
Article 405
Trade and investment favouring sustainable development
Pursuant to paragraph 1, the Parties shall continue to promote:
trade and investment policies that support the four strategic objectives of the ILO Decent Work Agenda, consistent with the 2008 ILO Declaration on Social Justice for a Fair Globalization, including the minimum living wage, health and safety at work, and other aspects related to working conditions;
trade and investment in environmental goods and services, such as renewable energy and energy efficient products and services, including through addressing related non-tariff barriers or through the adoption of policy frameworks conducive to the deployment of the best available solutions;
trade in goods and services that contribute to enhanced social conditions and environmentally sound practices, including those subject to voluntary sustainability assurance schemes such as fair and ethical trade schemes and eco-labels; and
cooperation in multilateral fora on issues referred to in this Article.
Article 406
Trade and responsible supply chain management
In light of paragraph 1, each Party shall:
encourage corporate social responsibility and responsible business conduct, including by providing supportive policy frameworks that encourage the uptake of relevant practices by businesses; and
support the adherence, implementation, follow-up and dissemination of relevant international instruments, such as the OECD Guidelines for Multinational Enterprises, the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy, the UN Global Compact, and the UN Guiding Principles on Business and Human Rights.
Article 407
Dispute settlement
CHAPTER 9
HORIZONTAL AND INSTITUTIONAL PROVISIONS
Article 408
Consultations
Article 409
Panel of experts
Unless the Parties agree otherwise within five days from the date of establishment of the panel of experts, the terms of reference shall be:
"to examine, in the light of the relevant provisions, the matter referred to in the request for the establishment of the panel of experts, and to deliver a report in accordance with this Article that makes findings on the conformity of the measure with the relevant provisions".
Article 410
Panel of experts for non-regression areas
Article 411
Rebalancing
The following procedures shall apply to rebalancing measures taken under paragraph 2:
the concerned Party shall, without delay, notify the other Party through the Partnership Council of the rebalancing measures it intends to take, providing all relevant information. The Parties shall immediately enter into consultations. Consultations shall be deemed concluded within 14 days from the date of delivery of the notification, unless they are jointly concluded before that time limit;
if no mutually acceptable solution is found, the concerned Party may adopt rebalancing measures no sooner than five days from the conclusion of the consultations, unless the notified Party requests within the same five day period, in accordance with Article 739(2) ( 64 ), the establishment of an arbitration tribunal by means of a written request delivered to the other Party in order for the arbitration tribunal to decide whether the notified rebalancing measures are consistent with paragraph 2 of this Article;
the arbitration tribunal shall conduct its proceeding in accordance with Article 760 and deliver its final ruling within 30 days from its establishment. If the arbitration tribunal does not deliver its final ruling within that time period, the concerned Party may adopt the rebalancing measures no sooner than three days after the expiry of that 30 day time period. In that case, the other Party may take countermeasures proportionate to the adopted rebalancing measures until the arbitration tribunal delivers its ruling. Priority shall be given to such countermeasures as will least disturb the functioning of this Agreement. Point (a) shall apply mutatis mutandis to such countermeasures, which may be adopted no sooner than three days after the conclusion of consultations;
if the arbitration tribunal has found the rebalancing measures to be consistent with paragraph 2, the concerned Party may adopt the rebalancing measures as notified to the other Party;
if the arbitration tribunal has found the rebalancing measures to be inconsistent with paragraph 2 of this Article, the concerned Party shall, within three days from the delivery of the ruling, notify the complaining Party of the measures ( 65 ) it intends to adopt to comply with the ruling of the arbitration tribunal. Article 748(2) and Articles 749 ( 66 ) and 750 shall apply mutatis mutandis, if the complaining Party considers that the notified measures are not in compliance with the ruling of the arbitration tribunal. The procedures under Article 748(2) and Articles 749 and 750 shall have no suspensive effect on the application of the notified measures pursuant to this paragraph;
if rebalancing measures were adopted prior to the arbitration ruling in accordance with point (c), any countermeasures adopted pursuant to that point shall be withdrawn immediately, and in no case later than five days, after delivery of the ruling of the arbitration tribunal;
a Party shall not invoke the WTO Agreement or any other international agreement to preclude the other Party from taking measures pursuant to paragraphs 2 and 3, including when those measures consist of suspension of obligations under this Agreement;
if the notified Party does not submit a request pursuant to point (b) of this paragraph within the time period laid down therein, that Party may without having prior recourse to consultations in accordance with Article 738 initiate the arbitration procedure referred to in Article 739. An arbitration tribunal shall treat the issue as a case of urgency for the purposes of Article 744.
TITLE XII
EXCEPTIONS
Article 412
General exceptions
Subject to the requirement that such measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on investment liberalisation or trade in services, nothing in Title II, Title III, Title IV, Title VIII and Chapter 4 of Title XI shall be construed to prevent the adoption or enforcement by either Party of measures:
necessary to protect public security or public morals or to maintain public order ( 67 );
necessary to protect human, animal or plant life or health;
necessary to secure compliance with laws or regulations which are not inconsistent with the provisions of this Agreement including those relating to:
the prevention of deceptive and fraudulent practices or to deal with the effects of a default on contracts;
the protection of the privacy of individuals in relation to the processing and dissemination of personal data and the protection of confidentiality of individual records and accounts; and
safety.
For greater certainty, the Parties understand that, to the extent that such measures are otherwise inconsistent with the provisions of the chapters or titles referred to in paragraphs 1 and 2 of this Article:
the measures referred to in point (b) of Article XX of GATT 1994 and in point (b) of paragraph 2 of this Article include environmental measures, which are necessary to protect human, animal or plant life and health;
point (g) of Article XX of GATT 1994 applies to measures relating to the conservation of living and non-living exhaustible natural resources; and
measures taken to implement multilateral environmental agreements can fall under points (b) or (g) of Article XX of GATT 1994 or under point (b) of paragraph 2 of this Article.
Article 413
Taxation
Subject to the requirement that tax measures are not applied in a manner which would constitute a means of arbitrary or unjustifiable discrimination between countries where like conditions prevail, or a disguised restriction on trade and investment, nothing in Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of this Heading or Heading Six shall be construed to prevent the adoption, maintenance or enforcement by a Party of any measure that:
aims at ensuring the equitable or effective ( 69 ) imposition or collection of direct taxes; or
distinguishes between taxpayers, who are not in the same situation, in particular with regard to their place of residence or with regard to the place where their capital is invested.
For the purposes of this Article, the following definitions apply:
"residence" means residence for tax purposes;
"tax convention" means a convention for the avoidance of double taxation or any other international agreement or arrangement relating wholly or mainly to taxation; and
"direct taxes" comprise all taxes on income or capital, including taxes on gains from the alienation of property, taxes on estates, inheritances and gifts, taxes on wages or salaries paid by enterprises and taxes on capital appreciation.
Article 414
WTO Waivers
If an obligation in Titles I to XII of this Heading or Heading Six of this Part is substantially equivalent to an obligation contained in the WTO Agreement, any measure taken in conformity with a waiver adopted pursuant to Article IX of the WTO Agreement is deemed to be in conformity with the substantially equivalent provision in this Agreement.
Article 415
Security exceptions
Nothing in Titles I to XII of this Heading or Heading Six shall be construed:
to require a Party to furnish or allow access to any information the disclosure of which it considers contrary to its essential security interests; or
to prevent a Party from taking an action which it considers necessary for the protection of its essential security interests:
connected to the production of or traffic in arms, ammunition and implements of war and to such production, traffic and transactions in other goods and materials, services and technology, and to economic activities, carried out directly or indirectly for the purpose of supplying a military establishment;
relating to fissionable and fusionable materials or the materials from which they are derived; or
in time of war or other emergency in international relations; or
to prevent a Party from taking any action in pursuance of its obligations under the United Nations Charter for the maintenance of international peace and security.
Article 416
Confidential information
HEADING TWO
AVIATION
TITLE I
AIR TRANSPORT
Article 417
Definitions
For the purposes of this Title, the following definitions apply:
"air carrier" means an air transport undertaking holding a valid operating licence or equivalent;
"air carrier of the Union" means an air carrier that fulfils the conditions laid down in point (b) of Article 422(1);
"air carrier of the United Kingdom" means an air carrier that fulfils the conditions laid down in point (a) of Article 422(1) or Article 422(2);
"air navigation services" means air traffic services, communication, navigation and surveillance services, meteorological services for air navigation, and aeronautical information services;
"air operator certificate" means a document issued to an air carrier which affirms that the air carrier in question has the professional ability and organisation to secure the safe operation of aircraft for the aviation activities specified in the certificate;
"air traffic management" means the aggregation of the airborne and ground-based functions (air traffic services, airspace management and air traffic flow management) required to ensure the safe and efficient movement of aircraft during all phases of operations;
"air transport" means the carriage by aircraft of passengers, baggage, cargo, and mail, separately or in combination, held out to the public for remuneration or hire;
"citizenship determination" means a finding that an air carrier proposing to operate air services under this Title satisfies the requirements of Article 422 regarding its ownership, effective control and principal place of business;
"competent authorities" means, for the United Kingdom, the authorities of the United Kingdom responsible for the regulatory and administrative functions incumbent on the United Kingdom under this Title; and for the Union, the authorities of the Union and of the Member States responsible for the regulatory and administrative functions incumbent on the Union under this Title;
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question;
"discrimination" means differentiation of any kind without objective justification in respect of the supply of goods or services, including public services, employed for the operation of air transport services, or in respect of their treatment by public authorities relevant to such services;
"effective control" means a relationship constituted by rights, contracts or any other means which, either separately or jointly, and having regard to the considerations of fact or law involved, confer the possibility of directly or indirectly exercising a decisive influence on an undertaking, in particular by:
the right to use all or part of the assets of an undertaking;
rights or contracts which confer a decisive influence on the composition, voting or decisions of the bodies of an undertaking or otherwise confer a decisive influence on the running of the business of the undertaking;
"fitness determination" means a finding that an air carrier proposing to operate air services under this Title has satisfactory financial capability and adequate managerial expertise to operate such services and is disposed to comply with the laws, regulations and requirements that govern the operation of such services;
"full cost" means the cost of the service provided, which may include appropriate amounts for cost of capital and depreciation of assets, as well as the costs of maintenance, operation, management and administration;
"ICAO" means the United Nations International Civil Aviation Organization;
"principal place of business" means the head office or registered office of an air carrier within which the principal financial functions and operational control, including continued airworthiness management, of that air carrier are exercised;
"ramp inspection" means an examination by the competent authority of a Party or its designated representatives, on board and around an aircraft of the other Party, to check both the validity of the relevant aircraft documents and those of its crew members and the apparent condition of the aircraft and its equipment;
"self-handling" means the performance of ground handling operations by an air carrier directly for itself or for another air carrier where:
one holds the majority in the other; or
a single body has a majority holding in each;
"scheduled air transport services" means air services which are scheduled and performed for remuneration according to a published timetable, or which are so regular or frequent as to constitute a recognisably systematic series, and which are open to direct booking by members of the public; and extra section flights occasioned by overflow traffic from scheduled flights;
"stop for non-traffic purposes" means a landing for any purpose other than taking on board or discharging passengers, baggage, cargo and/or mail in air transport;
"tariff" means any fare, rate or charge for the carriage of passengers, baggage or cargo (excluding mail) in air transport (including any other mode of transport in connection therewith) charged by air carriers, including their agents, and the conditions governing the availability of such fare, rate or charge;
"user charge" means a charge imposed on air carriers for the provision of airport, air navigation (including overflights), aviation security facilities or services including related services and facilities, or environment-related charges including noise-related charges and charges to address local air quality problems at or around airports.
Article 418
Route schedule
Points in the territory of the United Kingdom – Intermediate Points – Points in the territory of the Union – Points Beyond.
Points in the territory of the Union – Intermediate Points – Points in the territory of the United Kingdom – Points Beyond.
Article 419
Traffic rights
Each Party shall grant to the other Party the right for its respective air carriers, for the purpose of carrying out air transport on the routes laid down in Article 418, to:
fly across its territory without landing;
make stops in its territory for non-traffic purposes.
Notwithstanding paragraphs 1, 2 and 3 and without prejudice to paragraph 9, the Member States and the United Kingdom may, subject to the respective internal rules and procedures of the Parties, enter into bilateral arrangements by which, as a matter of this Agreement, they grant each other the following rights:
for the United Kingdom, the right for its air carriers to make stops in the territory of the Member State concerned to provide scheduled and non-scheduled all-cargo air transport services, between points situated in the territory of that Member State and points situated in a third country as part of a service with origin or destination in the territory of the United Kingdom (fifth freedom traffic rights);
for the Member State concerned, the right for Union air carriers to make stops in the territory of the United Kingdom to provide scheduled and non-scheduled all-cargo air transport services between points situated in the territory of the United Kingdom and points situated in a third country, as part of a service with origin or destination in the territory of that Member State (fifth freedom traffic rights).
Article 420
Code-share and blocked space arrangements
Air transport services in accordance with Article 419 may be provided by means of blocked-space or code-share arrangements, as follows:
an air carrier of the United Kingdom may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
an air carrier of the Union may act as the marketing carrier with any operating carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any operating carrier of a third country which, under United Kingdom law enjoys the necessary traffic rights as well as the right for its air carriers to exercise those rights by means of the arrangement in question;
an air carrier of the United Kingdom may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under Union law or, as applicable, under the law of the Member State or Member States concerned, enjoys the necessary rights to enter into the arrangement in question;
an air carrier of the Union may act as the operating carrier with any marketing carrier that is an air carrier of the Union or an air carrier of the United Kingdom, or with any marketing carrier of a third country which, under United Kingdom law, enjoys the necessary rights to enter into the arrangement in question;
in the context of the arrangements provided under points (a) to (d), an air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which both origin and destination are situated in the territory of the other Party provided that the following conditions are fulfilled:
the conditions laid down in point (a) or (b), as the case may be, as regards the operating carrier; and
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that destination point in the territory of the other Party.
An air carrier of one Party may act as the marketing carrier in a blocked-space or code-share arrangement, in services between any pair of points of which one is situated in the territory of the other Party and the other is situated in a third country, provided that the following conditions are fulfilled:
the conditions laid down in point (a) or (b) of paragraph 1, as the case may be, as regards the operating carrier; and
the transport service in question forms part of a carriage by the marketing carrier between a point in the territory of its Party and that point in a third country.
Article 421
Operational flexibility
The rights mutually granted by the Parties in accordance with Article 419(2), (3) and (4) shall include, within the limits laid down therein, all of the following prerogatives:
to operate flights in either or both directions;
to combine different flight numbers within one aircraft operation;
to serve points in the route schedule in any combination and in any order;
to transfer traffic between aircraft of the same air carrier at any point (change of gauge);
to carry stopover traffic through any points whether within or outside the territory of either Party;
to carry transit traffic through the territory of the other Party;
to combine traffic on the same aircraft regardless of where such traffic originates;
to serve more than one point on the same service (co-terminalisation).
Article 422
Operating authorisations and technical permissions
On receipt of an application for an operating authorisation from an air carrier of a Party, in the form and manner prescribed, to operate air transport services under this Title, the other Party shall grant the appropriate authorisations and technical permissions with minimum procedural delay, provided that all the following conditions are met:
in the case of an air carrier of the United Kingdom:
the air carrier is owned, directly or through majority ownership, and is effectively controlled by the United Kingdom, its nationals, or both;
the air carrier has its principal place of business in the territory of the United Kingdom, and is licenced in accordance with the law of the United Kingdom; and
the air carrier holds an air operator certificate issued by the competent authority of the United Kingdom, which shall be clearly identified, and that authority exercises and maintains effective regulatory control of the air carrier;
in the case of an air carrier of the Union:
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof;
the air carrier has its principal place of business in the territory of the Union and holds a valid operating licence in accordance with Union law; and
the air carrier holds an air operator certificate issued by the competent authority of a Member State, or by a Union authority on its behalf, the certifying authority is clearly identified, and that Member State exercises and maintains effective regulatory control of the air carrier.
Articles 434 and 435 are being complied with, and
the air carrier meets the conditions prescribed under the laws and regulations normally applied to the operation of international air transport by the Party considering the application or applications.
Notwithstanding point (a)(i) of paragraph 1, the appropriate operating authorisations and permissions shall be granted to air carriers of the United Kingdom provided that all the following conditions are met:
the conditions laid down in points (a)(ii), (a)(iii), (c) and (d) of paragraph 1 are complied with;
the air carrier is owned, directly or through majority ownership, and is effectively controlled by one or more Member States, by other member states of the European Economic Area, by Switzerland, by nationals of such states, or by a combination thereof, whether alone or together with the United Kingdom and/or nationals of the United Kingdom;
on the day the transition period ended the air carrier held a valid operating licence in accordance with Union Law.
For the purposes of paragraphs 1 and 2, evidence of effective regulatory control includes but is not limited to:
the air carrier concerned holding a valid operating licence or permit issued by the competent authority and meeting the criteria of the Party issuing the operating licence or permit for the operation of international air services; and
that Party having and maintaining safety and security oversight programmes for that air carrier in compliance with ICAO standards.
Article 423
Operating plans, programmes and schedules
Notification of operating plans, programmes or schedules for air services operated under this Title may be required by a Party for information purposes only. Where a Party requires such notification, it shall minimise the administrative burden associated with its notification requirements and procedures that is borne by air transport intermediaries and the air carriers of the other Party.
Article 424
Refusal, revocation, suspension or limitation of operating authorisation
The Union may take action against an air carrier of the United Kingdom, in accordance with paragraphs 3, 4 and 5 of this Article, in any of the following cases:
in the case of authorisations and permissions granted in accordance with point (a) of Article 422(1), any of the conditions laid down therein is not met;
in the case of authorisations and permissions granted in accordance with Article 422(2), any of the conditions laid down therein is not met;
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
The United Kingdom may take action against an air carrier of the Union in accordance with paragraphs 3, 4 and 5 of this Article in any of the following cases:
any of the conditions laid down in point (b) of Article 422(1) is not met;
the air carrier has failed to comply with the laws and regulations referred to in Article 426; or
such action is necessary in order to prevent, protect against or control the spread of disease, or otherwise protect public health.
Article 425
Ownership and control of air carriers
The Parties recognise the potential benefits of the continued liberalisation of ownership and control of their respective air carriers. The Parties agree to examine in the Specialised Committee on Air Transport options for the reciprocal liberalisation of the ownership and control of their air carriers within 12 months from the entry into force of this Agreement, and thereafter within 12 months of receipt of a request to do so from one of the Parties. As a result of this examination, the Parties may decide to amend this Title.
Article 426
Compliance with laws and regulations
Article 427
Non-Discrimination
Article 428
Doing business
Article 429
Commercial operations
As regards air carrier representatives:
the establishment of offices and facilities by the air carriers of one Party in the territory of the other Party as necessary to provide services under this Title shall be allowed without restriction or discrimination;
without prejudice to safety and security regulations, where such offices and facilities are located in an airport they may be subject to limitations on grounds of availability of space;
each Party shall, in accordance with its laws and regulations relating to entry, residence and employment, authorise the air carriers of the other Party to bring in and maintain in the territory of the authorising Party those of their own managerial, sales, technical, operational, and other specialist staff which the air carrier reasonably considers necessary for the provision of air transport services under this Title. Where employment authorisations are required for the personnel referred to in this paragraph, including those performing certain temporary duties, the Parties shall process applications for such authorisations expeditiously, subject to the relevant laws and regulations.
As regards ground handling:
each Party shall permit the air carriers of the other Party to perform self-handling in its territory without restrictions other than those based on considerations of safety or security, or otherwise resulting from physical or operational constraints;
each Party shall not impose on the air carriers of the other Party the choice of one or more providers of ground handling services among those which are present in the market in accordance with the laws and regulations of the Party where the services are provided;
without prejudice to point (a), where the laws and regulations of a Party limit or restrict in any way free competition between providers of ground handling services, that Party shall ensure that all necessary ground handling services are available to the air carriers of the other Party and that they are provided under no less favourable terms than those under which they are provided to any other air carrier.
As regards local expenses and transfer of funds and earnings:
the provisions of Title IV of Heading One apply to the matters governed by this Title, without prejudice to Article 422;
the Parties shall grant each other the benefits laid down in points (c) to (e);
it shall be possible for the sale and purchase of transport and related services by the air carriers of the Parties, at the discretion of the air carrier, to be denominated in pounds sterling if the sale or purchase takes place in the territory of the United Kingdom, or, if the sale or purchase take place in the territory of a Member State, to be denominated in the currency of that Member State;
the air carriers of each Party shall be permitted to pay for local expenses in local currency, at their discretion;
the air carriers of each Party shall be permitted, on demand, to remit revenues obtained in the territory of the other Party from the sale of air transport services and associated activities directly linked to air transport in excess of sums locally disbursed, at any time, in any way, to the country of their choice. Prompt conversion and remittance shall be permitted without restrictions or taxation in respect thereof at the market rate of exchange applicable to current transactions and remittance on the date the carrier makes the initial application for remittance and shall not be subject to any charges except those normally made by banks for carrying out such conversion and remittance.
