General Guidelines for the Cooperation between CEN, Cenelec and ETSI and the European Commission and the European Free Trade Association — 28 March 2003
Date: 2003-03-28
Institutions: European Commission
Subjects: Cenelec, EFTA, ETSI, European Commission, European Committee for Standardisation, European standard, cooperation policy, standardisation

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Official Journal of the European Union

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GENERAL GUIDELINES FOR THE COOPERATION BETWEEN CEN, CENELEC AND ETSI AND
THE EUROPEAN COMMISSION AND THE EUROPEAN FREE TRADE ASSOCIATION

28 March 2003

(2003/C 91/04)

1. GENERAL

CEN, Cenelec, and ETSI on one side and the European
Commission and the European Free Trade Association (EFTA)
on the other side, confirm that standardisation is a voluntary,
consensus-driven activity, carried out by and for the interested
parties themselves, based on openness and transparency, within
independent and recognised standards organisations, leading to
the
compliance with which is
voluntary (1). They take note that because of the public recog-
nition (2) of
issue them, and by
including a public
compliance with specific procedures,
enquiry and a vote, standards (ENs) thus adopted are distinct
from other technical specifications established on a voluntary
basis.

the organisations

adoption of

standards,

that

adopted by the EFTA Council on 30 October 1992, taking
especially into account
the extended status attributed to
standards in the EFTA States by the Agreement on the
European Economic Area (EEA).

2. THE EVOLUTION OF EUROPEAN STANDARDISATION

CEN, Cenelec, ETSI,
the European Commission and EFTA
consider that the new Guidelines should take into consideration
the following elements, presenting notable changes with
respect
to the situation which existed in 1984 and 1985
respectively:

relevant parties

CEN, Cenelec, ETSI,
the European Commission and EFTA
acknowledge that standards should be fit for purpose, have a
high degree of acceptability as a result of the full involvement
in the standardisation process, be
of all
coherent with each other and allow for technological
inno-
vation and competition; that therefore they should be based
on sound scientific research, be updated regularly, and be
performance-based, where possible (3).

Although standardisation is a voluntary and independent
activity, CEN, Cenelec, ETSI, the European Commission and
EFTA recognise that it has an effect on a number of areas of
public concern, such as the competitiveness of industry, the
functioning of the single market and the environment. On
various occasions
and EFTA have
the EU institutions
recognised that standardisation can play a role in public
policy and support legislation.

This understanding was first established in 1984, and laid
down in the General Guidelines for Cooperation between the
European Commission and CEN and Cenelec, agreed on 13
November 1984, and published as CEN/Cenelec Memorandum
No 4, Part 1. Since then, however, the situation has evolved
and they agree that these Guidelines should be updated in
order to take account of this evolution.

Equivalent agreed guidelines were signed between EFTA and
CEN and Cenelec on 30 April 1985 (published as CEN/Cenelec
Memorandum No 4, Part 2). A revised version of these was

— Whilst in 1984 there were only two European Standards
recognition under Directive
Organisations, with the
98/34/EEC
Telecommunications
European
Standards Institute, ETSI, there are now three European
Standards Organisations, i.e., CEN, Cenelec and ETSI.

the

of

— With the EEA Agreement, the EFTA States party to the
Agreement committed themselves to participating in the
Single Market, with the same rights and obligations as
the EU Member States. The Agreement created the same
legal basis for the use of standards in the EFTA EEA States
as exists in the EU.

— Standardisation

Europe

activities

level. The role of

have moved
in
substantially from the national level to the European and
international
the national standards
organisations has, in consequence, taken a new dimension
in the context of European and international standard-
isation. The national
standards bodies will, however,
continue to play an important role in international and
European standardisation. They contribute on a national
level to consensus, in many cases provide support to the
technical work, are a permanent
link between market
players,
in particular SMEs, consumers and environmen-
talists, and provide access to, and advice on, both inter-
national and European standards. The official adoption
through public enquiry and formal vote on European
standards (ENs)
is carried out by the national standards
bodies.

(1) Council Resolution of 28 October 1999 on the role of standard-

isation in Europe, point 11 (OJ C 141, 19.5.2000).

(2) Council Directive 98/34/EC laying down a procedure for

the
provision of information in the field of technical standards and
regulations (OJ L 204, 21.7.1998).

(3) Council Resolution of 28 October 1999 on the role of standard-

isation in Europe, point 12 (OJ C 141, 19.5.2000).

— Economic and social interest groups and relevant organi-
sations, namely NGOs have shown an increased interest in
European standardisation, and, organised at the European
level, they now have increased possibilities of access to the
European standards-making process and various structures
within CEN, Cenelec and ETSI. However,
this does not
diminish the need for their involvement at national level.

