PROTOCOL 1 on the functions and powers of the EFTA Surveillance Authority which, through the application of Protocol 1 to the EEA Agreement, follow from the Acts referred to in the Annexes to that Agreement

HAVING REGARD to the EEA Agreement and, in particular, Protocol 1 thereto,

NOTING that paragraphs 4 (d) and 5 of Protocol 1 to the EEA Agreement contain references to the EFTA Surveillance Authority and the Standing Committee;

FURTHER NOTING that in paragraph 4 (d) of Protocol 1 to the EEA Agreement reference is made to procedures established among the EFTA States;

WHEREAS for the proper application of acts referred to in the Annexes to the EEA Agreement, it is necessary to establish among the EFTA States the functions corresponding to those of the EC Commission which, through the application of Protocol 1 to the EEA Agreement, should be carried out either by the EFTA Surveillance Authority or the Standing Committee, as well as to establish the procedures to be applied among the EFTA States for that purpose;

Article 1

1. Where the acts referred to in the Annexes to the EEA Agreement contain provisions on procedures under which the EC Commission:

(a) informs a Member State whether a precautionary measure or a safeguard measure taken by a Member State was justified;

(b) shall be consulted by a Member State before an exemption or derogation from a provision of an act is granted or undertaken by that State;

(c) may, before an exemption or derogation from a provision of an act is granted or undertaken by a Member State, agree or authorize that State to do so, including, where necessary, to specify the conditions under which the authorization is granted or to lay down detailed rules concerning its implementation;

(d) shall, where necessary, hold consultations with the Member States concerned or their competent authorities, in particular with a view to settling differences and disputes and, as the case may be, proposing appropriate solutions;

(e) in the veterinary and phytosanitary field,

- may make or arrange for assessments, tests and on-the-spot checks,

- may give approvals, or the like, or make recommendations regarding plans, programmes, emergency vaccinations, high-risk areas, etc.,

- shall draw up lists, such as lists of experts, approved zones, approved farms, etc., and, as the case may be, forward them to the Member States;

(f) in the veterinary field,

- may adopt appropriate measures in the case of disputes;

(g) in the field of technical regulations, standards, testing and certification,

- shall notify the Member States of national technical specifications in respect of which there is a presumption of conformity with the essential safety requirements and, as the case may be, initiate procedures when it considers that such a presumption of conformity must be withdrawn;

(h) in the field of foodstuffs,

- may decide whether certain conditions are satisfied;

(i) in the field of energy,

- shall implement the procedures provided for by Community law;

(j) in the field of procurement,

- may request information from the Member States or their competent authorities and/or shall determine the nature of any additional statistical information required,

- may establish lists of the categories of activities or services which it considers to be covered by an exclusion,

- shall lay down the conditions under which Contracting entities shall communicate to it the results of an awarding procedure;

those and comparable functions shall for the EFTA States be carried out by the EFTA Surveillance Authority in accordance with the procedures laid down in the acts referred to.

2. If the EC Commission is entrusted with other comparable functions, the corresponding functions shall also be carried out by the EFTA Surveillance Authority.

Article 2

1. The EFTA Surveillance Authority shall receive information with an EFTA State or a competent authority according to the EEA rules shall submit to it and pass on that information to the EC Commission.

2. The EFTA Surveillance Authority shall further receive corresponding information from the EC Commission for distribution to the EFTA States or their competent authorities.

Article 3

Where, in an act referred to in the Annexes to the EEA Agreement containing the procedures described in Article 1, the EC Commission shall submit a draft measure to be taken to, or otherwise consult, an EC committee, the EFTA Surveillance Authority shall, according to corresponding procedures to be laid down by the Standing Committee, consult a corresponding committee, if any, set up or designated in accordance with the Agreement on a Standing Committee of the EFTA States.

Article 4

The EFTA Surveillance Authority shall, unless otherwise agreed with the EC Commission, concurrently with the EC Commission prepare, as appropriate, reports, assessments or the like with regard to the EFTA States, in the cases which through the application of paragraph 5 of Protocol 1 to the EEA Agreement follow from the acts referred to in the Annexes to that Agreement and which are not directly related to the functions of the Standing Committee set out in Protocol 1 to the Agreement on a Standing Committee of the EFTA States. The EFTA Surveillance Authority shall consult, and exchange views with, the EC Commission during the preparation of their respective reports, copies of which are to be sent to the EEA Joint Committee.