As regards intermodal transport:
in relation to the transport of passengers, the Parties shall not subject surface transport providers to laws and regulations governing air transport on the sole basis that such surface transport is held out by an air carrier under its own name;
subject to any conditions and qualifications set out in Title II of Heading One and its Annexes and in Title I of Heading Three and its Annex, air carriers of each Party shall be permitted, without restriction, to employ in connection with international air transport any surface transport for cargo to or from any points in the territories of the Parties, or in third countries, including transport to and from all airports with customs facilities, and including, where applicable, the right to transport cargo in bond under applicable laws and regulations. Such cargo, whether moving by surface or by air, shall have access to airport customs processing and facilities. Air carriers may elect to perform their own surface transport or to provide it through arrangements, including code share, with other surface transport providers, including surface transport operated by other air carriers and indirect providers of cargo air transport. Such inter-modal cargo services may be offered as a through service and at a single price for the air and surface transport combined, provided that shippers are informed as to the providers of the transport involved.
As regards leasing:
the Parties shall grant each other the right for their air carriers to provide air transport services in accordance with Article 419 in all the following ways:
using aircraft leased without crew from any lessor;
in the case of air carriers of the United Kingdom, using aircraft leased with crew from other air carriers of the Parties;
in the case of air carriers of the Union, using aircraft leased with crew from other air carriers of the Union;
using aircraft leased with crew from air carriers other than those referred to in points (ii) and (iii), respectively, provided that the leasing is justified on the basis of exceptional needs, seasonal capacity needs or operational difficulties of the lessee, and the leasing does not exceed the duration which is strictly necessary to fulfil those needs or overcome those difficulties;
the Parties may require leasing arrangements to be approved by their competent authorities for the purpose of verifying compliance with the conditions set out in this paragraph and with the applicable safety and security requirements;
however, where a Party requires such approval, it shall endeavour to expedite the approval procedures and minimise the administrative burden on the air carriers concerned;
the provisions of this paragraph are without prejudice to the laws and regulations of a Party as regards the leasing of aircraft by air carriers of that Party.
Article 430
Fiscal provisions
The following goods shall also be exempt, on the basis of reciprocity, from the taxes, levies, duties, fees and charges referred to in paragraph 1:
aircraft stores introduced into or supplied in the territory of a Party and taken on board, within reasonable limits, for use on outbound aircraft of an air carrier of the other Party used in international air transport, even when these stores are to be used on a part of the journey performed over the said territory;
ground equipment and spare parts (including engines) introduced into the territory of a Party for the servicing, maintenance, or repair of aircraft of an air carrier of the other Party used in international air transport;
lubricants and consumable technical supplies other than fuel introduced into or supplied in the territory of a Party for use in an aircraft of an air carrier of the other Party used in international air transport, even when those supplies are to be used on a part of the journey performed over the said territory; and
printed matter, as provided for by the customs legislation of each Party, introduced into or supplied in the territory of one Party and taken on board for use on outbound aircraft of an air carrier of the other Party engaged in international air transport, even when those stores are to be used on a part of the journey performed over the said territory.
Article 431
User charges
Article 432
Tariffs
Article 433
Statistics
Article 434
Aviation safety
The ramp inspection or series of ramp inspections can give rise to:
serious concerns that an aircraft or the operation of an aircraft does not comply with the minimum standards established at that time pursuant to the Convention; or
serious concerns that there is a lack of effective maintenance and administration of safety standards established at that time pursuant to the Convention.
In the event that the Party that conducted the ramp inspection or inspections establishes serious concerns as referred to in point (a) or (b), it shall notify the competent authorities of the other Party that are responsible for the safety oversight of the air carrier operating the aircraft of such findings and inform them of the steps considered necessary to conform with those minimum standards. Failure to take appropriate corrective action within 15 days or such other period as may be agreed shall constitute grounds for the first Party to refuse, revoke, suspend, impose conditions on or limit the operating authorisations or technical permissions or to otherwise refuse, revoke, suspend, impose conditions on or limit the operations of the air carrier operating the aircraft.
Article 435
Aviation security
Article 436
Air traffic management
Article 437
Air carrier liability
The Parties reaffirm their obligations under the Convention for the Unification of Certain Rules for International Carriage by Air, done at Montreal on 28 May 1999 (the "Montreal Convention").
Article 438
Consumer protection
Article 439
Relationship to other agreements
Article 440
Suspension and Termination
Article 441
Termination of this Title
Without prejudice to Article 779, Article 521, and Article 509 each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
Article 442
Registration of this Agreement
This Agreement and any amendments thereto shall, insofar as relevant, be registered with ICAO in accordance with Article 83 of the Convention.
TITLE II
AVIATION SAFETY
Article 443
Objectives
The objectives of this Title are to:
enable the reciprocal acceptance, as provided for in the Annexes to this Title, of findings of compliance made and certificates issued by either Party's competent authorities or approved organisations;
promote cooperation toward a high level of civil aviation safety and environmental compatibility;
facilitate the multinational dimension of the civil aviation industry;
facilitate and promote the free flow of civil aeronautical products and services.
Article 444
Definitions
For the purposes of this Title, the following definitions apply:
"approved organisation" means any legal person certified by the competent authority of either Party to exercise privileges related to the scope of this Title;
"certificate" means any approval, licence or other document issued as a form of recognition of compliance that a civil aeronautical product, an organisation or a legal or natural person complies with the applicable requirements set out in laws and regulations of a Party;
"civil aeronautical product" means any civil aircraft, aircraft engine, or aircraft propeller, or subassembly, appliance, part or component, installed or to be installed thereon;
"competent authority" means a Union or government agency or a government entity responsible for civil aviation safety that is designated by a Party for the purposes of this Title to perform the following functions:
to assess the compliance of civil aeronautical products, organisations, facilities, operations and services subject to its oversight with applicable requirements set out in laws, regulations and administrative provisions of that Party;
to conduct monitoring of their continued compliance with these requirements; and
to take enforcement actions to ensure their compliance with these requirements;
"findings of compliance" means a determination of compliance with the applicable requirements set out in laws and regulations of a Party as the result of actions such as testing, inspections, qualifications, approvals and monitoring;
"monitoring" means the regular surveillance by a competent authority of a Party to determine continuing compliance with the applicable requirements set out in laws and regulations of that Party;
"technical agent" means, for the Union, the European Union Aviation Safety Agency ("EASA"), or its successor, and for the United Kingdom, the United Kingdom Civil Aviation Authority ("CAA"), or its successor; and
"the Convention" means the Convention on International Civil Aviation, done at Chicago on 7 December 1944, and includes:
any amendment that has entered into force under Article 94(a) of the Convention and has been ratified by the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question; and
any Annex or any amendment thereto adopted under Article 90 of the Convention, insofar as such Annex or amendment is at any given time effective for the United Kingdom and the Member State or Member States concerned, as is relevant to the issue in question.
Article 445
Scope and implementation
The Parties may cooperate in the following areas:
airworthiness certificates and monitoring of civil aeronautical products;
environmental certificates and testing of civil aeronautical products;
design and production certificates and monitoring of design and production organisations;
maintenance organisation certificates and monitoring of maintenance organisations;
personnel licensing and training;
flight simulator qualification evaluation;
operation of aircraft;
air traffic management and air navigation services; and
other areas related to aviation safety subject to Annexes to the Convention.
Article 446
General obligations
Article 447
Preservation of regulatory authority
Nothing in this Title shall be construed as limiting the authority of a Party to determine, through its legislative, regulatory and administrative measures, the level of protection it considers appropriate for safety and the environment.
Article 448
Safeguard measures
Article 449
Communication
Article 450
Transparency, regulatory cooperation and mutual assistance
Article 451
Exchange of safety information
The Parties shall, without prejudice to Article 453 and subject to their applicable legislation:
provide each other, on request and in a timely manner, with information available to their technical agents related to accidents, serious incidents or occurrences in relation to civil aeronautical products, services or activities covered by the Annexes to this Title; and
exchange other safety information as the technical agents may agree.
Article 452
Cooperation in enforcement activities
The Parties shall, through their technical agents or competent authorities, provide when requested, subject to applicable laws and regulations, as well as to the availability of required resources, mutual cooperation and assistance in investigations or enforcement activities regarding any alleged or suspected violation of laws or regulations falling within the scope of this Title. In addition, each Party shall promptly notify the other Party of any investigation when mutual interests are involved.
Article 453
Confidentiality and protection of data and information
Article 454
Adoption and amendments of Annexes to this Title
The Specialised Committee on Aviation Safety may amend Annex 30, adopt or amend Annexes as provided for in Article 445(2) and delete any Annex.
Article 455
Cost recovery
Each Party shall endeavour to ensure that any fees or charges imposed by a Party or its technical agent on a legal or natural person whose activities are covered by this Title shall be just, reasonable and commensurate with the services provided, and shall not create a barrier to trade.
Article 456
Other agreements and prior arrangements
Article 457
Suspension of reciprocal acceptance obligations
Article 458
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
HEADING THREE
ROAD TRANSPORT
TITLE I
TRANSPORT OF GOODS BY ROAD
Article 459
Objective
Article 460
Scope
Article 461
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
"vehicle" means a motor vehicle registered in the territory of a Party, or a coupled combination of vehicles of which the motor vehicle is registered in the territory of a Party, and which is used exclusively for the transport of goods;
"road haulage operator" means any natural or legal person engaged in the transport of goods with a commercial purpose, by means of a vehicle;
"road haulage operator of a Party" means a road haulage operator which is a legal person established in the territory of a Party or a natural person of a Party;
"party of establishment" means the Party in which a road haulage operator is established;
"driver" means any person who drives a vehicle even for a short period, or who is carried in a vehicle as part of his duties to be available for driving if necessary;
"transit" means the movement of vehicles across the territory of a Party without loading or unloading of goods;
"regulatory measures" means:
for the Union:
regulations and directives, as provided for in Article 288 TFEU; and
delegated and implementing acts, as provided for in Articles 290 and 291 TFEU, respectively; and
for the United Kingdom:
primary legislation; and
secondary legislation.
Article 462
Transport of goods between, through and within the territories of the Parties
Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of a Party may undertake:
laden journeys with a vehicle, from the territory of the Party of establishment to the territory of the other Party, and vice versa, with or without transit through the territory of a third country;
laden journeys with a vehicle from the territory of the Party of establishment to the territory of the same Party with transit through the territory of the other Party;
laden journeys with a vehicle to or from the territory of the Party of establishment with transit through the territory of the other Party;
unladen journeys with a vehicle in conjunction with the journeys referred to in points (a), (b) and (c).
Road haulage operators of a Party may only undertake a journey referred to in paragraph 1 if:
they hold a valid licence issued in accordance with Article 463, except in the cases referred to in Article 464; and
the journey is carried out by drivers who hold a Certificate of Professional Competence in accordance with Article 465(1).
Without prejudice to paragraph 5, subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom may undertake one laden journey within the territory of a Member State provided that operation:
follows a journey from the territory of the United Kingdom permitted under point (a) of paragraph 1; and
is performed within seven days of the unloading in the territory of that Member State of goods carried on the journey referred to in point (a).
Subject to paragraph 6 and provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the United Kingdom established in Northern Ireland may undertake up to two laden journeys within the territory of Ireland provided that such operations:
follow a journey from the territory of Northern Ireland permitted under point (a) of paragraph 1; and
are performed within seven days of the unloading in the territory of Ireland of goods carried on the journey referred to in point (a).
Provided that the conditions in paragraph 2 are fulfilled, road haulage operators of the Union may undertake up to two laden journeys within the territory of the United Kingdom provided that such operations:
follow a journey from the territory of the Union permitted under point (a) of paragraph 1; and
are performed within seven days of the unloading in the territory of the United Kingdom of the goods carried on the journey referred to in point (a).
Article 463
Requirements for operators
Article 464
Exemptions from licencing requirement
The following types of transport of goods and unladen journeys made in conjunction with such transport may be conducted without a valid licence as referred to in Article 463:
transport of mail as a universal service;
transport of vehicles which have suffered damage or breakdown;
until 20 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 3,5 tonnes;
from 21 May 2022, transport of goods in motor vehicles the permissible laden mass of which, including that of trailers, does not exceed 2,5 tonnes;
transport of medicinal products, appliances, equipment and other articles required for medical care in emergency relief, in particular for natural disasters and humanitarian assistance;
transport of goods in vehicles provided that the following conditions are fulfilled:
the goods carried are the property of the road haulage operator or have been sold, bought, let out on hire or hired, produced, extracted, processed or repaired by the operator;
the purpose of the journey is to carry the goods to or from the road haulage operator's premises or to move them, either inside or outside the operator for its own requirements;
the vehicles used for such transport are driven by personnel employed by, or put at the disposal of, the road haulage operator under a contractual obligation;
the vehicles carrying the goods are owned by the road haulage operator, have been bought by it on deferred terms or have been hired; and
such transport is no more than ancillary to the overall activities of the road haulage operator;
transport of goods by means of motor vehicles with a maximum authorised speed not exceeding 40 km/h.
Article 465
Requirements for drivers
Drivers of the vehicles undertaking journeys as referred to in Article 462 shall:
hold a Certificate of Professional Competence issued in accordance with Section 1 of Part B of Annex 31; and
comply with the rules on driving and working time, rest periods, breaks and the use of tachographs in accordance with Sections 2 to 4 of Part B of Annex 31.
Article 466
Requirements for vehicles
Article 467
Road traffic rules
Drivers of vehicles undertaking the transport of goods under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 468
Development of laws and Specialised Committee on Road Transport
When a Party proposes a new regulatory measure in an area covered by Annex 31, it shall:
notify the other Party of the proposed regulatory measure as soon as possible; and
keep the other Party informed of progress of the regulatory measure.
The Specialised Committee on Road Transport may:
amend Annex 31 to take account of regulatory and/or technological developments, or to ensure the satisfactory implementation of this Title;
confirm that the amendments made by the new regulatory measure conform to Annex 31; or
decide on any other measure aimed at safeguarding the proper functioning of this Title.
Article 469
Remedial measures
If a Party considers that the other Party has adopted a new regulatory measure that does not comply with the requirements of Annex 31, in particular in cases where the Specialised Committee on Road Transport has not reached a decision under Article 468, and the other Party nevertheless applies the provisions of the new regulatory measure to the Party's road transport operators, drivers or vehicles, the Party may, after notifying the other Party, adopt appropriate remedial measures, including the suspension of obligations under this Agreement or any supplementing Agreement, provided that such measures:
do not exceed the level equivalent to the nullification or impairment caused by the new regulatory measure adopted by the other Party that does not comply with the requirements of Annex 31; and
take effect at the earliest 7 days after the Party which intends to take such measures has given the other Party notice under this paragraph.
The appropriate remedial measures shall cease to apply:
when the Party having taken such measures is satisfied that the other Party is complying with its obligations under this Title; or
in compliance with a ruling of the arbitration tribunal.
Article 470
Taxation
The exemption referred to in paragraph 1 shall not apply to:
a tax or charge on fuel consumption;
a charge for using a road or network of roads; or
a charge for using particular bridges, tunnels or ferries.
Article 471
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of road haulage operators undertaking journeys in accordance with Article 462.
Article 472
Termination of this Title
Without prejudice to Article 779, Article 521 and Article 509, each Party may at any moment terminate this Title, by written notification through diplomatic channels. In that event, this Title shall cease to be in force on the first day of the ninth month following the date of notification.
TITLE II
TRANSPORT OF PASSENGERS BY ROAD
Article 473
Scope
Article 474
Definitions
For the purposes of this Title and in addition to the definitions set out in Article 124, the following definitions apply:
"coaches and buses" are vehicles which, by virtue of their construction and their equipment, are suitable for carrying more than nine persons, including the driver, and are intended for that purpose;
"passenger transport services" means transport services by road for the public or for specific categories of users, supplied in return for payment by the person transported or by the transport organiser, by means of coaches and buses;
"road passenger transport operator" means any natural person or any legal person, whether having its own legal personality or being dependent upon an authority having such a personality, which supplies passenger transport services;
"road passenger transport operator of a Party" means a road passenger transport operator which is established in the territory of a Party;
"regular services" means passenger transport services supplied at specified frequency along specified routes, whereby passengers may be picked up and set down at predetermined stopping points;
"special regular services" means services by whomsoever organised, which provide for the transport of specified categories of passengers to the exclusion of other passengers, in so far as such services are operated under the conditions specified for regular services. Special regular services shall include:
the transport of workers between home and work, and
the transport of school pupils and students to and from the educational institution.
The fact that a special regular service may be varied according to the needs of users shall not affect its classification as a regular service;
"group" means any of the following:
one or more associated natural or legal persons and their parent natural or legal person or persons,
one or more associated natural person or legal persons which have the same parent natural or legal person or persons;
"Interbus Agreement" means the Agreement on the international occasional carriage of passengers by coach and bus, as subsequently amended, which entered into force on 1 January 2003;
"transit" means the movement of coaches and buses across the territory of a Party without picking up or setting down of passengers;
"occasional services" means services which are not regular services or special regular services, and which are characterised above all by the fact that they carry groups of passengers assembled at the initiative of the customer or the road passenger transport operator.
Article 475
Passenger transport by coach and bus between, through and within the territories of the Parties
Article 476
Conditions for the provision of services referred to in Article 475
Article 477
Authorisation
In the case of a group of road passenger transport operators that intend to operate services referred to in Article 475, the authorisation shall be issued in the names of all the road passenger transport operators of the group and shall state the names of all those operators. It shall be given to the road passenger transport operators entrusted by the other road passenger transport operators of a Party for these purposes and which has requested it, and certified true copies shall be given to the other road passenger transport operators.
Authorisations shall specify the following:
the type of service;
the route of the service, giving in particular the point of departure and the point of arrival;
the period of validity of the authorisation; and
the stops and the timetable.
In this case, in addition to the documents referred to in Article 483(1) and (2), the road passenger transport operator shall ensure that a copy of the contract between the road passenger transport operator carrying out the regular or special regular service and the undertaking providing the additional vehicles or an equivalent document is carried in the vehicle and presented at the request of any authorised inspecting officer.
Article 478
Submission of application for authorisation
For each service, only one application shall be submitted. In the cases referred to in Article 477(3), it shall be submitted by the operator entrusted by the other operators for these purposes. The application shall be addressed to the authorising authority of the Party in which the road passenger transport operator submitting it is established.
Article 479
Authorisation procedure
In respect of the Union, the competent authorities referred to in the first subparagraph shall be those of the Member States in whose territories passengers are picked up or set down and whose territories are crossed without passengers being picked up or set down.
The competent authorities whose territory is crossed without passengers being picked up or set down may notify the authorising authority of their comments within four months.
In respect of services that had been authorised under Regulation (EC) No 1073/2009 of the European Parliament and the Council ( 70 ) before the end of the transition period and in respect of which the authorisation lapses at the end of the transition period, the following shall apply:
where, subject to the changes necessary to comply with Article 475, the operating conditions are the same as those having been set in the authorisation granted under Regulation (EC) No 1073/2009, the relevant authorising authority under this Title may, on application or otherwise, issue the road transport operator with a corresponding authorisation granted under this Title. Where such an authorisation is issued, the agreement of the competent authorities in whose territories passengers are picked up or set down, as referred to in paragraph 2, shall be deemed to be provided. Those competent authorities and the competent authorities whose territory is crossed without passengers being picked up or set down may, at any time, notify the authorising authority of any comments they may have;
where point (a) is applied, the validity period of the corresponding authorisation granted under this Title shall not extend beyond the last day of the validity period specified in the authorisation previously granted under Regulation (EC) No 1073/2009.
Authorisation shall be granted unless:
the applicant is unable to provide the service which is the subject of the application with equipment directly available to the applicant;
the applicant has not complied with national or international legislation on road transport, and in particular the conditions and requirements relating to authorisations for international road passenger services, or has committed serious infringements of a Party's road transport legislation in particular with regard to the rules applicable to vehicles and driving and rest periods for drivers;
in the case of an application for renewal of authorisation, the conditions of authorisation have not been complied with;
a Party decides on the basis of a detailed analysis that the service concerned would seriously affect the viability of a comparable service covered by one or more public service contracts conforming to the Party's law on the direct sections concerned. In such a case, the Party shall set up criteria, on a non-discriminatory basis, for determining whether the service applied for would seriously affect the viability of the abovementioned comparable service and shall communicate them to the other Party referred to in paragraph 1; or
a Party decides on the basis of a detailed analysis that the principal purpose of the service is not to carry passengers between stops located in the territories of the Parties.
In the event that an existing service seriously affects the viability of a comparable service covered by one or more public service contracts which conform to a Party's law on the direct sections concerned, due to exceptional reasons which could not have been foreseen at the time of granting the authorisation, a Party may, with the agreement of the other Party, suspend or withdraw the authorisation to run the international coach and bus service after having given six months' notice to the road passenger transport operator.
The fact that a road passenger transport operator of a Party offers lower prices than those offered by other road passenger transport operators or the fact that the link in question is already operated by other road passenger transport operators shall not in itself constitute justification for rejecting the application.
Decisions rejecting an application shall state the reasons on which they are based. The Parties shall ensure that transport undertakings are given the opportunity to make representations in the event of their application being rejected.
The authorising authority shall inform the competent authorities of the other Party of its decision and shall send them a copy of any authorisation.
Article 480
Renewal and alteration of authorisation
Article 481
Lapse of an authorisation
Article 482
Obligations of transport operators
Article 483
Documents to be kept on the coach or bus
Article 484
Road traffic rules
Drivers of coaches and buses undertaking the transport of passengers under this Title shall, when in the territory of the other Party, comply with the national laws and regulations in force in that territory concerning road traffic.
Article 485
Application
The provisions of this Title shall cease to apply as of the date the Protocol to the Interbus Agreement regarding the international regular and special regular carriage of passengers by coach and bus enters into force for the United Kingdom, or six months following the entry into force of that Protocol for the Union, whichever is the earliest, except for the purpose of the operations under Article 475(2), (5), (6) and (7).