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— High levels of environmental and consumer protection have
become fundamental objectives under
the EC Treaty.
Subsequently, environmental and consumer considerations
need to be systematically integrated into other policy areas
and sectors of society. This development also concerns
European standardisation.

— European standardisation is acknowledged as playing a key
the
countries
and
these countries are increasingly participating

role for the economic and political
candidate
conversely,
in the work of the European Standards Organisations.

European Union;

integration of

into the

— With the globalisation of

the economy,

international
standards have become a major factor for Europe. The
importance to be attributed to international standards has
been confirmed by the WTO, notably the Agreement on
Technical Barriers to Trade and the WTO decision on prin-
ciples for the development of international standards used
under the Agreement (1), as well as by the Commission's
services in the staff working paper SEC(2001) 1296 on
European policy principles on International Standardisation
of 26 July 2001.

to change and they differ by sector.

— The needs of the market for technical specifications have
been subject
In
addition, industrial sectors are becoming more interrelated,
and the traditional boundaries between them are becoming
less distinct, thus reinforcing the need for a strong coop-
eration between the European Standards Organisations and
the way in which standards are made.

— The use of standards in public policy has evolved. Apart
from the continuing need to complete the internal market,
encouraging competitiveness and information technology,
there are new areas in which policy makes increasing use
of standards, such as safety in the work place, consumers
and the environment, transfer of research results to the
market, and the establishment of trans-European networks.

— The rapid development of technologies and processes in the
Information and Communication Technology (ICT) has led
to a need for the equally rapid elaboration of new types of
publications. Taking account of these developments, the
European Standard Organisations have developed new
formal
deliverables which do not have the status of
standards (ENs).

Commission published a notice on the applicability of
Article 81 of the EC Treaty (2). In this notice, standard-
isation agreements are considered to be a type of horizontal
cooperation agreement, either concluded between private
the aegis of public
undertakings or determined under
bodies or bodies entrusted with the operation of services
of general economic interest, such as the standards organi-
sations recognised under Directive 98/34/EC. The notice
also states that,
in principle, standardisation agreements
do not restrict competition if the standards are adopted
by
recognised standard organisations, based on
non-discriminatory, open and transparent procedures.

the

— Standardisation has acquired a high political profile. This
reflects the unique position of standards in contrast
to
other forms of specification and creates a correspondingly
trans-
enhanced obligation to observe the principles of
parency, openness, consensus,
independence, efficiency
and coherence.

ETSI,

these

reasons, CEN, Cenelec,

For
the European
Commission and EFTA wish to confirm their mutual under-
standing on a number of policy objectives and the role of
standards in that context, on the principles of their relationship
the
and cooperation, and on their present
attainment of these objectives.

intentions for

3. COMMON POLICY OBJECTIVES

common understanding that

CEN, Cenelec, ETSI, the European Commission and EFTA have
an
a
important role for the European market,
for the competi-
tiveness of enterprises and that it constitutes an important
instrument
in support of European policy reflecting the
public interest. European Standardisation policy objectives
are, therefore, as follows:

standardisation plays

and

aspects. Under

environmental
harmonised

— To play a role in the completion of the internal market,
facilitating the free movement of goods and services and
ensure sustainable development, having a high level of
safety and quality and taking into account all economic,
the New
social
provide
Approach,
technical solutions for presumption of conformity with
legal requirements; they constitute a common and trans-
parent reference for public procurement; they contribute
they
to the
of
encourage
products; and they provide a source of common reference
for
thus
trade and national and European legislation,
promoting European technical integration.

environmentally

elimination of

trade barriers;

development

European

standards

technical

sound

— With regard to the possible restrictions to competition
caused by horizontal cooperation agreements between
the
companies operating on the same market

level(s),

— To help attain the goal of high environmental protection.

(1) Annex 4 of G/TBT/9, 10.11.2000.

(2) OJ C 3, 6.1.2001, pp. 2 to 30.

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— To constitute a tool

for the advancement of European
competitiveness and to allow for technological innovation.
flexible,
European standards provide
the
technical
and
across
single market
for quality, certification,
constitute accepted references
and regulatory compliance; they encourage technical coop-
eration and the exchange of expertise and provide entre-
preneurs with an opportunity to exploit economies of scale.

common, yet

environment

a

— To provide a graduated range of types of deliverables that

respond to different market needs.