Article 486
Obligations in other Titles
Articles 135 and 137 are incorporated into and made part of this Title and apply to the treatment of transport operators undertaking journeys in accordance with Article 475.
Article 487
Specialised Committee
The Specialised Committee on Road Transport may amend Annexes 32, 33 and 34 to take into account regulatory developments. It may adopt measures regarding the implementation of this Title.
HEADING FOUR
SOCIAL SECURITY COORDINATION AND VISAS FOR SHORT-TERM VISITS
TITLE I
SOCIAL SECURITY COORDINATION
Article 488
Overview
Member States and the United Kingdom shall coordinate their social security systems in accordance with the Protocol on Social Security Coordination, in order to secure the social security entitlements of the persons covered therein.
Article 489
Legally residing
Article 490
Cross-border situations
Article 491
Immigration applications
The Protocol on Social Security Coordination applies without prejudice to the right of a Member State or the United Kingdom to charge a health fee under national legislation in connection with an application for a permit to enter, to stay, to work, or to reside in that State.
TITLE II
VISAS FOR SHORT-TERM VISITS
Article 492
Visas for short-term visits
HEADING FIVE
FISHERIES
CHAPTER 1
INITIAL PROVISIONS
Article 493
Sovereign rights of coastal States exercised by the Parties
The Parties affirm that sovereign rights of coastal States exercised by the Parties for the purpose of exploring, exploiting, conserving and managing the living resources in their waters should be conducted pursuant to and in accordance with the principles of international law, including the United Nations Convention on the Law of the Sea.
Article 494
Objectives and principles
The Parties shall have regard to the following principles:
applying the precautionary approach to fisheries management;
promoting the long-term sustainability (environmental, social and economic) and optimum utilisation of shared stocks;
basing conservation and management decisions for fisheries on the best available scientific advice, principally that provided by the International Council for the Exploration of the Sea (ICES);
ensuring selectivity in fisheries to protect juvenile fish and spawning aggregations of fish, and to avoid and reduce unwanted bycatch;
taking due account of and minimising harmful impacts of fishing on the marine ecosystem and taking due account of the need to preserve marine biological diversity;
applying proportionate and non-discriminatory measures for the conservation of marine living resources and the management of fisheries resources, while preserving the regulatory autonomy of the Parties;
ensuring the collection and timely sharing of complete and accurate data relevant for the conservation of shared stocks and for the management of fisheries;
ensuring compliance with fisheries conservation and management measures, and combating illegal, unreported and unregulated fishing; and
ensuring the timely implementation of any agreed measures into the Parties' regulatory frameworks.
Article 495
Definitions
For the purposes of this Heading, the following definitions apply:
"EEZ" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
in the case of the Union, the exclusive economic zones established by its Member States adjacent to their European territories;
the exclusive economic zone established by the United Kingdom;
"precautionary approach to fisheries management" means an approach according to which the absence of adequate scientific information does not justify postponing or failing to take management measures to conserve target species, associated or dependent species and non-target species and their environment;
"shared stocks" means fish, including shellfish, of any kind that are found in the waters of the Parties, which includes molluscs and crustaceans;
"TAC" means the total allowable catch, which is the maximum quantity of a stock (or stocks) of a particular description that may be caught over a given period;
"non-quota stocks" means stocks which are not managed through TACs;
"territorial sea" (of a Party) means, in accordance with the United Nations Convention on the Law of the Sea:
in the case of the Union, by way of derogation from Article 774(1), the territorial sea established by its Member States adjacent to their European territories;
the territorial sea established by the United Kingdom;
"waters" (of a Party) means:
in respect of the Union, by way of derogation from Article 774(1), the EEZs of the Member States and their territorial seas;
in respect of the United Kingdom, its EEZ and its territorial sea, excluding for the purposes of Articles 500 and 501 and Annex 38 the territorial sea adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man;
"vessel" (of a Party) means:
in the case of the United Kingdom, a fishing vessel flying the flag of the United Kingdom, registered in the United Kingdom, the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
in the case of the Union, a fishing vessel flying the flag of a Member State and registered in the Union.
CHAPTER 2
CONSERVATION AND SUSTAINABLE EXPLOITATION
Article 496
Fisheries management
A Party shall not apply the measures referred to in paragraph 1 to the vessels of the other Party in its waters unless it also applies the same measures to its own vessels.
The second subparagraph is without prejudice to obligations of the Parties under the Port State Measures Agreement, the North East Atlantic Fisheries Commission Scheme of Control and Enforcement, the Northwest Atlantic Fisheries Organisation Conservation and Enforcement Measures, and Recommendation 18-09 by the International Commission for the Conservation of Atlantic Tunas on Port State Measures to Prevent, Deter and Eliminate Illegal, Unreported and Unregulated Fishing.
The Specialised Committee on Fisheries may amend the list of pre-existing international obligations referred to in the third subparagraph.
Article 497
Authorisations, compliance and enforcement
Where vessels have access to fish in the waters of the other Party pursuant to Article 500 and Article 502:
each Party shall communicate in sufficient time to the other Party a list of vessels for which it seeks to obtain authorisations or licences to fish; and
the other Party shall issue authorisations or licences to fish.
CHAPTER 3
ARRANGEMENTS ON ACCESS TO WATERS AND RESOURCES
Article 498
Fishing opportunities
The Parties shall hold consultations annually to agree, by 10 December of each year, the TACs for the following year for the stocks listed in Annex 35. This shall include an early exchange of views on priorities as soon as advice on the level of the TACs is received. The Parties shall agree those TACs:
on the basis of the best available scientific advice, as well as other relevant factors, including socio-economic aspects; and
in compliance with any applicable multi-year strategies for conservation and management agreed by the Parties.
Annual consultations may also cover, inter alia:
transfers of parts of one Party's shares of TACs to the other Party;
a list of stocks for which fishing is prohibited;
the determination of the TAC for any stock which is not listed in Annex 35 or Annex 36 and the Parties' respective shares of those stocks;
measures for fisheries management, including, where appropriate, fishing effort limits;
stocks of mutual interest to the Parties other than those listed in the Annexes to this Heading.
Article 499
Provisional TACs
For the purposes of this Article, "special stocks" means:
stocks where the ICES advice is for a zero TAC;
stocks caught in a mixed fishery, if that stock or another stock in the same fishery is vulnerable; or
other stocks which the Parties consider require special treatment.
Article 500
Access to waters
The Parties may agree, in annual consultations, further specific access conditions in relation to:
the fishing opportunities agreed;
any multi-year strategies for non-quota stocks developed under point (c) of Article 508(1); and
any technical and conservation measures agreed by the Parties, without prejudice to Article 496.
In particular, the outcome of the annual consultations should normally result in each Party granting:
access to fish the stocks listed in Annex 35 and tables A, B and F of Annex 36 in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point) at a level that is reasonably commensurate with the Parties' respective shares of the TACs;
access to fish non-quota stocks in each other's EEZ (or if access is granted under point (c), in EEZs and in the divisions mentioned in that point), at a level that at least equates to the average tonnage fished by that Party in the waters of the other Party during the period 2012-2016; and
access to the waters of the Parties between six and twelve nautical miles from the baselines in ICES divisions 4c and 7d-g for qualifying vessels to the extent that Union fishing vessels and United Kingdom fishing vessels had access to those waters on 31 December 2020.
For the purposes of point (c), "qualifying vessel" means a vessel of a Party which fished in the zone mentioned in the previous sentence in four of the years between 2012 and 2016, or its direct replacement.
Annual consultations referred to in point (c) may include appropriate financial commitments and quota transfers between the Parties.
During the application of a provisional TAC, and pending an agreed TAC, the Parties shall grant provisional access to fish in the relevant ICES sub-areas as follows:
for stocks listed in Annex 35 and non-quota stocks, from 1 January until 31 March at the levels provided for in points (a) and (b) of paragraph 4;
for stocks listed in Annex 36 from 1 January until 14 February at the levels provided for in point (a) of paragraph 4; and
in relation to access to fish in the six to twelve nautical miles zone, access in accordance with point (c) of paragraph 4 from 1 January to 31 January at a level equivalent to the average monthly tonnage fished in that zone in the previous three months.
Such access, for each of the relevant stocks in points (a) and (b), shall be in proportion to the average percentage of a Party's share of the annual TAC which that Party's vessels fished in the other Party's waters in the relevant ICES sub-areas during the same period of the previous three calendar years. The same shall apply, mutatis mutandis, to access to fish non-quota stocks.
By 15 January in relation to the situation in point (c) of this paragraph, by 31 January in respect of the stocks listed in Annex 36, and by 15 March in respect of all other stocks, each Party shall notify the other Party of the change in the level and conditions of access to waters that will apply as of 1 February in relation to the situation in point (c) of this paragraph, as of 15 February in respect of the stocks listed in Annex 36, and as of 1 April in respect of all other stocks for the relevant ICES sub-areas.
Article 501
Compensatory measures in case of withdrawal or reduction of access
A compensatory measure referred to in paragraph 1 of this Article may take effect at the earliest seven days after the fishing Party has given notice to the host Party of the intended suspension under paragraph 1 of this Article and, in any case, not earlier than 1 February in relation to the situation in point (c) of Article 500(5), 15 February in respect of Annex 36 and 1 April in respect of other stocks. The Parties shall consult within the Specialised Committee with a view to reaching a mutually agreeable solution. That notification shall identify:
the date upon which the fishing Party intends to suspend; and
the obligations to be suspended and the level of the intended suspension.
Article 502
Specific access arrangements relating to the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man
For the purposes of this Article and, in so far as the other Articles in this Heading apply in relation to the arrangements for access established under this Article:
"qualifying vessel" means, in respect of fishing activity carried out in waters adjacent to the Bailiwick of Guernsey, the Bailiwick of Jersey, the Isle of Man or a Member State, any vessel which fished in the territorial sea adjacent to that territory or that Member State on more than 10 days in any of the three 12 month periods ending on 31 January, or between 1 February 2017 and 31 January 2020;
"vessel" (of a Party)" means, in respect of the United Kingdom, a fishing vessel flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, and licensed by a United Kingdom fisheries administration;
"waters" (of a Party) means:
in respect of the Union, the territorial sea adjacent to a Member State; and
in respect of the United Kingdom, the territorial sea adjacent to each of the Bailiwick of Guernsey, the Bailiwick of Jersey and the Isle of Man.
Article 503
Notification periods relating to the importation and direct landing of fishery products
The Union shall apply the following notification periods to fishery products caught by vessels flying the flag of the United Kingdom and registered in the Bailiwick of Guernsey or the Bailiwick of Jersey in the territorial sea adjacent to those territories or in the territorial sea adjacent to a Member State:
prior notification of between three and five hours before landing fresh fishery products into the Union's territory;
prior notification of between one and three hours of the validated catch certificate for the direct movement of consignments of fishery products by sea before the estimated time of arrival at the place of entry into the Union's territory.
Article 504
Alignment of management areas
Article 505
Shares of TACs for certain other stocks
CHAPTER 4
ARRANGEMENTS ON GOVERNANCE
Article 506
Remedial measures and dispute resolution
In relation to an alleged failure by a Party (the "respondent Party") to comply with this Heading (other than in relation to alleged failures dealt with under paragraph 2), the other Party (the "complaining Party") may, after giving notice to the respondent Party:
suspend, in whole or in part, access to its waters and the preferential tariff treatment granted to fishery products under Article 21; and
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21; and
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, it may suspend, in whole or in part, obligations under Heading One of this Part with the exception of Title XI. If Heading One of this Part is suspended in whole, Heading Three of this part is also suspended.
In relation to an alleged failure by a Party (the "respondent Party") to comply with Article 502, 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, the other Party (the "complaining Party"), after giving notice to the respondent Party:
may suspend, in whole or in part, access to its waters within the meaning of Article 502;
if it considers that the suspension referred to in point (a) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment granted to fishery products under Article 21;
if it considers that the suspension referred to in points (a) and (b) of this paragraph is not commensurate to the economic and societal impact of the alleged failure, may suspend, in whole or in part, the preferential tariff treatment of other goods under Article 21.
By way of derogation from paragraph 1 of this Article, remedial measures affecting the arrangements established under Article 502, Article 503 or any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles may not be taken as a result of an alleged failure by a Party to comply with provisions of this Heading unconnected to those arrangements.
A measure referred to in paragraphs 1 and 2 may take effect at the earliest seven days after the complaining Party has given the respondent Party notice of the proposed suspension. The Parties shall consult within the Specialised Committee on Fisheries with a view to reaching a mutually agreeable solution. That notification shall identify:
the way in which the complaining Party considers that the respondent Party has failed to comply;
the date upon which the complaining Party intends to suspend; and
the level of intended suspension.
The suspension shall cease to apply when:
the complaining Party is satisfied that the respondent Party is complying with its relevant obligations under this Heading; or
the arbitration tribunal has decided that the respondent Party has not failed to comply with its relevant obligations under this Heading.
Article 507
Data sharing
The Parties shall share such information as is necessary to support the implementation of this Heading, subject to each Party's laws.
Article 508
Specialised Committee on Fisheries
The Specialised Committee on Fisheries may in particular:
provide a forum for discussion and cooperation in relation to sustainable fisheries management;
consider the development of multi-year strategies for conservation and management as the basis for the setting of TACs and other management measures;
develop multi-year strategies for the conservation and management of non-quota stocks as referred to in point (b) of Article 500(2);
consider measures for fisheries management and conservation, including emergency measures and measures to ensure selectivity of fishing;
consider approaches to the collection of data for science and fisheries management purposes, the sharing of such data (including information relevant to monitoring, controlling and enforcing compliance), and the consultation of scientific bodies regarding the best available scientific advice;
consider measures to ensure compliance with the applicable rules, including joint control, monitoring and surveillance programmes and the exchange of data to facilitate monitoring uptake of fishing opportunities and control and enforcement;
develop the guidelines for setting the TACs referred to in Article 499(5);
make preparations for annual consultations;
consider matters relating to the designation of ports for landings, including the facilitation of the timely notification by the Parties of such designations and of any changes to those designations;
establish timelines for the notification of measures referred to in Article 496(3), the communication of the lists of vessels referred to in Article 497(1) and the notice referred to in Article 498(7);
provide a forum for consultations under Article 501(2) and Article 506(4);
develop guidelines to support the practical application of Article 500;
develop a mechanism for voluntary in-year transfers of fishing opportunities between the Parties, as referred to in Article 498(8); and
consider the application and implementation of Article 502 and Article 503.
The Specialised Committee on Fisheries may adopt measures, including decisions and recommendations:
recording matters agreed by the Parties following consultations under Article 498;
in relation to any of the matters referred to in points (b), (c), (d), (e), (f), (g), (i), (j), (l), (m) and (n) of paragraph 1 of this Article;
amending the list of pre-existing international obligations referred to in Article 496(2);
in relation to any other aspect of cooperation on sustainable fisheries management under this Heading; and
on the modalities of a review under Article 510.
Article 509
Termination
By way of derogation from paragraphs 1 to 3 of this Article and without prejudice to Article 779 or Article 521:
unless agreed otherwise between the Parties, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall remain in force until:
they are terminated by either Party giving to the other Party three years' written notice of termination; or
if earlier, the date on which Article 520(3) to (5) cease to be in force;
for the purposes of point (a)(i), notice of termination may be given in respect of one or more of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man and Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which a notice of termination has not been given; and
for the purposes of point (a)(ii), if Article 520(3) to (5) cease to be in force in relation to one or more (but not all) of the Bailiwick of Guernsey, the Bailiwick of Jersey or the Isle of Man, Article 502, Article 503 and any other provision of this Heading in so far as it relates to the arrangements provided for in those Articles, shall continue to be in force for those territories in respect of which Article 520(3) to (5) remain in force.
Article 510
Review clause
The review shall, in particular, allow for an evaluation, in relation to the previous years, of:
the provisions for access to each other's waters under Article 500;
the shares of TACs set out in Annexes 35, 36 and 37;
the number and extent of transfers as part of annual consultations under Article 498(4) and any transfers under Article 498(8);
the fluctuations in annual TACs;
compliance by both Parties with the provisions of this Heading and the compliance by vessels of each Party with the rules applicable to those vessels when in the other Party's waters;
the nature and extent of cooperation under this Heading; and
any other element the Parties decide, in advance, through the Specialised Committee on Fisheries.
Article 511
Relationship with other agreements
HEADING SIX
OTHER PROVISIONS
Article 512
Definitions
Unless otherwise specified, for the purposes of Part Two, the Protocol on mutual administrative assistance in customs matters and the Protocol on administrative cooperation and combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, the following definitions apply:
"customs authority" means:
with respect to the Union, the services of the European Commission responsible for customs matters or, as appropriate, the customs administrations and any other authorities empowered in the Member States of the Union to apply and enforce customs legislation, and
with respect to the United Kingdom, Her Majesty's Revenue and Customs and any other authority responsible for customs matters;
"customs duty" means any duty or charge of any kind imposed on, or in connection with, the importation of a good but does not include:
a charge equivalent to an internal tax imposed consistently with Article 19;
an anti-dumping, special safeguard, countervailing or safeguard duty applied consistently with GATT 1994, the Anti-dumping Agreement, the Agreement on Agriculture, the Agreement on Subsidies and Countervailing Measures or the Agreement on Safeguards, as appropriate; or
a fee or other charge imposed on or in connection with importation that is limited in amount to the approximate cost of the services rendered;
"CPC" means the Provisional Central Product Classification (Statistical Papers Series M No.77, Department of International Economic and Social Affairs, Statistical Office of the United Nations, New York, 1991);
"existing" means in effect on the date of entry into force of this Agreement;
"goods of a Party" means domestic products within the meaning of GATT 1994, and includes originating goods of that Party;
"Harmonised System" or "HS" means the Harmonised Commodity Description and Coding System, including all legal notes and amendments thereto developed by the World Customs Organization;
"heading" means the first four digits in the tariff classification number under the Harmonised System;
"legal person" means any legal entity duly constituted or otherwise organised under applicable law, whether for profit or otherwise, and whether privately-owned or governmentally-owned, including any corporation, trust, partnership, joint venture, sole proprietorship or association;
"measure" means any measure by a Party, whether in the form of a law, regulation, rule, procedure, decision, administrative action, requirement or practice, or any other form; ( 71 )
"measures of a Party" means any measures adopted or maintained by:
central, regional or local governments or authorities; and
non-governmental bodies in the exercise of powers delegated by central, regional or local governments or authorities;
"measures of a Party" includes measures adopted or maintained by entities listed under sub-paragraphs (i) and (ii) by instructing, directing or controlling, either directly or indirectly, the conduct of other entities with regard to those measures.
"person" means a natural person or a legal person;
"sanitary or phytosanitary measure" means any measure referred to in paragraph 1 of Annex A to the SPS Agreement;
"third country" means a country or territory outside the territorial scope of application of this Agreement; and
"WTO" means the World Trade Organization.
Article 513
WTO Agreements
For the purposes of this Agreement, the WTO Agreements are referred to as follows:
"Agreement on Agriculture" means the Agreement on Agriculture, contained in Annex 1A to the WTO Agreement;
"Anti-dumping Agreement" means the Agreement on Implementation of Article VI of the General Agreement on Tariffs and Trade 1994;
"GATS" means the General Agreement on Trade in Services, contained in Annex 1B to the WTO Agreement;
"GATT 1994" means the General Agreement on Tariffs and Trade 1994, contained in Annex 1A to the WTO Agreement;
"GPA" means the Agreement on Government Procurement in Annex 4 to the WTO Agreement ( 74 );
"Safeguards Agreement" means the Agreement on Safeguards, contained in Annex 1A to the WTO Agreement;
"SCM Agreement" means the Agreement on Subsidies and Countervailing Measures, contained in Annex 1A to the WTO Agreement;
"SPS Agreement" means the Agreement on the Application of Sanitary and Phytosanitary Measures, contained in Annex 1A to the WTO Agreement;
"TBT Agreement" means the Agreement on Technical Barriers to Trade, contained in Annex 1 to the WTO Agreement;
"TRIPS Agreement" means the Agreement on Trade-Related Aspects of Intellectual Property Rights, contained in Annex 1C to the WTO Agreement; and
"WTO Agreement" means the Marrakesh Agreement Establishing the World Trade Organization, done at Marrakesh on 15 April 1994.
Article 514
Establishment of a free trade area
The Parties hereby establish a free trade area, in conformity with Article XXIV of GATT 1994 and Article V of GATS.
Article 515
Relation to the WTO Agreement
The Parties affirm their rights and obligations with respect to each other under the WTO Agreement and other agreements to which they are party.
Nothing in this Agreement shall be construed as requiring either Party to act in a manner inconsistent with its obligations under the WTO Agreement.
Article 516
WTO case-law
The interpretation and application of the provisions of this Part shall take into account relevant interpretations in reports of WTO panels and of the Appellate Body adopted by the Dispute Settlement Body of the WTO as well as in arbitration awards under the Dispute Settlement Understanding.
Article 517
Fulfilment of obligations
Each Party shall adopt any general or specific measures required to fulfil their obligations under this Part, including those required to ensure its observance by central, regional or local governments and authorities, as well as non-governmental bodies in the exercise of powers delegated to them.
Article 518
References to laws and other Agreements
Article 519
Tasks of the Partnership Council in Part Two
The Partnership Council may:
adopt decisions to amend:
Chapter 2 of Title I of Heading one of Part two and its Annexes, in accordance with Article 68;
the arrangements set out in Annexes 16 and 17, in accordance with Article 96(8);
Appendices 15-A and 15-B, in accordance with Article 2(3) of Annex 15;
Appendix 15-C, in accordance with Article 3(3) of Annex 15;
Appendices 14-A, 14-B, 14-C and 14-D, in accordance with Article 1 of Annex 14;
Appendices 12-A, 12-B and 12-C, in accordance with Article 11 of Annex 12;
the Annex on Authorised Economic Operators, the Protocol on mutual administrative assistance in customs matters, the Protocol on combating fraud in the field of Value Added Tax and on mutual assistance for the recovery of claims relating to taxes and duties, and the list of goods set out in Article 117(2), in accordance with Article 122;
the relevant Sub-section under Section B of Annex 25, in accordance with Article 293;
Annexes 26, 27 and 28, in accordance with Article 329;
Article 364(4) in accordance with that paragraph, the third sentence of Article 365(2) in accordance with the fourth sentence of that paragraph, Article 365(3) in accordance with that paragraph, Article 367 in accordance with paragraph 1 of that Article and Article 373 in accordance with paragraph 7 of that Article;
Article 502, Article 503 and any other provision of Heading Five, in accordance with Article 502(4);
Annexes 35, 36 and 37, in accordance with Article 508(3);
any other provision, protocol, appendix or annex, for which the possibility of such decision is explicitly foreseen in this Part;
adopt decisions to issue interpretations of the provisions of this Part.
Article 520
Geographical application
Without prejudice to Article 779 and Article 521 and unless agreed otherwise between the Parties, paragraphs 3 to 5 of this Article shall remain in force until the earlier of:
expiry of a period of three years following written notice of termination to the other Party; or
the date on which Article 502, Article 503 and any other provision of Heading Five in so far as it relates to the arrangements provided for in those Articles cease to be in force.
Article 521
Termination of Part Two
Without prejudice to Article 779, each Party may at any moment terminate this Part by written notification through diplomatic channels. In that event, this Part shall cease to be in force on the first day of the ninth month following the date of notification. Heading Four and the Protocol on Social Security Coordination shall not be terminated pursuant to this Article.
PART THREE
LAW ENFORCEMENT AND JUDICIAL COOPERATION IN CRIMINAL MATTERS
TITLE I
GENERAL PROVISIONS
Article 522
Objective
Article 523
Definitions
For the purposes of this Part, the following definitions apply:
"third country" means a country other than a Member State or the United Kingdom;
"special categories of personal data" means personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, genetic data, biometric data processed for the purpose of uniquely identifying a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation;
"genetic data" means all personal data relating to the genetic characteristics of an individual that have been inherited or acquired, which give unique information about the physiology or the health of that individual, resulting in particular from an analysis of a biological sample from the individual in question;
"biometric data" means personal data resulting from specific technical processing relating to the physical, physiological or behavioural characteristics of a natural person which allow or confirm the unique identification of that natural person, such as facial images or dactyloscopic data;
"processing" means any operation or set of operations which is performed on personal data or on sets of personal data, whether or not by automated means, such as collection, recording, organisation, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction;
"personal data breach" means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorised disclosure of, or access to, personal data transmitted, stored or otherwise processed;
"filing system" means any structured set of personal data which are accessible according to specific criteria, whether centralised, decentralised or dispersed on a functional or geographical basis;
"Specialised Committee on Law Enforcement and Judicial Cooperation" means the Committee by that name established by Article 8.
Article 524
Protection of human rights and fundamental freedoms
Article 525
Protection of personal data
To reflect that high level of protection, the Parties shall ensure that personal data processed under this Part is subject to effective safeguards in the Parties' respective data protection regimes, including that:
personal data is processed lawfully and fairly, in compliance with the principles of data minimisation, purpose limitation, accuracy and storage limitation;
processing of special categories of personal data is only permitted to the extent necessary and subject to appropriate safeguards adapted to the specific risks of the processing;
a level of security appropriate to the risk of the processing is ensured through relevant technical and organisational measures, in particular as regards the processing of special categories of personal data;
data subjects are granted enforceable rights of access, rectification and erasure, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
in the event of a data breach creating a risk to the rights and freedoms of natural persons, the competent supervisory authority is notified without undue delay of the breach; where the breach is likely to result in a high risk to the rights and freedoms of natural persons, the data subjects are also notified, subject to possible restrictions provided for by law which constitute necessary and proportionate measures in a democratic society to protect important objectives of public interest;
onward transfers to a third country are allowed only subject to conditions and safeguards appropriate to the transfer ensuring that the level of protection is not undermined;
the supervision of compliance with data protection safeguards and the enforcement of data protection safeguards are ensured by independent authorities; and
data subjects are granted enforceable rights to effective administrative and judicial redress in the event that data protection safeguards have been violated.
Article 526
Scope of cooperation where a Member State no longer participates in analogous measures under Union law
TITLE II
EXCHANGES OF DNA, FINGERPRINTS AND VEHICLE REGISTRATION DATA
Article 527
Objective
The objective of this Title is to establish reciprocal cooperation between the competent law enforcement authorities of the United Kingdom, on the one side, and the Member States, on the other side, on the automated transfer of DNA profiles, dactyloscopic data and certain domestic vehicle registration data.
Article 528
Definitions
For the purposes of this Title, the following definitions apply:
"competent law enforcement authority" means a domestic police, customs or other authority that is authorised by domestic law to detect, prevent and investigate offences or criminal activities and to exercise authority and take coercive measures in the context of such activities; agencies, bodies or other units dealing especially with national security issues are not competent law enforcement authorities for the purposes of this Title;
"search" and "comparison", as referred to in Articles 530, 531, 534 and 539 mean the procedures by which it is established whether there is a match between, respectively, DNA data or dactyloscopic data which have been communicated by one State and DNA data or dactyloscopic data stored in the databases of one, several, or all of the other States;
"automated searching", as referred to in Article 537, means an online access procedure for consulting the databases of one, several, or all of the other States;
"non-coding part of DNA" means chromosome regions not genetically expressed, i.e. not known to provide for any functional properties of an organism;
"DNA profile" means a letter or numeric code which represents a set of identification characteristics of the non-coding part of an analysed human DNA sample, i.e. the particular molecular structure at the various DNA locations (loci);
"DNA reference data" means DNA profile and reference number; DNA reference data shall only include DNA profiles established from the non-coding part of DNA and a reference number; DNA reference data shall not contain any data from which the data subject can be directly identified; DNA reference data which is not attributed to any natural person (unidentified DNA profiles) shall be recognisable as such;
"reference DNA profile" means the DNA profile of an identified person;
"unidentified DNA profile" means the DNA profile obtained from traces collected during the investigation of criminal offences and belonging to a person not yet identified;
"note" means a State's marking on a DNA profile in its domestic database indicating that there has already been a match for that DNA profile on another State's search or comparison;
"dactyloscopic data" means fingerprint images, images of fingerprint latents, palm prints, palm print latents and templates of such images (coded minutiae), when they are stored and dealt with in an automated database;
"dactyloscopic reference data" means dactyloscopic data and reference number; dactyloscopic reference data shall not contain any data from which the data subject can be directly identified; dactyloscopic reference data which is not attributed to any natural person (unidentified dactyloscopic data) shall be recognisable as such;
"vehicle registration data" means the data-set as specified in Chapter 3 of Annex 39;
"individual case", as referred to in Article 530(1), second sentence, Article 534(1), second sentence and Article 537(1), means a single investigation or prosecution file; if such a file contains more than one DNA profile, or one piece of dactyloscopic data or vehicle registration data, they may be transmitted together as one request;
"laboratory activity" means any measure taken in a laboratory when locating and recovering traces on items, as well as developing, analysing and interpreting forensic evidence regarding DNA profiles and dactyloscopic data, with a view to providing expert opinions or exchanging forensic evidence;
"results of laboratory activities" means any analytical outputs and directly associated interpretation;
"forensic service provider" means any organisation, public or private, that carries out laboratory activities at the request of competent law enforcement or judicial authorities;
"domestic accreditation body" means the sole body in a State that performs accreditation with authority derived from the State.
Article 529
Establishment of domestic DNA analysis files
Article 530
Automated searching of DNA profiles
Article 531
Automated comparison of DNA profiles
Article 532
Collection of cellular material and supply of DNA profiles
Where, in ongoing investigations or criminal proceedings, there is no DNA profile available for a particular individual present within a requested State's territory, the requested State shall provide legal assistance by collecting and examining cellular material from that individual and by supplying the DNA profile obtained to the requesting State, if:
the requesting State specifies the purpose for which it is required;
the requesting State produces an investigation warrant or statement issued by the competent authority, as required under that State's domestic law, showing that the requirements for collecting and examining cellular material would be fulfilled if the individual concerned were present within the requesting State's territory; and
under the requested State's law, the requirements for collecting and examining cellular material and for supplying the DNA profile obtained are fulfilled.
Article 533
Dactyloscopic data
For the purpose of implementing this Title, the States shall ensure the availability of dactyloscopic reference data from the file for the domestic automated fingerprint identification systems established for the prevention and investigation of criminal offences.
Article 534
Automated searching of dactyloscopic data
Article 535
National contact points
Article 536
Supply of further personal data and other information
If the procedure referred to in Articles 530, 531 and 534 show a match between DNA profiles or dactyloscopic data, the supply of further available personal data and other information relating to the reference data shall be governed by the domestic law, including the legal assistance rules, of the requested State, without prejudice to Article 539(1).
Article 537
Automated searching of vehicle registration data
For the prevention and investigation of criminal offences and in dealing with other offences within the jurisdiction of the courts or a public prosecutor in the requesting State, as well as in maintaining public security, States shall allow other States' national contact points, as referred to in paragraph 2, access to the following domestic vehicle registration data, with the power to conduct automated searches in individual cases:
data relating to owners or operators; and
data relating to vehicles.
Article 538
Accreditation of forensic service providers carrying out laboratory activities
Article 539
Implementing measures
Article 540
Ex ante evaluation
Article 541
Suspension and disapplication
TITLE III
TRANSFER AND PROCESSING OF PASSENGER NAME RECORD DATA
Article 542
Scope
Article 543
Definitions
For the purposes of this Title, the following definitions apply:
"air carrier" means an air transport undertaking with a valid operating licence or equivalent permitting it to carry out carriage of passengers by air between the United Kingdom and the Union;
"passenger name record" ("PNR") means a record of each passenger's travel requirements which contains information necessary to enable reservations to be processed and controlled by the booking and participating air carriers for each journey booked by or on behalf of any person, whether it is contained in reservation systems, departure control systems used to check passengers into flights, or equivalent systems providing the same functionalities; specifically, as used in this Title, PNR data consists of the elements set out in Annex 40;
"United Kingdom competent authority" means the United Kingdom authority responsible for receiving and processing PNR data under this Agreement; if the United Kingdom has more than one competent authority it shall provide a passenger data single window facility that allows air carriers to transfer PNR data to a single data transmission entry point and shall designate a single point of contact for the purpose of receiving and making requests under Article 546;
"Passenger Information Units" ("PIUs") means the Units established or designated by Member States that are responsible for receiving and processing PNR data;
"terrorism" means any offence listed in Annex 45;
"serious crime" means any offence punishable by a custodial sentence or detention order for a maximum period of at least three years under the domestic law of the United Kingdom.
Article 544
Purposes of the use of PNR data
In exceptional cases, the United Kingdom competent authority may process PNR data where necessary to protect the vital interests of any natural person, such as:
a risk of death or serious injury; or
a significant public health risk, in particular as identified under internationally recognised standards.
Article 545
Ensuring PNR data is provided
Article 546
Police and judicial cooperation
Article 547
Non-discrimination
The United Kingdom shall ensure that the safeguards applicable to the processing of PNR data apply to all natural persons on an equal basis without unlawful discrimination.
Article 548
Use of special categories of personal data
Any processing of special categories of personal data shall be prohibited under this Title. To the extent that any PNR data which is transferred to the United Kingdom competent authority includes special categories of personal data, the United Kingdom competent authority shall delete such data.
Article 549
Data security and integrity
The United Kingdom shall ensure compliance verification and the protection, security, confidentiality, and integrity of the data. In that regard, the United Kingdom shall:
apply encryption, authorisation, and documentation procedures to the PNR data;
limit access to PNR data to authorised officials;
hold PNR data in a secure physical environment that is protected with access controls; and
establish a mechanism that ensures that PNR data queries are conducted in a manner consistent with Article 544.
Article 550
Transparency and notification of passengers
The United Kingdom competent authority shall make the following available on its website:
a list of the legislation authorising the collection of PNR data;
the purposes for the collection of PNR data;
the manner of protecting PNR data;
the manner and extent to which PNR data may be disclosed;
information regarding the rights of access, correction, notation and redress; and
contact information for inquiries.
Article 551
Automated processing of PNR data
The United Kingdom competent authority shall ensure that any automated processing of PNR data is based on non-discriminatory, specific and reliable pre-established models and criteria to enable it to:
arrive at results targeting natural persons who might be under a reasonable suspicion of involvement or participation in terrorism or serious crime; or
in exceptional circumstances, protect the vital interests of any natural person as set out in Article 544(2).
Article 552
Retention of PNR data
No later than six months after the transfer of the PNR data referred to in paragraph 1, all PNR data shall be depersonalised by masking out the following data elements which could serve to identify directly the passenger to whom the PNR data relate or any other natural person:
names, including the names of other passengers on the PNR and number of passengers on the PNR travelling together;
addresses, telephone numbers and electronic contact information of the passenger, the persons who made the flight reservation for the passenger, persons through whom the air passenger may be contacted and persons who are to be informed in the event of an emergency;
all available payment and billing information, to the extent that it contains any information which could serve to identify a natural person;
frequent flyer information;
other supplementary information (OSI), special service information (SSI) and special service request (SSR) information, to the extent that they contain any information which could serve to identify a natural person; and
any advance passenger information (API) data that have been collected.
The United Kingdom may derogate from paragraph 4 on a temporary basis for an interim period, the duration of which is provided for in paragraph 13, pending the implementation by the United Kingdom of technical adjustments as soon as possible. During the interim period, the United Kingdom competent authority shall prevent the use of the PNR data that is to be deleted in accordance with paragraph 4 by applying the following additional safeguards to that PNR data:
the PNR data shall be accessible only to a limited number of authorised officials and only where necessary to determine whether the PNR data should be deleted in accordance with paragraph 4;
the request to use the PNR data shall be refused in cases where the data is to be deleted in accordance with paragraph 4, and no further access shall be granted to that data where the documentation referred to in point (d) of this paragraph indicates that an earlier request for use has been refused;
deletion of the PNR data shall be ensured as soon as possible using best efforts, taking into account the special circumstances referred to in paragraph 10; and
the following shall be documented in accordance with Article 554, and such documentation shall be made available to the independent administrative body referred to in paragraph 7 of this Article:
any requests to use the PNR data;
the date and time of the access to the PNR data for the purpose of assessing whether deletion of the PNR data was required;
that the request to use the PNR data was refused on the basis that the PNR data should have been deleted under paragraph 4, including the date and time of the refusal; and
the date and time of the deletion of the PNR data in accordance with point (c) of this paragraph.
The United Kingdom shall provide to the Specialised Committee on Law Enforcement and Judicial Cooperation, nine months after the entry into force of this Agreement and again a year later if the interim period is extended for a further year:
a report from the independent administrative body referred to in paragraph 7 of this Article, which shall include the opinion of the United Kingdom supervisory authority referred to in Article 525(3) as to whether the safeguards provided for in paragraph 11 of this Article have been effectively applied; and
the assessment of the United Kingdom of whether the special circumstances referred to in paragraph 10 of this Article persist, together with a description of the efforts made to transform the PNR processing systems of the United Kingdom into systems which would enable PNR data to be deleted in accordance with paragraph 4 of this Article.
Article 553
Conditions for the use of PNR data
Use of PNR data by the United Kingdom competent authority in accordance with paragraph 1 shall be subject to prior review by a court or by an independent administrative body in the United Kingdom based on a reasoned request by the United Kingdom competent authority submitted within the domestic legal framework of procedures for the prevention, detection or prosecution of crime, except:
in cases of validly established urgency; or
for the purpose of verifying the reliability and currency of the pre-established models and criteria on which the automated processing of PNR data is based, or of defining new models and criteria for such processing.
Article 554
Logging and documenting of PNR data processing
The United Kingdom competent authority shall log and document all processing of PNR data. It shall only use such logging or documentation to:
self-monitor and to verify the lawfulness of data processing;
ensure proper data integrity;
ensure the security of data processing; and
ensure oversight.
Article 555
Disclosure within the United Kingdom
The United Kingdom competent authority shall not disclose PNR data to other public authorities in the United Kingdom unless the following conditions are met:
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
the PNR data is disclosed only on a case-by-case basis;
the disclosure is necessary, in the particular circumstances, for the purposes set out in Article 544;
only the minimum amount of PNR data necessary is disclosed;
the receiving public authority affords protection equivalent to the safeguards described in this Title; and
the receiving public authority does not disclose the PNR data to another entity unless the disclosure is authorised by the United Kingdom competent authority in accordance with the conditions laid down in this paragraph.
Article 556
Disclosure outside the United Kingdom
The United Kingdom shall ensure that the United Kingdom competent authority does not disclose PNR data to public authorities in third countries unless all the following conditions are met:
the PNR data is disclosed to public authorities whose functions are directly related to the purposes set out in Article 544;
the PNR data is disclosed only on a case-by-case basis;
the PNR data is disclosed only if necessary for the purposes set out in Article 544;
only the minimum amount of PNR data necessary is disclosed; and
the third country to which the PNR data is disclosed has either concluded an agreement with the Union that provides for the protection of personal data comparable to this Agreement or is subject to a decision of the European Commission pursuant to Union law that finds that the third country ensures an adequate level of data protection within the meaning of Union law.
As an exception to point (e) of paragraph 1, the United Kingdom competent authority may transfer PNR data to a third country if:
the head of that authority, or a senior official specifically mandated by the head, considers that the disclosure is necessary for the prevention and investigation of a serious and imminent threat to public security or to protect the vital interests of any natural person; and
the third country provides a written assurance, pursuant to an arrangement, agreement or otherwise, that the information shall be protected in line with the safeguards applicable under United Kingdom law to the processing of PNR data received from the Union, including those set out in this Title.
Article 557
Method of transfer
Air carriers shall transfer PNR data to the United Kingdom competent authority exclusively on the basis of the "push method", a method by which air carriers transfer PNR data into the database of the United Kingdom competent authority, and in accordance with the following procedures to be observed by air carriers, by which they:
transfer PNR data by electronic means in compliance with the technical requirements of the United Kingdom competent authority or, in the case of a technical failure, by any other appropriate means ensuring an appropriate level of data security;
transfer PNR data using a mutually accepted messaging format; and
transfer PNR data in a secure manner using common protocols as required by the United Kingdom competent authority.
Article 558
Frequency of transfer
The United Kingdom competent authority shall require air carriers to transfer the PNR data:
initially from no earlier than 96 hours before the scheduled flight service departure time; and
a maximum number of five times as specified by the United Kingdom competent authority.
Article 559
Cooperation
The United Kingdom competent authority and the PIUs of the Member States shall cooperate to pursue the coherence of their PNR data processing regimes in a manner that further enhances the security of individuals in the United Kingdom, the Union and elsewhere.
Article 560
Non-derogation
This Title shall not be construed as derogating from any obligation between the United Kingdom and Member States or third countries to make or respond to a request under a mutual assistance instrument.
Article 561
Consultation and review
Article 562
Suspension of cooperation under this Title
TITLE IV
COOPERATION ON OPERATIONAL INFORMATION
Article 563
Cooperation on Operational Information
The objective of this Title is for the Parties to ensure that the competent authorities of the United Kingdom and of the Member States are able to, subject to the conditions of their domestic law and within the scope of their powers, and to the extent that this is not provided for in other Titles of this Part, assist each other through the provision of relevant information for the purposes of:
the prevention, investigation, detection or prosecution of criminal offences;
the execution of criminal penalties;
safeguarding against, and the prevention of, threats to public safety; and
the prevention and combating of money laundering and the financing of terrorism.
TITLE V
COOPERATION WITH EUROPOL
Article 564
Objective
The objective of this Title is to establish cooperative relations between Europol and the competent authorities of the United Kingdom in order to support and strengthen the action by the Member States and the United Kingdom, as well as their mutual cooperation in preventing and combating serious crime, terrorism and forms of crime which affect a common interest covered by a Union policy, as referred to in Article 566.
Article 565
Definitions
For the purposes of this Title, the following definitions apply:
"Europol" means the European Union Agency for Law Enforcement Cooperation, set up under Regulation (EU) 2016/794 of the European Parliament and of the Council ( 79 ) (the "Europol Regulation");
"competent authority" means, for the Union, Europol and, for the United Kingdom, a domestic law enforcement authority responsible under domestic law for preventing and combating criminal offences;
Article 566
Forms of crime
Article 567
Scope of cooperation
The cooperation may, in addition to the exchange of personal data under the conditions laid down in this Title and in accordance with the tasks of Europol as outlined in the Europol Regulation, in particular include:
the exchange of information such as specialist knowledge;
general situation reports;
results of strategic analysis;
information on criminal investigation procedures;
information on crime prevention methods;
participation in training activities; and
the provision of advice and support in individual criminal investigations as well as operational cooperation.