— To provide a flexible and transparent mechanism for
consensus building on identified issues in Europe. The
basis of consensus necessary to meet
the
parties concerned (including the public authorities) varies
according to the industrial sector, the relationship to the
regulatory environment and factors such as safety and the
potential for harm to the environment.

the needs of

standards provide a means of

— Through participation by their respective members in the
international work, to promote Europe's interests in the
global economy and create conditions for access to world
markets;
reference for
technical cooperation, assistance and Mutual Recognition
Agreements (MRAs) with third countries. It is of utmost
interest that international standards be uniformly adopted
and applied when legitimate objectives can be ensured, i.e.
the protection of human health and safety, animals or plant
life and/or the environment.

— To provide candidate countries and neighbouring countries
with a major tool for the facilitation of adaptation of their
economies to the Community market and to promote
sustainable development, economic and technological inte-
gration or cooperation.

— To provide a mechanism for economic and social partners
interest groups, namely
relevant
in Europe and other
NGOs,
that might not otherwise be involved but who
have a legitimate interest in the outcome, to be involved
in the process of standardisation. This constitutes a means
for them to play an active role in relation to public interests
such as protection of
the environment, workers, and
consumers.
It allows them to contribute to sustainable
development and to safeguard the public interest in areas
considered
co-regulation or
where
preferable to outright regulation.

self-regulation is

4. PRINCIPLES OF RELATIONSHIP AND COOPERATION

In order to attain these objectives, CEN, Cenelec, ETSI, the
European Commission and EFTA have a common under-
standing that:

— Relations between the European Standards Organisations
and the public authorities at a European level should be
based on their acknowledgement of the common objectives
set out in detail in section 3 above, bearing in mind their
distinct responsibilities and competencies. They emphasise
that a permanent, open and transparent dialogue between
them is a fundamental basis for cooperation.

— The national member bodies of CEN and Cenelec and the
members of ETSI have a vital role in the cooperation
between the
the
European Commission and EFTA. Cooperation between
all the relevant bodies and common understanding of the
objectives set out in section 3 above is essential for these
guidelines to be successful.

European Standards Organisations,

it

supports European policies

— The institutional rules of the European Standards Organi-
in
sations should ensure that European standardisation,
particular where
and
Community regulation, remains fully accountable to all
the stan-
the interested parties in Europe,
dardisers take into account the broadest possible range of
views in drawing up standards and other documents and
that
inquiry and
voting) are open and transparent.

(during development,

the procedures

that

that

is,

to all

— The European standardisation system has a broad respon-
sibility
industry, workers,
consumers, environmental interests, public authorities, and
in consequence must not act on the basis of vested
interests.

including

interests,

— Coherence, at all

levels and between the three European
Standards Organisations,
ensured in the
planning, execution and implementation of standardisation
programmes and activities carried out by the European
Standards Organisations, where applicable through the
approval and implementation activities at national level.

should be

— It

that

is essential

the European standardisation system
should respond readily and appropriately to differing
market needs in different sectors, with due respect for the
fundamental principles of European standardisation set out
in section 3 above. In particular, different market needs
may call for different types of deliverables. However, for
transparency,
all
access, openness,
and voluntary
work and application should still be followed.

types of deliverables the principles of
efficiency,

coherence

interests

standardisation should be reinforced and
— International
Europe's
international
standards should be uniformly applied except where this
would be ineffective or inappropriate for the objectives
pursued.

safeguarded within it;

— Effort shall be made to support

the
economies of the candidate countries into the Community.

the integration of

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should be

— The use of European standards

further
encouraged as an instrument of economic and tech-
nological
integration within and outside the European
market and as an instrument in order to work with the
market and as a technical basis for legislation, in particular
in defining technical specifications for products and services
and for testing methods.

— Promote the use of standards by Europe's trading partners

in their policy and regulation.

For their part, the European Commission and EFTA expect the
European Standards Organisations CEN, Cenelec and ETSI to:

5. IMPLEMENTATION

Against the background of the previous sections, the European
Standards Organisations expect the European Commission and
EFTA to:

— Maintain the standardisation infrastructure and procedures
to meet legitimate needs (including safety, health, consumer
and environmental protection)
in Europe, and actively
cooperate to ensure that stakeholders gain the maximum
benefit of the European standardisation infrastructure and
its links with other standards organisations.

— Maintain a transparent legal and political framework for
European standardisation as an independent, consensus-
oriented and voluntary activity.

— Make use of European standards where they are appropriate
in support of European regulations and other policies, and
continue to pursue a policy of broader use of standards.

— In accordance with the provisions of Directive 98/34/EC,
indicate legal and political requirements for standards.