Article 568
National contact point and liaison officers
Article 569
Exchanges of information
Article 570
Restrictions on access to and further use of transferred personal data
Article 571
Different categories of data subjects
Article 572
Facilitation of flow of personal data between the United Kingdom and Europol
In the interest of mutual operational benefits, the Parties shall endeavour to cooperate in the future with a view to ensuring that data exchanges between Europol and the competent authorities of the United Kingdom can take place as quickly as possible, and to consider the incorporation of any new processes and technical developments which might assist with that objective, while taking account of the fact that the United Kingdom is not a Member State.
Article 573
Assessment of reliability of the source and accuracy of information
The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the reliability of the source of the information on the basis of the following criteria:
where there is no doubt as to the authenticity, trustworthiness and competence of the source, or if the information is provided by a source which has proved to be reliable in all instances;
where the information is provided by a source which has in most instances proved to be reliable;
where the information is provided by a source which has in most instances proved to be unreliable;
where the reliability of the source cannot be assessed.
The competent authorities shall indicate as far as possible, at the latest at the moment of transferring the information, the accuracy of the information on the basis of the following criteria:
information the accuracy of which is not in doubt;
information known personally to the source but not known personally to the official passing it on;
information not known personally to the source but corroborated by other information already recorded;
information not known personally to the source and which cannot be corroborated.
Article 574
Security of the information exchange
Article 575
Liability for unauthorised or incorrect personal data processing
Article 576
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated in working and administrative arrangements as referred to in Article 577 between Europol and the competent authorities of the United Kingdom.
Article 577
Working and administrative arrangements
Without prejudice to any provision in this Title and while reflecting the status of the United Kingdom as not being a Member State, Europol and the competent authorities of the United Kingdom shall, subject to a decision by Europol's Management Board, include, in working arrangements or administrative arrangements, as the case may be, provisions complementing or implementing this Title, in particular allowing for:
consultations between Europol and one or more representatives of the national contact point of the United Kingdom on policy issues and matters of common interest for the purpose of realising their objectives and coordinating their respective activities, and of furthering cooperation between Europol and the competent authorities of the United Kingdom;
the participation of one or more representatives of the United Kingdom as observer or observers in specific meetings of the Heads of Europol National Units in line with the rules of proceedings of such meetings;
the association of one or more representatives of the United Kingdom to operational analysis projects, in accordance with the rules set out by the appropriate Europol governance bodies;
the specification of liaison officers' tasks, their rights and obligations and the costs involved; or
cooperation between the competent authorities of the United Kingdom and Europol in the event of privacy or security breaches.
Article 578
Notification of implementation
Article 579
Powers of Europol
Nothing in this Title shall be construed as creating an obligation on Europol to cooperate with the competent authorities of the United Kingdom beyond Europol's competence as set out in the relevant Union law.
TITLE VI
COOPERATION WITH EUROJUST
Article 580
Objective
The objective of this Title is to establish cooperation between Eurojust and the competent authorities of the United Kingdom in combating serious crimes as referred to in Article 582.
Article 581
Definitions
For the purposes of this Title, the following definitions apply:
"Eurojust" means the European Union Agency for Criminal Justice Cooperation, set up under Regulation (EU) 2018/1727 of the European Parliament and of the Council ( 80 ) (the "Eurojust Regulation");
"competent authority" means, for the Union, Eurojust, represented by the College or a National Member and, for the United Kingdom, a domestic authority with responsibilities under domestic law relating to the investigation and prosecution of criminal offences;
"College" means the College of Eurojust, as referred to in the Eurojust Regulation;
"National Member" means the National Member seconded to Eurojust by each Member State, as referred to in the Eurojust Regulation;
"Assistant" means a person who may assist a National Member and the National Member's Deputy, or the Liaison Prosecutor, as referred to in the Eurojust Regulation and in Article 585(3) respectively;
"Liaison Prosecutor" means a public prosecutor seconded by the United Kingdom to Eurojust and subject to the domestic law of the United Kingdom as regards the public prosecutor's status;
"Liaison Magistrate" means a magistrate posted by Eurojust to the United Kingdom in accordance with Article 586;
"Domestic Correspondent for Terrorism Matters" means the contact point designated by the United Kingdom in accordance with Article 584, responsible for handling correspondence related to terrorism matters.
Article 582
Forms of crime
Article 583
Scope of cooperation
The Parties shall ensure that Eurojust and the competent authorities of the United Kingdom cooperate in the fields of activity set out in Articles 2 and 54 of the Eurojust Regulation and in this Title.
Article 584
Contact points to Eurojust
Article 585
Liaison Prosecutor
Article 586
Liaison Magistrate
Article 587
Operational and strategic meetings
Article 588
Exchange of non-personal data
Eurojust and the competent authorities of the United Kingdom may exchange any non-personal data in so far as those data are relevant for the cooperation under this Title, and subject to any restrictions pursuant to Article 593.
Article 589
Exchange of personal data
Article 590
Channels of transmission
Information shall be exchanged:
either between the Liaison Prosecutor or the Liaison Prosecutor's Assistants or, if none is appointed or otherwise available, the United Kingdom's contact point to Eurojust and the National Members concerned or the College;
if Eurojust has posted a Liaison Magistrate to the United Kingdom, between the Liaison Magistrate and any competent authority of the United Kingdom; in that event, the Liaison Prosecutor shall be informed of any such information exchanges; or
directly between a competent authority in the United Kingdom and the National Members concerned or the College; in that event, the Liaison Prosecutor and, if applicable, the Liaison Magistrate shall be informed of any such information exchanges.
Article 591
Onward transfers
The competent authorities of the United Kingdom and Eurojust shall not communicate any information provided by the other to any third country or international organisation without the consent of whichever of the competent authorities of the United Kingdom or Eurojust provided the information and without appropriate safeguards regarding the protection of personal data.
Article 592
Liability for unauthorised or incorrect personal data processing
Article 593
Exchange of classified and sensitive non-classified information
The exchange and protection of classified and sensitive non-classified information, if necessary under this Title, shall be regulated by a working arrangement as referred to in Article 594 concluded between Eurojust and the competent authorities of the United Kingdom.
Article 594
Working arrangement
The modalities of cooperation between the Parties as appropriate to implement this Title shall be the subject of a working arrangement concluded between Eurojust and the competent authorities of the United Kingdom in accordance with Articles 47(3) and 56(3) of the Eurojust Regulation.
Article 595
Powers of Eurojust
Nothing in this Title shall be construed as creating an obligation on Eurojust to cooperate with the competent authorities of the United Kingdom beyond Eurojust‘s competence as set out in the relevant Union law.
TITLE VII
SURRENDER
Article 596
Objective
The objective of this Title is to ensure that the extradition system between the Member States, on the one side, and the United Kingdom, on the other side, is based on a mechanism of surrender pursuant to an arrest warrant in accordance with the terms of this Title.
Article 597
Principle of proportionality
Cooperation through the arrest warrant shall be necessary and proportionate, taking into account the rights of the requested person and the interests of the victims, and having regard to the seriousness of the act, the likely penalty that would be imposed and the possibility of a State taking measures less coercive than the surrender of the requested person particularly with a view to avoiding unnecessarily long periods of pre-trial detention.
Article 598
Definitions
For the purposes of this Title, the following definitions apply:
"arrest warrant" means a judicial decision issued by a State with a view to the arrest and surrender by another State of a requested person, for the purposes of conducting a criminal prosecution or executing a custodial sentence or detention order;
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor. A public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
"executing judicial authority" means the judicial authority of the executing State which is competent to execute the arrest warrant by virtue of the domestic law of that State;
"issuing judicial authority" means the judicial authority of the issuing State which is competent to issue an arrest warrant by virtue of the domestic law of that State.
Article 599
Scope
Subject to Article 600, points (b) to (h) of Article 601(1), and Articles 602, 603 and 604, a State shall not refuse to execute an arrest warrant issued in relation to the following behaviour where such behaviour is punishable by deprivation of liberty or a detention order of a maximum period of at least 12 months:
the behaviour of any person who contributes to the commission by a group of persons acting with a common purpose of one or more offences in the field of terrorism referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, done at Strasbourg on 27 January 1977, or in relation to illicit trafficking in narcotic drugs and psychotropic substances, or murder, grievous bodily injury, kidnapping, illegal restraint, hostage-taking or rape, even where that person does not take part in the actual execution of the offence or offences concerned; such contribution must be intentional and made with the knowledge that the participation will contribute to the achievement of the group's criminal activities; or
terrorism as defined in Annex 45.
The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in paragraph 2 will not be applied, provided that the offence on which the warrant is based is:
one of the offences listed in paragraph 5, as defined by the law of the issuing State; and
punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years.
The offences referred to in paragraph 4 are:
Article 600
Grounds for mandatory non-execution of the arrest warrant
The execution of the arrest warrant shall be refused:
if the offence on which the arrest warrant is based is covered by an amnesty in the executing State, where that State had jurisdiction to prosecute the offence under its own criminal law;
if the executing judicial authority is informed that the requested person has been finally judged by a State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State; or
if the person who is the subject of the arrest warrant may not, owing to the person's age, be held criminally responsible for the acts on which the arrest warrant is based under the law of the executing State.
Article 601
Other grounds for non-execution of the arrest warrant
The execution of the arrest warrant may be refused:
if, in one of the cases referred to in Article 599(2), the act on which the arrest warrant is based does not constitute an offence under the law of the executing State; however, in relation to taxes or duties, customs and exchange, the execution of the arrest warrant shall not be refused on the grounds that the law of the executing State does not impose the same kind of tax or duty or does not contain the same type of rules as regards taxes or duties, customs and exchange regulations as the law of the issuing State;
if the person who is the subject of the arrest warrant is being prosecuted in the executing State for the same act as that on which the arrest warrant is based;
if the judicial authorities of the executing State have decided either not to prosecute for the offence on which the arrest warrant is based or to halt proceedings, or if a final judgment which prevents further proceedings has been passed upon the requested person in a State in respect of the same acts;
if the criminal prosecution or punishment of the requested person is statute-barred under the law of the executing State and the acts fall within the jurisdiction of that State under its own criminal law;
if the executing judicial authority is informed that the requested person has been finally judged by a third country in respect of the same acts provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing country;
if the arrest warrant has been issued for the purposes of execution of a custodial sentence or detention order and the requested person is staying in, or is a national or a resident of the executing State and that State undertakes to execute the sentence or detention order in accordance with its domestic law; if consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the executing State may refuse to execute the arrest warrant only after the requested person consents to the transfer of the sentence or detention order;
if the arrest warrant relates to offences which:
are regarded by the law of the executing State as having been committed in whole or in part in the territory of the executing State or in a place treated as such; or
have been committed outside the territory of the issuing State, and the law of the executing State does not allow prosecution for the same offences if committed outside its territory;
if there are reasons to believe on the basis of objective elements that the arrest warrant has been issued for the purpose of prosecuting or punishing a person on the grounds of the person's sex, race, religion, ethnic origin, nationality, language, political opinions or sexual orientation, or that that person's position may be prejudiced for any of those reasons;
if the arrest warrant has been issued for the purpose of executing a custodial sentence or a detention order and the requested person did not appear in person at the trial resulting in the decision, unless the arrest warrant states that the person, in accordance with further procedural requirements defined in the domestic law of the issuing State:
in due time:
either was summoned in person and thereby informed of the scheduled date and place of the trial which resulted in the decision, or by other means actually received official information of the scheduled date and place of that trial in such a manner that it was unequivocally established that the person was aware of the date and place of the scheduled trial ;
and
was informed that a decision may be handed down if that person did not appear for the trial;
or
being aware of the date and place of the scheduled trial, had given a mandate to a lawyer, who was either appointed by the person concerned or by the State, to defend him or her at the trial, and was indeed defended by that lawyer at the trial;
or
after being served with the decision and being expressly informed about the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed:
expressly stated that the person did not contest the decision;
or
did not request a retrial or appeal within the applicable time frame;
or
was not personally served with the decision but:
will be personally served with it without delay after the surrender and will be expressly informed of the right to a retrial or appeal in which the person has the right to participate and which allows the merits of the case, including fresh evidence, to be re-examined, and which may lead to the original decision being reversed;
and
will be informed of the time frame within which the person has to request such a retrial or appeal, as mentioned in the relevant arrest warrant.
Article 602
Political offence exception
However, the United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that paragraph 1 will be applied only in relation to:
the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism;
offences of conspiracy or association to commit one or more of the offences referred to in Articles 1 and 2 of the European Convention on the Suppression of Terrorism, if those offences of conspiracy or association correspond to the description of behaviour referred to in Article 599(3) of this Agreement; and
terrorism as defined in Annex 45 to this Agreement.
Article 603
Nationality exception
Article 604
Guarantees to be given by the issuing State in particular cases
The execution of the arrest warrant by the executing judicial authority may be subject to the following guarantees:
if the offence on which the arrest warrant is based is punishable by a custodial life sentence or a lifetime detention order in the issuing State, the executing State may make the execution of the arrest warrant subject to the condition that the issuing State gives a guarantee deemed sufficient by the executing State that the issuing State will review the penalty or measure imposed, on request or at the latest after 20 years, or will encourage the application of measures of clemency for which the person is entitled to apply under the law or practice of the issuing State, aiming at the non-execution of such penalty or measure;
if a person who is the subject of an arrest warrant for the purposes of prosecution is a national or resident of the executing State, the surrender of that person may be subject to the condition that the person, after being heard, is returned to the executing State in order to serve there the custodial sentence or detention order passed against him or her in the issuing State; if the consent of the requested person to the transfer of the sentence or detention order to the executing State is required, the guarantee that the person be returned to the executing State to serve the person's sentence is subject to the condition that the requested person, after being heard, consents to be returned to the executing State;
if there are substantial grounds for believing that there is a real risk to the protection of the fundamental rights of the requested person, the executing judicial authority may require, as appropriate, additional guarantees as to the treatment of the requested person after the person's surrender before it decides whether to execute the arrest warrant.
Article 605
Recourse to the central authority
Article 606
Content and form of the arrest warrant
The arrest warrant shall contain the following information set out in accordance with the form contained in Annex 43:
the identity and nationality of the requested person;
the name, address, telephone and fax numbers and e-mail address of the issuing judicial authority;
evidence of an enforceable judgment, an arrest warrant or any other enforceable judicial decision having the same effect that fall within the scope of Article 599;
the nature and legal classification of the offence, particularly in respect of Article 599;
a description of the circumstances in which the offence was committed, including the time, place and degree of participation in the offence by the requested person;
the penalty imposed, if there is a final judgment, or the prescribed scale of penalties for the offence under the law of the issuing State; and
if possible, other consequences of the offence.
Article 607
Transmission of an arrest warrant
If the location of the requested person is known, the issuing judicial authority may transmit the arrest warrant directly to the executing judicial authority.
Article 608
Detailed procedures for transmitting an arrest warrant
Article 609
Rights of a requested person
Article 610
Keeping the person in detention
When a person is arrested on the basis of an arrest warrant, the executing judicial authority shall take a decision on whether the requested person should remain in detention, in accordance with the law of the executing State. The person may be released provisionally at any time in accordance with the domestic law of the executing State, provided that the competent authority of that State takes all the measures it deems necessary to prevent the person from absconding.
Article 611
Consent to surrender
Article 612
Hearing of the requested person
Where the arrested person does not consent to surrender as referred to in Article 611, that person shall be entitled to be heard by the executing judicial authority, in accordance with the law of the executing State.
Article 613
Surrender decision
Article 614
Decision in the event of multiple requests
Article 615
Time limits and procedures for the decision to execute the arrest warrant
Article 616
Situation pending the decision
Where the arrest warrant has been issued for the purpose of conducting a criminal prosecution, the executing judicial authority shall either:
agree that the requested person should be heard according to Article 617; or
agree to the temporary transfer of the requested person.
Article 617
Hearing the person pending the decision
Article 618
Privileges and immunities
Article 619
Competing international obligations
Article 620
Notification of the decision
The executing judicial authority shall notify the issuing judicial authority immediately of the decision on the action to be taken on the arrest warrant.
Article 621
Time limits for surrender of the person
Article 622
Postponed or conditional surrender
Article 623
Transit
Each State shall permit the transit through its territory of a requested person who is being surrendered provided that it has been given information on:
the identity and nationality of the person subject to the arrest warrant;
the existence of an arrest warrant;
the nature and legal classification of the offence; and
the description of the circumstances of the offence, including the date and place.
Article 624
Deduction of the period of detention served in the executing State
Article 625
Possible prosecution for other offences
Paragraph 2 of this Article does not apply in the following cases:
the person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge or has returned to that territory after leaving it;
the offence is not punishable by a custodial sentence or detention order;
the criminal proceedings do not give rise to the application of a measure restricting personal liberty;
the person could be liable to a penalty or a measure not involving the deprivation of liberty, in particular a financial penalty or a measure in lieu of a financial penalty, even if the penalty or measure may give rise to a restriction of the person's personal liberty;
the person consented to be surrendered, where appropriate at the same time as the person renounced the speciality rule, in accordance with Article 611;
the person, after the person's surrender, has expressly renounced entitlement to the speciality rule with regard to specific offences preceding the person's surrender; renunciation must be given before the competent judicial authority of the issuing State and be recorded in accordance with that State's domestic law; the renunciation must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the person shall have the right to a lawyer; and
the executing judicial authority which surrendered the person gives its consent in accordance with paragraph 4 of this Article.
Article 626
Surrender or subsequent extradition
In any case, a person who has been surrendered to the issuing State pursuant to an arrest warrant or European arrest warrant may be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant issued for any offence committed prior to the person's surrender without the consent of the executing State in the following cases:
the requested person, having had an opportunity to leave the territory of the State to which that person has been surrendered, has not done so within 45 days of that person's final discharge, or has returned to that territory after leaving it;
the requested person consents to be surrendered to a State other than the executing State pursuant to an arrest warrant or European arrest warrant; consent must be given before the competent judicial authorities of the issuing State and be recorded in accordance with that State's domestic law; it must be drawn up in such a way as to make clear that the person concerned has given it voluntarily and in full awareness of the consequences; to that end, the requested person shall have the right to a lawyer; and
the requested person is not subject to the speciality rule, in accordance with point (a), (e), (f) or (g) of Article 625(3).
The executing judicial authority shall consent to the surrender to another State in accordance with the following rules:
the request for consent shall be submitted in accordance with Article 607, accompanied by the information set out in Article 606(1) and a translation as referred to in Article 606(2);
consent shall be given where the offence for which it is requested is itself subject to surrender in accordance with the provisions of this Agreement;
the decision shall be taken no later than 30 days after receipt of the request; and
consent shall be refused on the grounds referred to in Article 600 and otherwise may be refused only on the grounds referred to in Article 601, Article 602(2) and Article 603(2).
Article 627
Handing over of property
At the request of the issuing judicial authority or on its own initiative, the executing judicial authority shall, in accordance with its domestic law, seize and hand over property which:
may be required as evidence; or
has been acquired by the requested person as a result of the offence.
Article 628
Expenses
Article 629
Relation to other legal instruments
Without prejudice to their application in relations between States and third countries, this Title, from the date of entry into force of this Agreement, replaces the corresponding provisions of the following conventions applicable in the field of extradition in relations between the United Kingdom, on the one side, and Member States, on the other side:
the European Convention on Extradition, done at Paris on 13 December 1957, and its additional protocols; and
the European Convention on the Suppression of Terrorism, as far as extradition is concerned.
Article 630
Review of notifications
When carrying out the joint review of this Title as referred to in Article 691(1), the Parties shall consider the need to maintain the notifications made under Article 599(4), Article 602(2) and Article 603(2). If the notifications referred to in Article 603(2) are not renewed, they shall expire five years after the date of entry into force of this Agreement. Notifications as referred to in Article 603(2) may only be renewed or newly made during the three months prior to the fifth anniversary of the entry into force of this Agreement and, subsequently, every five years thereafter, provided that the conditions set out in Article 603(2) are met at that time.
Article 631
Ongoing arrest warrants in case of disapplication
Notwithstanding Article 526, Article 692 and Article 693, the provisions of this Title apply in respect of arrest warrants where the requested person was arrested before the disapplication of this Title for the purposes of the execution of an arrest warrant, irrespective of the decision of the executing judicial authority as to whether the requested person is to remain in detention or be provisionally released.
Article 632
Application to existing European arrest warrants
This Title shall apply in respect of European arrest warrants issued in accordance with Council Framework Decision 2002/584/JHA ( 81 ) by a State before the end of the transition period where the requested person has not been arrested for the purpose of its execution before the end of the transition period.
TITLE VIII
MUTUAL ASSISTANCE
Article 633
Objective
The objective of this Title is to supplement the provisions, and facilitate the application between Member States, on the one side, and the United Kingdom, on the other side, of:
the European Convention on Mutual Assistance in Criminal Matters, done at Strasbourg on 20 April 1959 (the "European Mutual Assistance Convention");
the Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 17 March 1978; and
the Second Additional Protocol to the European Mutual Assistance Convention, done at Strasbourg on 8 November 2001.
Article 634
Definition of competent authority
For the purposes of this Title, "competent authority" means any authority which is competent to send or receive requests for mutual assistance in accordance with the provisions of the European Mutual Assistance Convention and its Protocols and as defined by States in their respective declarations addressed to the Secretary General of the Council of Europe. "Competent authority" also includes Union bodies notified in accordance with point (d) of Article 690; with regard to such Union bodies, the provisions of this Title apply accordingly.
Article 635
Form for a request for mutual assistance
Article 636
Conditions for a request for mutual assistance
The competent authority of the requesting State may only make a request for mutual assistance if it is satisfied that the following conditions are met:
the request is necessary and proportionate for the purpose of the proceedings, taking into account the rights of the suspected or accused person; and
the investigative measure or investigative measures indicated in the request could have been ordered under the same conditions in a similar domestic case.
Article 637
Recourse to a different type of investigative measure
Wherever possible, the competent authority of the requested State shall consider recourse to an investigative measure other than the measure indicated in the request for mutual assistance if:
the investigative measure indicated in the request does not exist under the law of the requested State; or
the investigative measure indicated in the request would not be available in a similar domestic case.
Without prejudice to the grounds for refusal available under the European Mutual Assistance Convention and its Protocols and under Article 639, paragraph 1 of this Article does not apply to the following investigative measures, which shall always be available under the law of the requested State:
the obtaining of information contained in databases held by police or judicial authorities that is directly accessible by the competent authority of the requested State in the framework of criminal proceedings;
the hearing of a witness, expert, victim, suspected or accused person or third party in the territory of the requested State;
any non-coercive investigative measure as defined under the law of the requested State; and
the identification of persons holding a subscription to a specified phone number or IP address.
Article 638
Obligation to inform
The competent authority of the requested State shall inform the competent authority of the requesting State by any means and without undue delay if:
it is impossible to execute the request for mutual assistance due to the fact that the request is incomplete or manifestly incorrect; or
the competent authority of the requested State, in the course of the execution of the request for mutual assistance, considers without further enquiries that it may be appropriate to carry out investigative measures not initially foreseen, or which could not be specified when the request for mutual assistance was made, in order to enable the competent authority of the requesting State to take further action in the specific case.
Article 639
Ne bis in idem
Mutual assistance may be refused, in addition to the grounds for refusal provided for under the European Mutual Assistance Convention and its Protocols, on the ground that the person in respect of whom the assistance is requested and who is subject to criminal investigations, prosecutions or other proceedings, including judicial proceedings, in the requesting State, has been finally judged by another State in respect of the same acts, provided that, if a penalty has been imposed, it has been enforced, is in the process of being enforced or can no longer be enforced under the law of the sentencing State.
Article 640
Time limits
The time limits referred to in this Article do not apply if the request for mutual assistance is made in relation to any of the following offences and infringements that fall within scope of the European Mutual Assistance Convention and its Protocols, as defined in the law of the requesting State:
speeding, if no injury or death was caused to another person and if the excess speed was not significant;
failure to wear a seatbelt;
failure to stop at a red light or other mandatory stop signal;
failure to wear a safety helmet; or
using a forbidden lane (such as the forbidden use of an emergency lane, a lane reserved for public transport, or a lane closed down for road works).
Article 641
Transmission of requests for mutual assistance
Article 642
Joint Investigation Teams
If the competent authorities of States set up a Joint Investigation Team, the relationship between Member States within the Joint Investigation Team shall be governed by Union law, notwithstanding the legal basis referred to in the Agreement on the setting up of the Joint Investigation Team.
TITLE IX
EXCHANGE OF CRIMINAL RECORD INFORMATION
Article 643
Objective
In the relations between the United Kingdom and the Member States, the provisions of this Title:
supplement Articles 13 and 22(2) of the European Convention on Mutual Assistance in Criminal Matters and its Additional Protocols of 17 March 1978 and 8 November 2001; and
replace Article 22(1) of the European Convention on Mutual Assistance in Criminal Matters, as supplemented by Article 4 of its Additional Protocol of 17 March 1978.
Article 644
Definitions
For the purposes of this Title, the following definitions apply:
"conviction" means any final decision of a criminal court against a natural person in respect of a criminal offence, to the extent that the decision is entered in the criminal record of the convicting State;
"criminal proceedings" means the pre-trial stage, the trial stage and the execution of a conviction;
"criminal record" means the domestic register or registers recording convictions in accordance with domestic law.
Article 645
Central authorities
Each State shall designate one or more central authorities that shall be competent for the exchange of information extracted from the criminal record pursuant to this Title and for the exchanges referred to in Article 22(2) of the European Convention on Mutual Assistance in Criminal Matters.
Article 646
Notifications
Article 647
Storage of convictions
Article 648
Requests for information
Article 649
Replies to requests
Article 650
Channel of communication
The exchange between States of information extracted from the criminal record shall take place electronically in accordance with the technical and procedural specifications laid down in Annex 44.
Article 651
Conditions for the use of personal data
Each State shall ensure that their central authorities do not disclose personal data notified under Article 646 to authorities in third countries unless the following conditions are met:
the personal data are disclosed only on a case-by-case basis;
the personal data are disclosed to authorities whose functions are directly related to the purposes for which the personal data are disclosed under point (c) of this paragraph;
the personal data are disclosed only if necessary:
for the purposes of criminal proceedings;
for any purposes other than that of criminal proceedings; or
to prevent an immediate and serious threat to public security;
the personal data may be used by the requesting third country only for the purposes for which the information was requested and within the limits specified by the State that notified the personal data under Article 646; and
the personal data are disclosed only if the central authority, having assessed all the circumstances surrounding the transfer of the personal data to the third country, concludes that appropriate safeguards exist to protect the personal data.
TITLE X
ANTI-MONEY LAUNDERING AND COUNTER TERRORIST FINANCING
Article 652
Objective
The objective of this Title is to support and strengthen action by the Union and the United Kingdom to prevent and combat money laundering and terrorist financing.
Article 653
Measures to prevent and combat money laundering and terrorist financing
Article 654
Beneficial ownership transparency for corporate and other legal entities
For the purposes of this Article, the following definitions apply:
"beneficial owner" means any individual in respect of a corporate entity who, in accordance with the Party's laws and regulations:
exercises or has the right to exercise ultimate control over the management of the entity;
ultimately owns or controls directly or indirectly more than 25 % of the voting rights or shares or other ownership interests in the entity, without prejudice to each Party's right to define a lower percentage; or
otherwise controls or has the right to control the entity;
In respect of legal entities such as foundations, Anstalt and limited liability partnerships, each Party has the right to determine similar criteria for identifying the beneficial owner, or, if they choose, to apply the definition set out in point (a) of Article 655(1), having regard to the form and structure of such entities.
In respect of other legal entities not mentioned above, each Party shall take into account the different forms and structures of such entities and the levels of money laundering and terrorist financing risks associated with such entities, with a view to deciding the appropriate levels of beneficial ownership transparency;
"basic information about a beneficial owner" means the beneficial owner's name, month and year of birth, country of residence and nationality, as well as the nature and extent of the interest held, or control exercised, over the entity by the beneficial owner;
"competent authorities" means:
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing, or that have the function of tracing, seizing or freezing and confiscating criminal assets;
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
Article 655
Beneficial ownership transparency of legal arrangements
For the purposes of this Article, the following definitions apply:
"beneficial owner" means the settlor, the protector (if any), trustees, the beneficiary or class of beneficiaries, any person holding an equivalent position in relation to a legal arrangement with a structure or function similar to an express trust, and any other natural person exercising ultimate effective control over a trust or a similar legal arrangement;
"competent authorities" means:
public authorities, including Financial Intelligence Units, that have designated responsibilities for combating money laundering or terrorist financing;
public authorities that have the function of investigating or prosecuting money laundering, associated predicate offences or terrorist financing or the function of tracing, seizing or freezing and confiscating criminal assets;
public authorities that have supervisory or monitoring responsibilities aimed at ensuring compliance with anti-money laundering or counter terrorist financing requirements.
This definition is without prejudice to each Party's right to identify additional competent authorities that can access information about beneficial owners.
TITLE XI
FREEZING AND CONFISCATION
Article 656
Objective and principles of cooperation
Each State shall comply, under the conditions provided for in this Title, with requests from another State:
for the confiscation of specific items of property, as well as for the confiscation of proceeds consisting in a requirement to pay a sum of money corresponding to the value of proceeds;
for investigative assistance and provisional measures with a view to either form of confiscation referred to in point (a).
Article 657
Definitions
For the purposes of this Title, the following definitions apply:
"confiscation" means a penalty or a measure ordered by a court following proceedings in relation to a criminal offence or criminal offences, resulting in the final deprivation of property;
"freezing" or "seizure" means temporarily prohibiting the transfer, destruction, conversion, disposition or movement of property or temporarily assuming custody or control of property on the basis of an order issued by a court or other competent authority;
"instrumentalities" means any property used or intended to be used, in any manner, wholly or in part, to commit a criminal offence or criminal offences;
"judicial authority" means an authority that is, under domestic law, a judge, a court or a public prosecutor; a public prosecutor is considered a judicial authority only to the extent that domestic law so provides;
"proceeds" means any economic benefit, derived from or obtained, directly or indirectly, from criminal offences, or an amount of money equivalent to that economic benefit; it may consist of any property as defined in this Article;
"property" includes property of any description, whether corporeal or incorporeal, movable or immovable, and legal documents or instruments evidencing title or interest in such property, which the requesting State considers to be:
the proceeds of a criminal offence, or its equivalent, whether the full amount of the value of such proceeds or only part of the value of such proceeds;
the instrumentalities of a criminal offence, or the value of such instrumentalities;
subject to confiscation under any other provisions relating to powers of confiscation under the law of the requesting State, following proceedings in relation to a criminal offence, including third party confiscation, extended confiscation and confiscation without final conviction.
Article 658
Obligation to assist
The States shall afford each other, upon request, the widest possible measure of assistance in the identification and tracing of instrumentalities, proceeds and other property liable to confiscation. Such assistance shall include any measure providing and securing evidence as to the existence, location or movement, nature, legal status or value of those instrumentalities, proceeds or other property.
Article 659
Requests for information on bank accounts and safe deposit boxes
In addition to the requirements of Article 680, the requesting State shall, in the request:
indicate why it considers that the requested information is likely to be of substantial value for the purposes of the criminal investigation into the offence;
state on what grounds it presumes that banks in the requested State hold the account and specify, to the widest extent possible, which banks and accounts may be involved; and
include any additional information available which may facilitate the execution of the request.
Article 660
Requests for information on banking transactions
Article 661
Requests for the monitoring of banking transactions
Article 662
Spontaneous information
Without prejudice to its own investigations or proceedings, a State may without prior request forward to another State information on instrumentalities, proceeds and other property liable to confiscation, where it considers that the disclosure of such information might assist the receiving State in initiating or carrying out investigations or proceedings or might lead to a request by that State under this Title.
Article 663
Obligation to take provisional measures
Article 664
Execution of provisional measures
Article 665
Obligation to confiscate
The State which has received a request for confiscation of property situated in its territory shall:
enforce a confiscation order made by a court of the requesting State in relation to such property; or
submit the request to its competent authorities for the purpose of obtaining an order of confiscation and, if such an order is granted, enforce it.
A State shall cooperate to the widest extent possible under its domestic law with a State requesting the execution of measures equivalent to confiscation of property, where the request has not been issued in the framework of proceedings in criminal matters, in so far as such measures are ordered by a judicial authority of the requesting State in relation to a criminal offence, provided that it has been established that the property constitutes proceeds or:
other property into which the proceeds have been transformed or converted;
property acquired from legitimate sources, if proceeds have been intermingled, in whole or in part, with such property, up to the assessed value of the intermingled proceeds; or
income or other benefit derived from the proceeds, from property into which proceeds of crime have been transformed or converted or from property with which the proceeds of crime have been intermingled, up to the assessed value of the intermingled proceeds, in the same manner and to the same extent as proceeds.
Article 666
Execution of confiscation
Article 667
Confiscated property
Where acting on the request made by another State in accordance with Article 665, and after having taken into account the right of a victim to restitution or compensation of property pursuant to paragraph 2 of this Article, the requested State shall dispose of the money obtained as a result of the execution of a confiscation order as follows:
if the amount is equal to or less than EUR 10 000 , the amount shall accrue to the requested State; or
if the amount is greater than EUR 10 000 , the requested State shall transfer 50 % of the amount recovered to the requesting State.
Article 668
Right of enforcement and maximum amount of confiscation
Article 669
Imprisonment in default
The requested State shall not impose imprisonment in default or any other measure restricting the liberty of a person as a result of a request under Article 665 without the consent of the requesting State.
Article 670
Grounds for refusal
Cooperation under this Title may be refused if:
the requested State considers that executing the request would be contrary to the principle of ne bis in idem; or
the offence to which the request relates does not constitute an offence under the domestic law of the requested State if committed within its jurisdiction; however, this ground for refusal applies to cooperation under Articles 658 to 662 only in so far as the assistance sought involves coercive action.
The United Kingdom and the Union, acting on behalf of any of its Member States, may each notify the Specialised Committee on Law Enforcement and Judicial Cooperation that, on the basis of reciprocity, the condition of double criminality referred to in point (b) of paragraph 1 of this Article will not be applied provided that the offence giving rise to the request is:
one of the offences listed in Article 599(5), as defined by the law of the requesting State; and
punishable by the requesting State by a custodial sentence or a detention order for a maximum period of at least three years.
Cooperation under Articles 665 to 669 may also be refused if:
under the domestic law of the requested State, confiscation is not provided for in respect of the type of offence to which the request relates;
without prejudice to the obligation pursuant to Article 665(3), it would be contrary to the principles of the domestic law of the requested State concerning the limits of confiscation in respect of the relationship between an offence and:
an economic advantage that might be qualified as its proceeds; or
property that might be qualified as its instrumentalities;
under the domestic law of the requested State, confiscation may no longer be imposed or enforced because of the lapse of time;
without prejudice to Article 665(5) and (6), the request does not relate to a previous conviction, or a decision of a judicial nature or a statement in such a decision that an offence or several offences have been committed, on the basis of which the confiscation has been ordered or is sought;
confiscation is either not enforceable in the requesting State, or it is still subject to ordinary means of appeal; or
the request relates to a confiscation order resulting from a decision rendered in absentia of the person against whom the order was issued and, in the opinion of the requested State, the proceedings conducted by the requesting State leading to such decision did not satisfy the minimum rights of defence recognised as due to everyone against whom a criminal charge is made.
For the purposes of point (f) of paragraph 5 a decision is not considered to have been rendered in absentia if:
it has been confirmed or pronounced after opposition by the person concerned; or
it has been rendered on appeal, provided that the appeal was lodged by the person concerned.
The requested State shall not invoke the fact that:
the person under investigation or subject to a confiscation order by the authorities of the requesting State is a legal person as an obstacle to affording any cooperation under this Title;
the natural person against whom an order of confiscation of proceeds has been issued has died or a legal person against whom an order of confiscation of proceeds has been issued has subsequently been dissolved as an obstacle to affording assistance in accordance with point (a) of Article 665(1); or
the person under investigation or subject to a confiscation order by the authorities of the requesting State is mentioned in the request both as the author of the underlying criminal offence and of the offence of money laundering as an obstacle to affording any cooperation under this Title.
Article 671
Consultation and information
Where there are substantial grounds for believing that the execution of a freezing or confiscation order would entail a real risk for the protection of fundamental rights, the requested State shall, before it decides on the execution of the freezing or confiscation order, consult the requesting State and may require any necessary information to be provided.
Article 672
Postponement
The requested State may postpone action on a request if such action would prejudice investigations or proceedings by its authorities.
Article 673
Partial or conditional granting of a request
Before refusing or postponing cooperation under this Title, the requested State shall, where appropriate after having consulted the requesting State, consider whether the request may be granted partially or subject to such conditions as it deems necessary.
Article 674
Notification of documents
Nothing in this Article is intended to interfere with:
the possibility of sending judicial documents, by postal channels, directly to persons abroad; and
the possibility for judicial officers, officials or other competent authorities of the State of origin to effect service of judicial documents directly through the consular authorities of that State or through the judicial authorities, including judicial officers and officials, or other competent authorities of the State of destination.
Article 675
Recognition of foreign decisions
Recognition may be refused if:
third parties did not have adequate opportunity to assert their rights;
the decision is incompatible with a decision already taken in the requested State on the same matter;
it is incompatible with the ordre public of the requested State; or
the decision was taken contrary to provisions on exclusive jurisdiction provided for by the domestic law of the requested State.
Article 676
Authorities
Article 677
Direct communication
Article 678
Form of request and languages
Article 679
Legalisation
Documents transmitted in application of this Title shall be exempt from all legalisation formalities.
Article 680
Content of request
Any request for cooperation under this Title shall specify:
the authority making the request and the authority carrying out the investigations or proceedings;
the object of and the reason for the request;
the matters, including the relevant facts (such as date, place and circumstances of the offence) to which the investigations or proceedings relate, except in the case of a request for notification;
insofar as the cooperation involves coercive action:
the text of the statutory provisions or, where that is not possible, a statement of the relevant applicable law; and
an indication that the measure sought or any other measures having similar effects could be taken in the territory of the requesting State under its own domestic law;
where necessary and in so far as possible:
details of the person or persons concerned, including name, date and place of birth, nationality and location, and, in the case of a legal person, its seat; and
the property in relation to which cooperation is sought, its location, its connection with the person or persons concerned, any connection with the offence, as well as any available information about other persons, interests in the property; and
any particular procedure the requesting State wishes to be followed.
In addition to the information referred to in paragraph 1 of this Article, any request under Article 665 shall contain:
in the case of point (a) of Article 665(1):
a certified true copy of the confiscation order made by the court in the requesting State and a statement of the grounds on the basis of which the order was made, if they are not indicated in the order itself;
an attestation by the competent authority of the requesting State that the confiscation order is enforceable and not subject to ordinary means of appeal;
information as to the extent to which the enforcement of the order is requested; and
information as to the necessity of taking any provisional measures;
in the case of point (b) of Article 665(1), a statement of the facts relied upon by the requesting State sufficient to enable the requested State to seek the order under its domestic law;
where third parties have had the opportunity to claim rights, documents demonstrating that this has been the case.
Article 681
Defective requests
Article 682
Plurality of requests
Article 683
Obligation to give reasons
The requested State shall give reasons for any decision to refuse, postpone or make conditional any cooperation under this Title.
Article 684
Information
The requested State shall promptly inform the requesting State of:
the action initiated on the basis of a request under this Title;
the final result of the action carried out on the basis of a request under this Title;
a decision to refuse, postpone or make conditional, in whole or in part, any cooperation under this Title;
any circumstances which render impossible the carrying out of the action sought or are likely to delay it significantly; and
in the event of provisional measures taken pursuant to a request under Articles 658 to Article 663, such provisions of its domestic law as would automatically lead to the lifting of the provisional measure.
The requesting State shall promptly inform the requested State of:
any review, decision or any other fact by reason of which the confiscation order ceases to be wholly or partially enforceable; and
any development, factual or legal, by reason of which any action under this Title is no longer justified.
Article 685
Restriction of use
Personal data communicated under this Title may be used by the State to which they have been transferred:
for the purposes of proceedings to which this Title applies;
for other judicial and administrative proceedings directly related to proceedings referred to in point (a);
for preventing an immediate and serious threat to public security; or
for any other purpose, only with the prior consent of the communicating State, unless the State concerned has obtained the consent of the data subject.
Article 686
Confidentiality
Article 687
Costs
The ordinary costs of complying with a request shall be borne by the requested State. Where costs of a substantial or extraordinary nature are necessary to comply with a request, the requesting and requested States shall consult in order to agree the conditions on which the request is to be executed and how the costs will be borne.
Article 688
Damages
Article 689
Legal remedies
TITLE XII
OTHER PROVISIONS
Article 690
Notifications
To the extent that such a notification or indication has not been made in relation to a State, at the point in time referred to in the first subparagraph, notifications may be made in relation to that State as soon as possible and at the latest two months after the entry into force of this Agreement.
During that interim period, any State in relation to which no notification provided for in Article 602(2), Article 603(2), or Article 611(4) has been made, and which has not been the subject of an indication that no such notification is to be made, may avail itself of the possibilities provided for in that Article as if such a notification had been made in respect of that State. In the case of Article 603(2), a State may only avail itself of the possibilities provided for in that Article to the extent that to do so is compatible with the criteria for making a notification.
By the date of entry into force of this Agreement, the United Kingdom shall notify the Union of the identity of the following authorities:
the authority responsible for receiving and processing PNR data under Title III;
the authority considered as the competent law enforcement authority for the purposes of Title V and a short description of its competences;
the national contact point designated under Article 568(1);
the authority considered as the competent authority for the purposes of Title VI and a short description of its competences;
the contact point designated under Article 584(1);
the United Kingdom Domestic Correspondent for Terrorism Matters designated under Article 584(2);
the authority competent by virtue of domestic law of the United Kingdom to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of the United Kingdom to issue an arrest warrant, as referred to in point (d) of Article 598;
the authority designated by the United Kingdom under Article 623(3);
the central authority designated by the United Kingdom under Article 645;
the central authority designated by the United Kingdom under Article 676(1).
The Union shall publish information about the authorities referred to in the first subparagraph in the Official Journal of the European Union.
By the date of entry into force of this Agreement, the Union shall, on its behalf or on behalf of its Member States as the case may be, notify the United Kingdom, of the identity of the following authorities:
the Passenger Information Units established or designated by each Member State for the purposes of receiving and processing PNR data under Title III;
the authority competent by virtue of the domestic law of each Member State to execute an arrest warrant, as referred to in point (c) of Article 598, and the authority competent by virtue of the domestic law of each Member State to issue an arrest warrant, as referred to in point (d) of Article 598;
the authority designated for each Member State under Article 623(3);
the Union body referred to in Article 634;
the central authority designated by each Member State under Article 645;
the central authority designated by each Member State under Article 676(1);
any Union body designated under the first sentence of Article 676(2) and whether it is also designated as a central authority under the last sentence of that paragraph.