— Refrain from drawing up technical regulations on subjects
covered by mandates assigned to the European Standards
Organisations, except where considered necessary in the
public
the
opinion of
the European Standards Organisations, and
possibly their members, on matters relating to standard-
isation and, where appropriate, technical barriers to trade
at the European and global levels.

interest. Request,

feasible,

to the

extent

— Ensure that structures and procedures allow for the highest
possible degree of openness, transparency and representa-
tiveness. Procedures should be transparent and ensure inde-
pendence from vested interests. Further efforts should be
interested circles,
made to increase the participation of
especially public authorities, manufacturers,
small and
medium-sized enterprises, consumers, workers and environ-
mental interest groups, at the national and European level
in the drafting of standards and other deliverables and in
ensuring their views are adequately taken into account.

— Ensure that all interested parties participating in the devel-
opment process have access to documents in order to
effectively participate.

— Take the public interest into account, in particular, safety
the protection of workers, consumers and

and health,
environment.

— Intend to continue to provide targeted financial support to
the European Standards Organisations, subject to the limits
imposed by available budgetary assets, towards the main-
tenance of an appropriate European standardisation infra-
structure and towards the improvement of the quality of
efficiency and visibility of the European Standards Organi-
sations.

— Invite the advice of the European Standards Organisations
on the needs for pre-normative research and development,
and stimulate the exploitation of Community and/or EFTA
funded pre-normative research, arising both from the direct
and indirect research actions, into European standards.

— Maintain a dialogue with the Commission and EFTA while

carrying out standardisation work.

— Ensure that the environment is fully considered and where
relevant taken into account in the development of standards
in order to contribute to a high level of environmental
protection.

— Pro-actively support participation of relevant stakeholders
in standardisation work on national, European, and inter-
national level.

— Encourage

those

European R & D
programmes to feed back their results into the European
Standards Organisations, as appropriate.

participating

in

— Seek, where appropriate, the advice and active cooperation
of
the European Standards Organisations in the estab-
lishment and implementation of European programmes of
technical
third
countries.

and cooperation with,

assistance

to,

and

elaboration

— Establish and maintain institutional rules and procedures
that ensure coherence, speed and quality in the estab-
lishment,
the
programmes, standards, other deliverables and activities
the needs of evolving
carried out
to meet
markets. This
for
standstill, notification of activities, uniform transposition
and withdrawal of conflicting national standards (as far as
ENs are concerned).

specifically includes

implementation

in order

coherent

rules

of

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— Ensure that when common mandates are issued by the
Commission and the EFTA side a consistent approach is
taken in accepting and executing or
in rejecting the
mandate.

— Ensure that rules in decision-making procedures continue
to preserve accountability to European Community, EFTA
members and the economic and social partners concerned
in work undertaken under a mandate from the European
Commission and the EFTA side.

— Carry out their tasks with the highest efficiency and quality,
including the use of modern methods and technologies for
the elaboration and distribution of their work.

— Keep their corpus of publications up to date and in line
with technological evolution by means of regular reviews
leading to their confirmation, amendment, revision or with-
drawal, as appropriate.

their

— Together with their members, adapt

structures,
procedures, and publications to meet developments in the
legitimate needs of interested parties. Develop appropriate
mechanisms to accept documents originating from interest
groups and other parties, and transform them,
if appro-
priate, into deliverables of the European Standards Organi-
sations.

— Ensure that all interested parties have access to standards,
by broad provision of information on their availability, and
by ensuring that
including any intellectual
property rights (IPRs) they might contain, can be used by
market operators on fair, reasonable and non-discrimi-
natory conditions.

standards,

— Undertake and support actions to improve the visibility of

European standardisation.

— Work towards the development and widespread use of a
single mark of conformity with European standards, as
appropriate.

— Provide support to the progress of standards organisations
in the countries
that have applied for EU or EFTA
membership, to full participation in, and membership of
the
full
membership once the appropriate and approved conditions
have been met.

Standards Organisations. Grant

European

— Cooperate

international

actively with

standardisation
structures; observe the terms of the WTO Code of Good
Practice for the Preparation, Adoption and Application of
Standards; promote the international
standard organi-
international standards in
sations, promote the use of
their own work and at the global
level when legitimate
i.e. the protection of human
objectives can be ensured,
life and/or
health and safety, animals or plant
the
environment. Use best
to support access by
efforts
interested circles to standardisation processes at the inter-
national level.

— Cooperate with the European Commission and EFTA in the
development and implementation of Community and EFTA
programmes of technical assistance and cooperation with
third countries, and ensure where possible that related
policies of their member organisations are coherent.

— Maintain and develop a dialogue with the European
Commission and EFTA on all issues of strategic, political
or technical importance of common interest.