Article 691
Review and evaluation
Article 692
Termination
Article 693
Suspension
For the purposes of paragraph 2, "relevant adequacy decision" means:
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 36 of Directive (EU) 2016/680 of the European Parliament and of the Council ( 82 ) or analogous successor legislation, attesting to the adequate level of protection;
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 3 of the Data Protection Act 2018 ( 83 ) or analogous successor legislation.
In relation to the suspension of Title III or Title X, references to a "relevant adequacy decision" also include:
in relation to the United Kingdom, a decision adopted by the European Commission, in accordance with Article 45 of Regulation (EU) 2016/679 of the European Parliament and of the Council ( 84 ) (General Data Protection Regulation) or analogous successor legislation attesting to the adequate level of protection;
in relation to the Union, a decision adopted by the United Kingdom attesting to the adequate level of protection for the purposes of transfers falling within the scope of Part 2 of the Data Protection Act 2018 or analogous successor legislation.
Upon the notification of a suspension pursuant to paragraph 1 or 2, the Partnership Council shall immediately be seized of the matter. The Partnership Council shall explore possible ways of allowing the Party that notified the suspension to postpone its entry into effect, to reduce its scope or to withdraw it. To that end, upon a recommendation of the Specialised Committee on Law Enforcement and Judicial Cooperation, the Partnership Council may:
agree on joint interpretations of provisions of this Part;
recommend any appropriate action to the Parties;
adopt appropriate adaptations to this Part which are necessary to address the reasons underlying the suspension, with a maximum validity of 12 months; and
extend the period referred to in paragraph 5 by up to three months.
Article 694
Expenses
The Parties and the Member States, including institutions, bodies, offices and agencies of the Parties or the Member States, shall bear their own expenses which arise in the course of implementation of this Part, unless otherwise provided for in this Agreement.
TITLE XIII
DISPUTE SETTLEMENT
Article 695
Objective
The objective of this Title is to establish a swift, effective and efficient mechanism for avoiding and settling disputes between the Parties concerning this Part, including disputes concerning this Part when applied to situations governed by other provisions of this Agreement, with a view to reaching a mutually agreed solution, where possible.
Article 696
Scope
Article 697
Exclusivity
The Parties undertake not to submit a dispute between them regarding this Part to a mechanism of settlement other than that provided for in this Title.
Article 698
Consultations
Article 699
Mutually agreed solution
Article 700
Suspension
Article 701
Time Periods
PART FOUR
THEMATIC COOPERATION
TITLE I
HEALTH SECURITY
Article 702
Cooperation on health security
Moreover, the Union may invite the United Kingdom to participate in a committee established within the Union and composed of representatives of Member States for the purposes of supporting the exchange of information and of coordination in relation to the serious cross-border threat to health.
Both arrangements shall be on a temporary basis, and in any event for no longer than the duration that either of the Parties, having consulted the other Party, considers necessary for the relevant serious cross-border threat to health.
For the purposes of the information exchange referred to in paragraph 2 and any requests made pursuant to paragraph 3, each Party shall designate a focal point and notify the other Party thereof. The focal points shall also:
endeavour to facilitate understanding between the Parties as to whether or not a threat is a serious cross-border threat to health;
seek mutually agreed solutions to any technical issues arising from implementation of this Title.
The United Kingdom shall observe all applicable conditions for the use of the EWRS and the rules of procedure of the committee referred to in paragraph 3, for the period of access granted in respect of a particular serious cross-border threat to health. If, following clarificatory exchanges between the Parties:
the Union considers that the United Kingdom has not observed the above-mentioned conditions or rules of procedure, the Union may terminate the access of the United Kingdom to the EWRS or its participation in that committee, as the case may be, in respect of that threat;
the United Kingdom considers that it cannot accept the conditions or rules of procedure, the United Kingdom may withdraw its participation in the EWRS or its participation in that committee, as the case may be, in respect of that threat.
TITLE II
CYBER SECURITY
Article 703
Dialogue on cyber issues
The Parties shall endeavour to establish a regular dialogue in order to exchange information about relevant policy developments, including in relation to international security, security of emerging technologies, internet governance, cybersecurity, cyber defence and cybercrime.
Article 704
Cooperation on cyber issues
Article 705
Cooperation with the Computer Emergency Response Team – European Union
Subject to prior approval by the Steering Board of the Computer Emergency Response Team – European Union (CERT-EU), CERT-EU and the national UK computer emergency response team shall cooperate on a voluntary, timely and reciprocal basis to exchange information on tools and methods, such as techniques, tactics, procedures and best practices, and on general threats and vulnerabilities.
Article 706
Participation in specific activities of the Cooperation Group established pursuant to Directive (EU) 2016/1148
With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the relevant national authorities of the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Chair of the Cooperation Group in consultation with the Commission, in the following activities of the Cooperation Group:
exchanging best practices in building capacity to ensure the security of network and information systems;
exchanging information with regard to exercises relating to the security of network and information systems;
exchanging information, experiences and best practices on risks and incidents;
exchanging information and best practices on awareness-raising, education programmes and training; and
exchanging information and best practices on research and development relating to the security of network and information systems.
Article 707
Cooperation with the European Union Agency for Cybersecurity (ENISA)
With a view to promoting cooperation on cyber security while ensuring the autonomy of the Union decision-making process, the United Kingdom may participate at the invitation, which the United Kingdom may also request, of the Management Board of the European Union Agency for Cybersecurity (ENISA), in the following activities carried out by ENISA:
capacity building;
knowledge and information; and
awareness raising and education.
PART FIVE
PARTICIPATION IN UNION PROGRAMMES, SOUND FINANCIAL MANAGEMENT AND FINANCIAL PROVISIONS
Article 708
Scope
The applicable conditions for participation in the programmes referred to in the first subparagraph shall be specified in the applicable basic act and the financing agreement concluded thereunder. The Parties shall agree provisions with similar effect to Chapter 2 concerning the participation of the United Kingdom in those programmes.
Article 709
Definitions
For the purposes of this Part, the following definitions apply:
"basic act" means:
an act of one or more Union institutions establishing a programme or activity, which provides a legal basis for an action and for the implementation of the corresponding expenditure entered in the Union budget or of the budgetary guarantee backed by the Union budget, including any amendment and any relevant acts of a Union institution which supplement or implement that act, except those adopting work programmes, or
an act of one or more Union institutions establishing an activity financed from the Union budget other than programmes;
"funding agreement" means agreements relating to Union programmes and activities under Protocol I on Programmes and activities in which the United Kingdom participates which implement Union funds, such as grant agreements, contribution agreements, financial framework partnership agreements, financing agreements and guarantee agreements;
"other rules pertaining to the implementation of the Union programme and activity" means rules laid down in the Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council ( 85 ) ("Financial Regulation") that apply to the general budget of the Union, and in the work programme or in the calls or other Union award procedures;
"Union" means the Union or the European Atomic Energy Community, or both, as the context may require;
"Union award procedure" means a procedure for award of Union funding launched by the Union or by persons or entities entrusted with the implementation of Union funds;
"United Kingdom entity" means any type of entity, whether a natural person, legal person or another type of entity, which may participate in activities of a Union programme or activity in accordance with the basic act and who resides or which is established in the United Kingdom.
CHAPTER 1
PARTICIPATION OF THE UNITED KINGDOM IN UNION PROGRAMMES AND ACTIVITIES
SECTION 1
GENERAL CONDITIONS FOR PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 710
Establishment of the participation
Protocol I shall:
identify the Union programmes, activities, or in exceptional cases, the part of Union programmes or activities, in which the United Kingdom shall participate;
lay down the duration of participation, which shall refer to the period of time during which the United Kingdom and United Kingdom entities may apply for Union funding or may be entrusted with implementation of Union funds;
lay down specific conditions for the participation of the United Kingdom and United Kingdom entities, including specific modalities for the implementation of the financial conditions as identified under Article 714, specific modalities of the correction mechanism as identified under Article 716, and conditions for participation in structures created for the purposes of implementing those Union programmes or activities. These conditions shall comply with this Agreement and the basic acts and acts of one or more Union institutions establishing such structures;
where applicable, lay down the amount of United Kingdom's contribution to a Union programme implemented through a financial instrument or a budgetary guarantee and, where appropriate, specific modalities referred to in Article 717.
Article 711
Compliance with programme rules
The terms and conditions referred to in paragraph 1 shall include:
the eligibility of the United Kingdom entities and any other eligibility conditions related to the United Kingdom, in particular to the origin, place of activity or nationality;
the terms and conditions applicable to the submission, assessment and selection of applications and to the implementation of the actions by eligible United Kingdom entities.
Article 712
Conditions for participation
The United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 shall be conditional upon the United Kingdom:
making every effort, within the framework of its domestic laws, to facilitate the entry and residence of persons involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
ensuring, as far as it is under the control of the United Kingdom authorities, that the conditions for the persons referred to in point (a) to access services in the United Kingdom that are directly related to the implementation of the programmes or activities are the same as for United Kingdom nationals, including as regards any fees;
as regards participation involving exchange of or access to classified or sensitive non-classified information, having in place the appropriate agreements in accordance with Article 777.
In relation to the United Kingdom's participation in a Union programme or activity, or parts thereof as referred to in Article 708 the Union and its Member States shall:
make every effort, within the framework of Union or the Member States legislation, to facilitate the entry and residence of United Kingdom nationals involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers;
ensure, as far as it is under the control of the Union and Member States' authorities, that the conditions for the United Kingdom nationals referred to in point (a) to access services in the Union that are directly related to the implementation of the programmes or activities are the same as for Union citizens, including as regards any fees.
Article 713
Participation of the United Kingdom in the governance of programmes or activities
SECTION 2
RULES FOR FINANCING THE PARTICIPATION IN UNION PROGRAMMES AND ACTIVITIES
Article 714
Financial conditions
The financial contribution shall take the form of the sum of:
a participation fee; and
an operational contribution.
The first adjustment shall be made in year N+1 when the initial contribution shall be adjusted upwards or downwards by the difference between the initial contribution and an adjusted contribution calculated by applying the contribution key of year N to the sum of:
the amount of budgetary commitments made on commitment appropriations authorised in year N under the European Union adopted budget and on commitment appropriations corresponding to decommitments made available again; and
any external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I and that were available at the end of year N.
Each subsequent year, until all the budgetary commitments financed under commitment appropriations originating from year N have been paid or decommitted and at the latest three years after the end of the programme or after the end of the multiannual financial framework corresponding to year N, whichever is earlier, the Union shall calculate an adjustment of the contribution of year N by reducing the United Kingdom contribution by the amount obtained by applying the contribution key of year N to the decommitments made each year on commitments of year N financed under the Union budget or from decommitments made available again.
If external assigned revenue appropriations that do not result from financial contributions to Union programmes and activities from other donors as defined in Protocol I are cancelled, the contribution of the United Kingdom shall be reduced by the amount obtained by applying the contribution key of year N to the amount cancelled.
In year N+2 or in subsequent years, after having made the adjustments referred to in the second, third and fourth subparagraphs, the contribution of the United Kingdom for year N shall also be reduced by an amount obtained by multiplying the contribution of the United Kingdom for year N and the ratio of:
the legal commitments of year N, funded under any commitment appropriations available in year N, and resulting from competitive award procedures,
from which the United Kingdom and the United Kingdom entities have been excluded; or
for which the Specialised Committee on Participation in Union Programmes has decided, in accordance with the procedure established in Article 715 that there has been a quasi-exclusion of United Kingdom or United Kingdom entities; or
for which the deadline for submission of applications has expired during the suspension referred to in Article 718 or after termination referred to in Article 720 has taken effect; or
for which the participation of the United Kingdom and United Kingdom entities has been limited in accordance with Article 722(3); and
the total amount of legal commitments funded under any commitment appropriations of year N.
This amount of legal commitments shall be calculated by taking all budgetary commitments made in year N and deducting the decommitments that have been made on these commitments in year N+1.
Article 715
Quasi exclusion from competitive grant award procedure
Within three months of the deadline for submission of applications in the award procedure concerned, the Specialised Committee on Participation in Union Programmes shall examine the notification referred to in the paragraph 1 provided that the participation rate of United Kingdom entities in the award procedure concerned is at least 25 % lower compared to:
the average participation rate of United Kingdom entities in similar competitive award procedures not containing such a condition and launched within the three years preceding the notification; or,
in the absence of similar competitive award procedures, the average participation rate of United Kingdom entities in all competitive award procedures launched under the programme, or the preceding programme, as relevant, within the 3 years preceding the notification.
Article 716
Programmes to which an automatic correction mechanism applies
Article 717
Financing in relation to programmes implemented through financial instruments or budgetary guarantees
SECTION 3
SUSPENSION AND TERMINATION OF THE PARTICIPATION IN UNION PROGRAMMES
Article 718
Suspension of the participation of the United Kingdom in a Union programme by the Union
The Union may unilaterally suspend the application of Protocol I, in relation to one or more Union programmes, activities, or exceptionally parts thereof in accordance with this Article, if the United Kingdom does not pay its financial contribution in accordance with Section 2 of this Chapter or if the United Kingdom introduces significant changes to one of the following conditions that existed when the United Kingdom participation in a programme, an activity or exceptionally part thereof was agreed and included in Protocol I, and if such changes have a significant impact on their implementation:
the conditions for entry and residence in the United Kingdom of the persons that are involved in the implementation of these programmes and activities, or parts thereof, including students, researchers, trainees or volunteers are changed. This shall apply, in particular, if the United Kingdom introduces a change in its domestic laws for the conditions for entry and residence in the United Kingdom for these persons, which discriminates between Member States;
there is a change in financial charges, including fees, that apply to persons referred in point (a) in order to perform the activities that they have to perform in order to implement the programme;
the conditions referred to in Article 712(3) are changed.
Prior to notification and suspension, and during the suspension period, the Specialised Committee on Participation in Union Programmes may discuss appropriate measures for avoiding or lifting the suspension. In case the Specialised Committee on Participation in Union Programmes finds an agreement for avoiding the suspension within the period referred to in the first subparagraph, the suspension shall not take effect.
In any case, the Specialised Committee on Participation in Union Programmes shall meet during the period of 45 days to discuss the matter.
Within 30 days from that notification the Union shall assess the matter and may, for that purpose, request the United Kingdom to present additional evidence. The time needed to provide such additional evidence shall not be taken into account in the overall period for assessment.
Where the Union has found that compliance with the conditions for participation is restored, it shall notify without undue delay the Specialised Committee on Participation in Union Programmes that the suspension is lifted. The lifting shall take effect on the day following the date of notification.
Where the Union has found that compliance with the conditions for participation is not restored, the suspension shall remain in force.
In case of the United Kingdom participation in a programme, activity, or part thereof being suspended, the financial contribution of the United Kingdom that is due during the period of suspension shall be established as follows:
the Union shall recalculate the operational contribution using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8);
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
Article 719
Termination of the participation of the United Kingdom in a Union programme by the Union
If, by one year after the reference date referred to in Article 718(2) the Union has not lifted the suspension under Article 718, the Union shall either:
reassess the conditions under which it may offer to allow the United Kingdom to continue participating in the Union programmes, activities or parts thereof concerned and shall propose those conditions to the Specialised Committee on Participation in Union Programmes within 45 days from expiry of the one year suspension period with a view to modifying Protocol I. In the absence of an agreement on those measures by the Specialised Committee within a further period of 45 days, termination shall take effect as referred to in point (b) of this paragraph; or
terminate unilaterally the application of Protocol I, in relation to the Union programmes, activities or parts thereof concerned, in accordance with this Article, taking into account the impact of the change referred to in Article 718 on the implementation of the programme or activity or exceptionally parts thereof, or the amount of the unpaid contribution.
Where the application of Protocol I, or a part thereof, is terminated in respect of the programmes or activities or exceptionally parts thereof concerned:
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
no contribution except the one referred to in point (a) shall be made in the following years.
Article 720
Termination of the participation in a programme or activity in the case of substantial modification to Union programmes
The United Kingdom may unilaterally terminate its participation in a Union programme or activity or part thereof referred to in Protocol I where:
the basic act of that Union programme or activity is amended to an extent that the conditions for participation of the United Kingdom or of United Kingdom entities in that Union programme or activity have been substantially modified, in particular, as a result of a change of the objectives of the programme or activity and of the corresponding actions; or
the total amount of commitment appropriations as referred to in Article 714 is increased by more than 15 % compared with the initial financial envelope of that programme or activity or part thereof in which the United Kingdom participates and either the corresponding ceiling of the multiannual financial framework has been increased or the amount of external revenue referred to in Article 714(5) for the whole period of participation has been increased; or
the United Kingdom or United Kingdom entities are excluded from participation in part of a programme or activity on duly justified grounds, and that exclusion concerns commitment appropriations exceeding 10 % of the commitment appropriations in the Union budget definitively adopted for a year N for that programme or activity.
In case of termination under this Article in respect of the programmes or activities concerned:
the operational contribution covering support expenditure related to legal commitments already entered into shall continue to be due until the completion of those legal commitments or the end of the multiannual financial framework under which the legal commitment has been financed;
the Union shall recalculate the operational contribution of the year where termination occurs using the procedure described in point (a)(iii) of the fifth subparagraph of Article 714(8). No contribution except the one referred to in point (a) of this Article shall be made in the following years;
the participation fee shall be adjusted in line with the adjustment of the operational contribution.
SECTION 4
REVIEW OF PERFORMANCE AND FINANCIAL INCREASES
Article 721
Performance review
The measures referred to in the first subparagraph shall be applied for a period of twelve months after the adoption of the report. Following the application of the measures, performance data over the period in question shall be used to calculate the difference between the initial amounts due under the legal commitments actually entered into with the United Kingdom or United Kingdom entities during that calendar year and the corresponding operational contribution paid by the United Kingdom for the same year.
If the difference referred to in the second subparagraph is negative and exceeds 16 % of the corresponding operational contribution, the United Kingdom may:
notify its intention to terminate its participation in the Union programme or part of a programme concerned by giving notice 45 days before the intended day of termination, and may terminate its participation in accordance with Article 720(3) to (6); or
request the Specialised Committee on Participation in Union Programmes to adopt further measures to address underperformance, including by making adaptations to the participation of the United Kingdom in the Union programme concerned and adjusting future financial contributions of the United Kingdom in respect of that programme.
Article 722
Financial increases review
CHAPTER 2
SOUND FINANCIAL MANAGEMENT
Article 723
Scope
This Chapter shall apply in relation to the Union programmes, activities and services under Union programmes referred to in Protocol I and Protocol II on access of the United Kingdom to services established under certain Union programmes and activities in which the United Kingdom does not participate (Protocol II).
SECTION 1
PROTECTION OF FINANCIAL INTERESTS AND RECOVERY
Article 724
Conduct of activity for the purposes of sound financial management
For the purposes of the application of this Chapter, the authorities of the United Kingdom and of the Union referred to in this Chapter shall cooperate closely in accordance with their respective laws and regulations.
When exercising their duties in the territory of the United Kingdom, the agents and investigative bodies of the Union shall act in a manner consistent with United Kingdom law.
Article 725
Reviews and audits
Article 726
Fight against irregularities, fraud and other criminal offences affecting the financial interests of the Union
Article 727
Amendments to Articles 708, 723, 725 and 726
The Specialised Committee on Participation in Union Programmes may amend Articles 725 and 726, in particular to take account of changes of acts of one or more Union institutions.
The Specialised Committee on Participation in Union Programmes may amend Article 708 and Article 723 to extend the application of this Chapter to other Union programmes, activities and services.
Article 728
Recovery and enforcement
SECTION 2
OTHER RULES FOR THE IMPLEMENTATION OF UNION PROGRAMMES
Article 729
Communication and exchange of information
The Union institutions and bodies involved in the implementation of Union programmes or activities, or in control of such programmes or activities, shall be entitled to communicate directly, including through electronic exchange systems, with any natural person residing in the United Kingdom or legal entity established in the United Kingdom receiving Union funding, as well as with any third party involved in the implementation of Union funding that resides or is established in the United Kingdom. Such persons, entities and third parties may submit directly to the Union institutions and bodies all relevant information and documentation which they are required to submit on the basis of the Union legislation applicable to the Union programme or activity or on the basis of the contracts or funding agreements concluded to implement that programme or activity.
Article 730
Statistical cooperation
EUROSTAT and the United Kingdom Statistics Authority may establish an arrangement that enables cooperation on relevant statistical matters and includes that EUROSTAT, with the agreement of the United Kingdom Statistics Authority, provides statistical data on the United Kingdom for the purposes of this Part, including, in particular, data on the GDP of the United Kingdom.
CHAPTER 3
ACCESS OF THE UNITED KINGDOM TO SERVICES UNDER UNION PROGRAMMES
Article 731
Rules on service access
Protocol II shall, where appropriate:
identify the services under Union programmes and activities, to which the United Kingdom and United Kingdom entities shall have access;
lay down specific conditions for the access by the United Kingdom and United Kingdom entities. Those conditions shall comply with the conditions laid down in this Agreement and in the basic acts;
where applicable, specify the United Kingdom's financial or in-kind contribution with respect to a service provided under such Union programmes and activities.
CHAPTER 4
REVIEWS
Article 732
Review clause
Four years after Protocols I and II become applicable, the Specialised Committee on Participation in Union Programmes shall review the implementation thereof on the basis of the data concerning the participation of United Kingdom entities in indirect and direct actions under the programme, parts of the programme, activities and services covered under Protocols I and II.
Following a request by either Party, the Specialised Committee on Participation in Union Programmes shall discuss changes or proposed changes affecting the terms of the United Kingdom participation in any of the programmes or parts of programmes, activities and services listed in Protocols I and II, and, if necessary, may propose appropriate measures within the scope of this Agreement.
CHAPTER 5
PARTICIPATION FEE IN THE YEARS 2021 TO 2026
Article 733
Participation fee in the years 2021 to 2026
The participation fee referred to in Article 714(4) shall have the following value in the years 2021 to 2026:
PART SIX
DISPUTE SETTLEMENT AND HORIZONTAL PROVISIONS
TITLE I
DISPUTE SETTLEMENT
CHAPTER 1
GENERAL PROVISIONS
Article 734
Objective
The objective of this Title is to establish an effective and efficient mechanism for avoiding and settling disputes between the Parties concerning the interpretation and application of this Agreement and supplementing agreements with a view to reaching, where possible, a mutually agreed solution.
Article 735
Scope
The covered provisions shall include all provisions of this Agreement and of any supplementing agreement with the exception of:
Article 32(1) to (6) and Article 36;
Annex 12;
Title VII of Heading one of Part Two;
Title X of Heading One of Part Two;
Article 355(1), (2) and (4), Article 356(1) and (3), Chapter 2 of Title XI of Heading One of Part Two, Articles 371 and 372, Chapter 5 of Title XI of Heading One of Part Two, and Article 411(4) to (9);
Part Three, including when applying in relation to situations governed by other provisions of this Agreement;
Part Four;
Title II of Part Six;
Article 782; and
the Agreement on security procedures for exchanging and protecting classified information.
Article 736
Exclusivity
The Parties undertake not to submit a dispute between them regarding the interpretation or application of provisions of this Agreement or of any supplementing agreement to a mechanism of settlement other than those provided for in this Agreement.
Article 737
Choice of forum in case of a substantially equivalent obligation under another international agreement
For the purposes of this Article:
dispute settlement procedures under this Title are deemed to be initiated by a Party's request for the establishment of an arbitration tribunal under Article 739;
dispute settlement procedures under the WTO Agreement are deemed to be initiated by a Party's request for the establishment of a panel under Article 6 of the Understanding on Rules and Procedure Governing the Settlement of Disputes of the WTO; and
dispute settlement procedures under any other agreement are deemed to be initiated if they are initiated in accordance with the relevant provisions of that agreement.
CHAPTER 2
PROCEDURE
Article 738
Consultations
Article 739
Arbitration procedure
The complaining Party may request the establishment of an arbitration tribunal if:
the respondent Party does not respond to the request for consultations within 10 days of the date of its delivery;
consultations are not held within the time periods referred to in Article 738(3), (4) or (5);
the Parties agree not to have consultations; or
consultations have been concluded without a mutually agreed solution having been reached.
Article 740
Establishment of an arbitration tribunal
Article 741
Requirements for arbitrators
All arbitrators shall:
have demonstrated expertise in law and international trade, including on specific matters covered by Titles I to VII, Chapter 4 of Title VIII, Titles IX to XII of Heading One of Part Two or Heading Six of Part Two, or in law and any other matter covered by this Agreement or by any supplementing agreement and, in the case of a chairperson, also have experience in dispute settlement procedures;
not be affiliated with or take instructions from either Party;
serve in their individual capacities and not take instructions from any organisation or government with regard to matters related to the dispute; and
comply with Annex 49.
Article 742
Functions of the arbitration tribunal
The arbitration tribunal:
shall make an objective assessment of the matter before it, including an objective assessment of the facts of the case and the applicability of, and conformity of the measures at issue with, the covered provisions;
shall set out, in its decisions and rulings, the findings of facts and law and the rationale behind any findings that it makes; and
should consult regularly with the Parties and provide adequate opportunities for the development of a mutually agreed solution.
Article 743
Terms of reference
"to examine, in the light of the relevant covered provisions of this Agreement or of a supplementing agreement, the matter referred to in the request for the establishment of the arbitration tribunal, to decide on the conformity of the measure at issue with the provisions referred to in Article 735 and to issue a ruling in accordance with Article 745".
Article 744
Urgent proceedings
Article 745
Ruling of the arbitration tribunal
CHAPTER 3
COMPLIANCE
Article 746
Compliance measures
Article 747
Reasonable Period of Time
Article 748
Compliance Review
Article 749
Temporary Remedies
The respondent Party shall, at the request of and after consultations with the complaining Party, present an offer for temporary compensation if:
the respondent Party delivers a notification to the complaining Party that it is not possible to comply with the ruling referred to in Article 745(4); or
the respondent Party fails to deliver a notification of any measure taken to comply within the deadline referred to in Article 746 or before the date of expiry of the reasonable period of time; or
the arbitration tribunal finds that no measure taken to comply exists or that the measure taken to comply is inconsistent with the covered provisions.
In any of the conditions referred to in points (a), (b) and (c) of paragraph 1, the complaining Party may deliver a written notification to the respondent Party that it intends to suspend the application of obligations under the covered provisions if:
the complaining Party decides not to make a request under paragraph 1; or
the Parties do not agree on the temporary compensation within 20 days after the expiry of the reasonable period of time or the delivery of the arbitration tribunal decision under Article 748 if a request under paragraph 1 of this Article is made.
The notification shall specify the level of intended suspension of obligations.
Suspension of obligations shall be subject to the following conditions:
obligations under Heading Four of Part Two, the Protocol on Social Security Coordination or its annexes or Part Five may not be suspended under this Article;
by way of derogation from point (a), obligations under Part Five may be suspended only where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five;
obligations outside Part Five may not be suspended where the ruling referred to in Article 745(4) concerns the interpretation and implementation of Part Five; and
obligations under Title II of Heading One of Part Two in respect of financial services may not be suspended under this Article, unless the ruling referred to in Article 745(4) concerns the interpretation and application of obligations under Title II of Heading One of Part two in respect of financial services.
If the arbitration tribunal has found the violation in Heading Two of Part Two:
the complaining party should first seek to suspend obligations in the same Title as that in which the arbitration tribunal has found the violation;
if the complaining party considers that it is not practicable or effective to suspend obligations with respect to the same Title as that in which the tribunal has found the violation, it may seek to suspend obligations in the other Title under the same Heading.
The suspension of obligations or the compensation referred to in this Article shall be temporary and shall not be applied after:
the Parties have reached a mutually agreed solution pursuant to Article 756;
the Parties have agreed that the measure taken to comply brings the respondent Party into compliance with the covered provisions; or
any measure taken to comply which the arbitration tribunal has found to be inconsistent with the covered provisions has been withdrawn or amended so as to bring the respondent Party into compliance with those covered provisions.
Article 750
Review of any measure taken to comply after the adoption of temporary remedies
CHAPTER 4
COMMON PROCEDURAL PROVISIONS
Article 751
Receipt of information
Article 752
Lists of arbitrators
The Partnership Council shall, no later than 180 days after the date of entry into force of this Agreement, establish a list of individuals with expertise in specific sectors covered by this Agreement or its supplementing agreements who are willing and able to serve as members of an arbitration tribunal. The list shall comprise at least 15 persons and shall be composed of three sub-lists:
one sub-list of individuals established on the basis of proposals by the Union;
one sub-list of individuals established on the basis of proposals by the United Kingdom; and
one sub-list of individuals who are not nationals of either Party who shall serve as chairperson to the arbitration tribunal.
Each sub-list shall include at least five individuals. The Partnership Council shall ensure that the list is always maintained at this minimum number of individuals.
The Partnership Council may establish additional lists of individuals with expertise in specific sectors covered by this Agreement or by any supplementing agreement. Subject to the agreement of the Parties, such additional lists may be used to compose the arbitration tribunal in accordance with the procedure set out in Article 740(3) and (5). Additional lists shall be composed of two sub-lists:
one sub-list of individuals established on the basis of proposals by the Union; and
one sub-list of individuals established on the basis of proposals by the United Kingdom.
Article 753
Replacement of arbitrators
If during dispute settlement procedures under this Title, an arbitrator is unable to participate, withdraws, or needs to be replaced because that arbitrator does not comply with the requirements of the Code of Conduct, the procedure set out in Article 740 shall apply. The time period for the delivery of the ruling or decision shall be extended for the time necessary for the appointment of the new arbitrator.
Article 754
Arbitration tribunal decisions and rulings
Article 755
Suspension and termination of the arbitration proceedings
At the request of both Parties, the arbitration tribunal shall suspend its work at any time for a period agreed by the Parties and not exceeding 12 consecutive months. The arbitration tribunal shall resume its work before the end of the suspension period at the written request of both Parties, or at the end of the suspension period at the written request of either Party. The requesting Party shall deliver a notification to the other Party accordingly. If a Party does not request the resumption of the arbitration tribunal's work at the expiry of the suspension period, the authority of the arbitration tribunal shall lapse and the dispute settlement procedure shall be terminated. In the event of a suspension of the work of the arbitration tribunal, the relevant time periods shall be extended by the same time period for which the work of the arbitration tribunal was suspended.
Article 756
Mutually agreed solution
Article 757
Time Periods
Article 758
Costs
Article 759
Annexes
CHAPTER 5
SPECIFIC ARRANGEMENTS FOR UNILATERAL MEASURES
Article 760
Special procedures for remedial measures and rebalancing
Article 761
Suspension of obligations for the purposes of Article 374(12), Article 501(5) and Article 506(7)
The level of nullified or impaired benefits requested by the complaining Party or determined by the arbitration tribunal:
shall not include punitive damages, interest or hypothetical losses of profits or business opportunities;
shall be reduced by any prior refunds of duties, indemnification of damages or other forms of compensation already received by the concerned operators or the concerned Party; and
shall not include the contribution to the nullification or impairment by wilful or negligent action or omission of the concerned Party or any person or entity in relation to whom remedies are sought pursuant to the intended suspension of obligations.
Article 762
Conditions for rebalancing, remedial, compensatory and safeguard measures
Where a Party takes a measure under Article 374, Article 411, Article 469, Article 501, Article 506 or Article 773, that measure shall only be applied in respect of covered provisions within the meaning of Article 735 and shall comply, mutatis mutandis, with the conditions set out in Article 749(3).
TITLE II
BASIS FOR COOPERATION
Article 763
Democracy, rule of law and human rights
Article 764
Fight against climate change
Article 765
Countering proliferation of weapons of mass destruction
The Parties, furthermore, agree to cooperate on and to contribute to countering the proliferation of weapons of mass destruction and their means of delivery by:
taking steps to sign, ratify, or accede to, as appropriate, and fully implement all other relevant international instruments; and
establishing an effective system of national export controls, controlling the export as well as transit of WMD-related goods, including a WMD end-use control on dual use technologies and containing effective sanctions for breaches of export controls.
Article 766
Small arms and light weapons and other conventional weapons
Article 767
The most serious crimes of concern to the international community
Article 768
Counter-terrorism
The Parties agree to establish a regular dialogue on those matters. This dialogue will, inter alia, aim to promote and facilitate:
the sharing of assessments on the terrorist threat;
the exchange of best practices and expertise on counter terrorism;
operational cooperation and exchange of information; and
exchanges on cooperation in the framework of multilateral organisations.
Article 769
Personal data protection
Article 770
Global cooperation on issues of shared economic, environmental and social interest
Article 771
Essential elements
Article 763(1), Article 764(1) and Article 765(1) constitute essential elements of the partnership established by this Agreement and any supplementing agreement.
TITLE III
FULFILLMENT OF OBLIGATIONS AND SAFEGUARD MEASURES
Article 772
Fulfilment of obligations described as essential elements
Article 773
Safeguard measures
The Party concerned shall, without delay, notify the measures taken to the Partnership Council and shall provide all relevant information.
PART SEVEN
FINAL PROVISIONS
Article 774
Territorial scope
This Agreement applies to:
the territories to which the TEU, the TFEU and the Treaty establishing the European Atomic Energy Community are applicable, and under the conditions laid down in those Treaties; and
the territory of the United Kingdom.
Article 775
Relationship with other agreements
This Agreement and any supplementing agreement apply without prejudice to any earlier bilateral agreement between the United Kingdom of the one part and the Union and the European Atomic Energy Community of the other part. The Parties reaffirm their obligations to implement any such Agreement.
Article 776
Review
The Parties shall jointly review the implementation of this Agreement and supplementing agreements and any matters related thereto five years after the entry into force of this Agreement and every five years thereafter.
Article 777
Classified information and sensitive non-classified information
Nothing in this Agreement or in any supplementing agreement shall be construed as requiring a Party to make available classified information.
Classified information or material provided by or exchanged between the Parties under this Agreement or any supplementing agreement shall be handled and protected in compliance with the Agreement on security procedures for exchanging and protecting classified information and any implementing arrangement concluded under it.
The Parties shall agree upon handling instructions to ensure the protection of sensitive non-classified information exchanged between them.
Article 778
Integral parts of this Agreement
Each of the Annexes to this Agreement, including its appendices, shall form an integral part of the Section, Chapter, Title, Heading or Protocol that refers to that Annex or to which reference is made in that Annex. For greater certainty:
Annex 1 forms an integral part of Title III of Part One;
Annexes 2, 3, 4, 5, 6, 7, 8 and 9 form an integral part of Chapter 2 of Title I of Heading One of Part Two;
Annex 10 forms an integral part of Chapter 3 of Title I of Heading One of Part Two;
Annexes 11, 12, 13, 14, 15, 16 and 17 form an integral part of Chapter 4 of Title I of Heading One of Part Two;
Annex 18 forms an integral part of Chapter 5 of Title I of Heading One of Part Two;
Annexes 19, 20, 21, 22, 23 and 24 form an integral part of Title II of Heading One of Part Two;
Annex 25 forms an integral part of Title VI of Heading One of Part Two;
Annexes 26, 27, 28 and 29 form an integral part of Title VIII of Heading One of Part Two;
Annex 27 forms an integral part of Title XI of Heading One of Part Two;
Annex 30 and any annex adopted in accordance with Article 454 form an integral part of Title Two of Heading Two of Part Two;
Annex 31 forms an integral part of Title I of Heading Three of Part Two;
Annexes 32, 33 and 34 form an integral part of Title II of Heading Three of Part Two;
Annexes 35, 36, 37 and 38 form an integral part of Heading Five of Part Two;
Annex 39 forms an integral part of Title II of Part Three;
Annex 40 forms an integral part of Title III of Part Three;
Annex 41 forms an integral part of Title V of Part Three;
Annex 42 forms an integral part of Title VI of Part Three;
Annex 43 forms an integral part of Title VII of Part Three;
Annex 44 forms an integral part of Title IX of Part Three;
Annex 45 forms an integral part of Title III, Title VII and Title XI of Part Three;
Annex 46 forms an integral part of Title XI of Part Three;
Annex 47 forms an integral part of Section 2 of Chapter 1 of Part Five;
Annexes 48 and 49 form an integral part of Title I of Part Six;
the Annex to the protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties forms an integral part of the Protocol on administrative cooperation and combating fraud in the field of value added tax and on mutual assistance for the recovery of claims relating to taxes and duties;
Annexes SSC-1, SSC-2, SSC-3, SSC-4, SSC-5, SSC-6, SSC-7 and SSC-8 and their Appendices form an integral part of the Protocol on Social Security Coordination.
Article 779
Termination
Either Party may terminate this Agreement by written notification through diplomatic channels. This Agreement and any supplementing agreement shall cease to be in force on the first day of the twelfth month following the date of notification.
Article 780
Authentic texts
This Agreement shall be drawn up in duplicate in the Bulgarian, Croatian, Czech, Danish, Dutch, English, Estonian, Finnish, French, German, Greek, Hungarian, Irish, Italian, Latvian, Lithuanian, Maltese, Polish, Portuguese, Romanian, Slovak, Slovenian, Spanish and Swedish languages. By 30 April 2021, all language versions of the Agreement shall be subject to a process of final legal-linguistic revision. Notwithstanding the previous sentence, the process of final legal-linguistic revision for the English version of the Agreement shall be finalised at the latest by the day referred to in Article 783(1) if that day is earlier than 30 April 2021.
The language versions resulting from the above process of final legal-linguistic revision shall replace ab initio the signed versions of the Agreement and shall be established as authentic and definitive by exchange of diplomatic notes between the Parties.
Article 781
Future accessions to the Union
During the negotiations between the Union and a third country regarding the accession of that country to the Union ( 87 ), the Union shall endeavour to:
on request of the United Kingdom and, to the extent possible, provide any information regarding any matter covered by this Agreement and any supplementing agreement; and
take into account any concerns expressed by the United Kingdom.
To the extent necessary, the United Kingdom and the Union shall, before the entry into force of the agreement on the accession of a third country to the Union:
amend this Agreement or any supplementing agreement,
put in place by decision of the Partnership Council any other necessary adjustments or transitional arrangements regarding this Agreement or any supplementing agreement; or
decide within the Partnership Council whether:
to apply Article 492 to the nationals of that third country; or
to establish transitional arrangements as regards Article 492 in relation to that third country and its nationals once it accedes to the Union.
Article 782
Interim provision for transmission of personal data to the United Kingdom
For the purposes of this Article, the "designated powers" means the powers:
to make regulations pursuant to sections 17A, 17C and 74A of the UK Data Protection Act 2018;
to issue a new document specifying standard data protection clauses pursuant to section 119A of the UK Data Protection Act 2018;
to approve a new draft code of conduct pursuant to Article 40(5) of the UK General Data Protection Regulation ("UK GDPR"), other than a code of conduct which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(e) of the UK GDPR;
to approve new certification mechanisms pursuant to Article 42(5) of the UK GDPR, other than certification mechanisms which cannot be relied on to provide appropriate safeguards for transfers of personal data to a third country under Article 46(2)(f) of the UK GDPR;
to approve new binding corporate rules pursuant to Article 47 of the UK GDPR;
to authorise new contractual clauses referred to in Article 46(3)(a) of the UK GDPR; or
to authorise new administrative arrangements referred to in Article 46(3)(b) of the UK GDPR.
The "specified period" begins on the date of entry into force of this Agreement and, subject to paragraph 5, ends on one of the following dates, whichever is earlier:
on the date on which adequacy decisions in relation to the United Kingdom are adopted by the European Commission under Article 36(3) of Directive (EU) 2016/680 and under Article 45(3) of Regulation (EU) 2016/679, or
on the date four months after the date on which the specified period begins, which period shall be extended by two further months unless one of the Parties objects.
Anything that would otherwise be an amendment to the applicable data protection regime which is:
made with the agreement of the Union within the Partnership Council; or
limited to alignment with the relevant Union data protection law;
shall not be treated as an amendment to the applicable data protection regime for the purposes of paragraph 5 and instead should be treated as being part of the applicable data protection regime for the purposes of paragraph 1.
For the purposes of paragraphs 1, 5 and 7, "the agreement of the Union within the Partnership Council" means:
a decision of the Partnership Council as described in paragraph 11; or
deemed agreement as described in paragraph 10.
Article 783
Entry into force and provisional application
The Parties agree to provisionally apply this Agreement from 1 January 2021 provided that prior to that date they have notified each other that their respective internal requirements and procedures necessary for provisional application have been completed. Provisional application shall cease on one of the following dates, whichever is the earliest:
28 February 2021 or another date as decided by the Partnership Council; or
the day referred to in paragraph 1.
Съставено в Брюксел и Лондон на тридесети декември две хиляди и двадесета година.
Hecho en Bruselas y Londres, el treinta de diciembre de dos mil veinte.
V Bruselu a v Londýně dne třicátého prosince dva tisíce dvacet.
Udfærdiget i Bruxelles og London, den tredivte december to tusind og tyve.
Geschehen zu Brüssel und London am dreißigsten Dezember zweitausendzwanzigt.
Kahe tuhande kahekümnenda aasta detsembrikuu kolmekümnendal päeval Brüsselis ja Londonis.
Έγινε στις Βρυξέλλες και στο Λονδίνο, στις τριάντα Δεκεμβρίου δύο χιλιάδες είκοσι.
Done at Brussels and London on the thirtieth day of December in the year two thousand and twenty.
Fait à Bruxelles et à Londres, le trente décembre deux mille vingt.
Arna dhéanamh sa Bhruiséil agus i Londain, an tríochadú lá de mhí na Nollag an bhliain dhá mhíle fiche.
Sastavljeno u Bruxellesu i Londonu tridesetog prosinca godine dvije tisuće dvadesete.
Fatto a Bruxelles e Londra, addì trenta dicembre duemilaventi.
Briselē un Londonā, divi tūkstoši divdesmitā gada trīsdesmitajā decembrī.
Priimta du tūkstančiai dvidešimtų metų gruodžio trisdešimtą dieną Briuselyje ir Londone.
Kelt Brüsszelben és Londonban, a kétezer-huszadik év december havának harmincadik napján.
Magħmul fi Brussell u Londra, fit-tletin jum ta’ Diċembru fis-sena elfejn u għoxrin.
Gedaan te Brussel en Londen, dertig december tweeduizend twintig.
Sporządzono w Brukseli i Londynie dnia trzydziestego grudnia roku dwa tysiące dwudziestego.
Feito em Bruxelas e em Londres, em trinta de dezembro de dois mil e vinte.
Întocmit la Bruxelles și la Londra la treizeci decembrie două mii douăzeci.
V Bruseli a Londýne tridsiateho decembra dvetisícdvadsať.
V Bruslju in Londonu, tridesetega decembra dva tisoč dvajset.
Tehty Brysselissä ja Lontoossa kolmantenakymmenentenä päivänä joulukuuta vuonna kaksituhattakaksikymmentä.
Som skedde i Bryssel och i London den trettionde december år tjugohundratjugo.